Source: https://www.osha.gov/enforcement/directives/ted-35b
Timestamp: 2019-07-21 02:37:04
Document Index: 326343559

Matched Legal Cases: ['art 1908', 'art 1908', 'art 1908', 'art 1908', 'art 1910', 'art 1908']

Revised Consultation Policies and Procedures Manual. | Occupational Safety and Health Administration
Revised Consultation Policies and Procedures Manual.
TED 3.5B
OSHA Instruction TED 3.5B CH-1
Subject: Change 1 to OSHA Instruction TED 3.5B, Consultation Policies and Procedures Manual
A. Purpose. This change instruction transmits one revised page to OSHA Instruction TED 3.5B.
1. Remove page 4 and replace it with the attached change page. The single change is marked in the left margin by a vertical line.
1. Due to a typographical error, number 9 on page 4 is incorrect. Number 9 should read as follows: Chapter X. V.A.1.e.(2).
Paula O. White, Director
OSHA Consultation Project Managers
OSHA Instruction TED 3.5B
Subject: Revised Consultation Policies and Procedures Manual
A. Purpose. This instruction transmits the revised Part I of the Consultation Policies and Procedures Manual (CPPM).
1. 29 CFR Part 1908, Consultation Agreements.
2. OSHA Instruction CPL 5.1, VPP Policies and Procedures Manual.
3. OSHA Instruction FIN 3.2, Financial and Administrative Monitoring of the 23(g) Grants, 7(c)(1) Cooperative Agreements and 24(b)(2) Grants and Contracts, August 27, 1984.
D. Cancellation. This instruction cancels the following instruction which is now incorporated in this manual:
1. OSHA Instruction TED 3.5A, October 2, 1995.
E. Action.
1. Regional Administrators shall ensure each 7(c)(1) Consultation Project and State Designees has a copy of this instruction which replaces Part I of the CPPM issued on April 27, 1987.
2. Regional Administrators, 7(c)(1) Project Managers and State Designees shall ensure that all requirements and procedures established in the attached revised manual are adhered to by 7(c)(1) Consultation Project personnel and by OSHA Regional and Area Office personnel.
F. Federal Program Change. This instruction describes a Federal program change which affects State Programs. Each Regional Administrator shall:
1. Ensure that this instruction is promptly forwarded to each State Designee, using a format consistent with Plan Change Two-Way Memorandum in Appendix A, OSHA Instruction STP 2.22A, Ch-2. Part I of the Manual is the only part requiring response as a Federal program change.
2. Explain the technical content of this instruction to the State designee as requested.
3. The State shall respond to this change within 70 days in accordance with paragraph I.1.a.(2)(a) and (b), chapter III.
4. However, the State must expand its applicability to its public sector consultation effort and where applicable, to any private sector consultation program operated under its State plan (i.e., the eight States without 7(c)(1) consultation programs). This State acknowledgment should include: (a) the State's plan to adopt and implement identical policies and procedures for its 18(b) consultation program(s), (b) the State's plan to develop an alternative document which is at least as effective as these policies and procedures, or (c) the reasons why no change is necessary to maintain a program which is as effective. The State shall submit the plan supplement within 6 months in accordance with I.1.a.(3)(c), chapter III. If the State's free onsite consultation services for private sector employers is not a part of its 18(b) plan, the State's response should be limited to public sector consultation and enforcement related issues in the private sector.
5. Inform each State providing free onsite consultation services to private and/or public sector employers as part of its 18(b) plan, or SHARP participation as part of its consultation project, that a plan supplement describing the program and establishing policies and operating procedures for both consultants and compliance personnel must be submitted within 6 months.
6. Advise the State that its submission will be assessed with respect to the impact of its consultation program on the "at least as effective" status of its overall State program. If the State adopts an alternative to the Federal procedures, the State's submission must identify each substantive difference from the Federal program element and provide rationale for judging that such difference has no negative impact on the at least as effectiveness of its enforcement program.
7. After Regional review of the State plan supplement and resolution of any comments thereon, forward the State submission to the National Office in accordance with established procedures. The Regional Administrator shall provide a judgement on the relative effectiveness of each substantive difference in the State plan change and overall assessment thereon with a recommendation for approval or disapproval by the Assistant Secretary.
G. Background. The Revised CPPM consolidates all changes made to OSHA Instruction 3.5A which was first issued on October 2, 1995. It continues the purpose of providing a handbook for consultants to carry out the policies and procedures of the Consultation Program.
H. Significant Changes. Because OSHA Instruction TED 3.5B is a complete reissuance of the CPPM (Part I) and not a collection of page changes to the existing directive, individual revisions of text are not marked by black lines in the left margin. Important changes are summarized below:
1. Chapter III. B.2. Scheduling Priority. An error in the second sentence was corrected to establish that "as the hazardousness of an employer's workforce increases and/or the size of the establishment decreases, the priority assigned for servicing the request will increase accordingly," not "decrease accordingly."
2. Chapter VI. C.2.d.(2)(b), Employer Obligations. This paragraph has been revised and provides clear and comprehensive guidelines for unionized sites.
3. Chapter IX. Appendix A, Safety and Health Program Assessment Worksheet (Form 33). A revised copy of the Consultation Form 33, currently being used by consultants in the field, has been included.
4. Chapter IX. II.A., Management Leadership and Employee Involvement. A "NOTE" has been added to clarify employee empowerment.
5. Chapter X. II.B, Program Eligibility. A "NOTE" has been added which clarifies the LWDI data source consultants should use to compare an employer's LWDI rate to the industry average when determining whether that employer is eligible for participation in the Safety and Health Achievement Recognition Program (SHARP).
6. Chapter X. III.A.3.c., Program Requirements. The word "at" has been added to the sentence to clarify that employers lowering their LWDI to at or below their industry average will be eligible for participation in SHARP if they met all other requirements.
7. Chapter X. III.A.3.c., Program Requirements. A "NOTE" has been added to indicate that, once an employer has participated in the Safety and Health Achievement Recognition Program (SHARP) for one year and has reduced his/her LWDI rate to at or below the average for that industry, that improved LWDI rate should be used when the consultant is comparing it to the BLS data to which the employer's original average was compared.
8. Chapter IX. VI.A.2, SHARP Procedures. The word "at" has been added to the sentence to clarify that employers will be informed that they must lower their LWDI and IIR to at or below their industry average in order to pursue participation in SHARP, in addition to meeting other eligibility requirements.
9. Chapter X. V.A.1.e.(2), Failure to Meet or Maintain Requirements. This paragraph has been revised to provide guidelines that take into consideration small establishments that have met the criteria and have been accepted into the SHARP program but, for the act of a single injury or small number of injuries, may make them ineligible to continue in the SHARP program.
7(c)(1) Consultation Program Managers
CONSULTATION POLICIES AND PROCEDURES MANUAL
Chapter I -- Overview of the OSHA Consultation Program
I. Overview of the OSHA Consultation Program - Background
II. The Consultation Policies and Procedures Manual (CPPM)
Chapter II -- Consultation Program Administration: Roles
and Responsibilities - A Tri-part Relationship
II. OSHA National Office
Chapter III -- Consultation Scheduling Priorities
II. Visit Priorities
Chapter IV -- Consultation Promotion and Outreach
I. Consultation Promotion
II. Targeting Promotional Activities
III. Consultative Visits During Promotional Activities
IV. Promotional Methods and Strategies
V. Outreach Activities
VI. Evaluating Promotional and Outreach Activities
Chapter V -- Consultation Requests
I. Consultation Requests
Appendix A - Example Letter to Employer Low Priority
Chapter VI -- Onsite Consultation Requests
II. Types of Onsite Services
III. Extent/Level of Consultation Services
IV. Consultation Process
Chapter VII -- Written Report to the Employer (Reserved)
Chapter VIII -- Training and Education by Consultants
II. Relationship of Training and Education to Consultation
III. Types of Training and Education
IV. Allocating and Recording Training Time
V. Reporting to the Employer
VI. Coordinating Training and Education Activities
VII. Consultant Training and Education Capabilities
VIII.Resources for Training and Education: Sources of Information
IX. Disengagement of Training and Education
Appendix A -- Consultant Training and Education Capabilities
Chapter IX - Safety and Health Program Assistance
II. Elements of a Fully Effective Safety and Health Program
III. Procedures for Comprehensive Program Assistance
IV. Flexibility in the Application Criteria
Appendix A - Safety and Health Program Assessment Worksheet - Form 33
Appendix B - Employee Interview Questions
Chapter X -- Safety and Health Achievement Recognition Program (SHARP)
II. Program Eligibility
IV. SHARP Procedures
V. Failure to Meet or Maintain Requirements
Chapter I Overview of the OSHA Consultation Program
I. The OSHA Consultation Program - Background.
A. Subsequent to the promulgation of the Occupational Safety and Health Act of 1970 (the Act), the Agency recognized that employers needed to better understand their obligations under the Act. Small employers in particular expressed difficulty in interpreting the sometimes complex occupational safety and health regulations that could apply to their workplaces and in identifying hazards at their worksites. Moreover, small employers often lack the financial resources to hire outside private consultants to aid them in meeting their obligations under the Act.
B. The OSH Act, under Section 21(c), directs the Secretary of Labor to establish programs for the education and training of employers and employees in the recognition, avoidance, and prevention of unsafe or unhealthful working conditions in employment covered under the Act. Before OSHA's consultation program was developed, many States provided onsite consultation services to employers as part of their State plan under section 18(b) of the Act.
C. On May 20, 1975, in response to the demand for onsite consultation in Federal enforcement States, the Secretary of Labor promulgated the regulation at 29 CFR Part 1908 (40 Federal Register 21935), which authorized Federal funding of onsite consultation activity by States without State plans. This activity was funded through Cooperative Agreements under the authority of sections 21(c) and 7(c)(1) of the Act. OSHA consultation is often referred to as "7(c)(1) Consultation" because of its dependence on this section of the Act.
D. Part 1908 was subsequently amended on August 16, 1977, to increase the level of Federal finding for State run consultation projects to ninety percent, a level that provided a strong incentive for all States to enter into the program. At the present time, forty-four States and U.S. territories operate OSHA Onsite Consultative Programs under section 7(c)(1) agreements with Federal OSHA. Eight States and U.S. territories operate programs as part of their approved State plans for which fifty percent funding is received from Federal OSHA through their 23(g) grants.
E. In 1983, OSHA published a proposed change to the consultation regulation to clarify a number of provisions and to change the focus of services provided to an employer during an OSHA consultative visit. The proposal raised a number of new issues, including the Agency's desire to shift the focus of the consultation visit from simply the identification and correction of specific workplace hazards to a broader and more comprehensive goal. This goal includes having the OSHA consultant work with the employer and his or her employees to address the employer's overall management system for ensuring a safe and healthful workplace, i.e., the worksite's occupational safety and health program. In addition, the proposal allowed for the provision of offsite consultation, including training and education services, to be made available to employers and provided for an exemption from general schedule OSHA inspections for employers who met specific criteria. A final rule including these provisions was published in the Federal Register on June 19, 1984 (FR 25082) and is the current regulation governing OSHA consultative services.
II. The Consultation Policies and Procedures Manual (CPPM).
A. States operating consultation programs under a cooperative agreement with Federal OSHA are required to follow policies and procedures set forth by the Assistant Secretary. The main policy guidance document is the "Consultation Policies and Procedures Manual (CPPM)" which appears in the Agency's directive system as OSHA Instruction TED 3.5. The CPPM was first issued in April of 1987. It defines the activities and procedures that OSHA-funded consultation projects are to follow, sets forth the monitoring and evaluation system and procedures to be used during Federal OSHA evaluation of State consultation project performance, and provides instruction on project participation in the Consultation Data System managed by Federal OSHA.
B. The CPPM also serves as the official document outlining the goals of the OSHA Consultation Program and defines the principal program objectives of OSHA Consultation activity. Over the years, the CPPM has undergone several revisions and several chapters have been issued in draft form. Other chapters have been listed in the table of contents to the CPPM "reserved" and have never been issued.
C. In 1995, the Agency revised the consultation program and consultation monitoring and evaluation process to improve the consultation program overall. This revision of the CPPM seeks to ensure that it best reflects OSHA'S program objectives and that the OSHA Consultation Program achieves the biggest impact with limited Agency resources.
Chapter II Consultation Program Administration: Roles and Responsibilities A Tri-part Relationship
I. Introduction. The successful implementation of the OSHA nationwide consultation program is dependent upon the cooperative effort and ongoing communication among the OSHA National Office, the OSHA Regional Offices, and the OSHA-funded State consultation projects. The purpose of this chapter is to define the respective roles and responsibilities of each party composing this cooperative arrangement.
II. OSHA National Office.
A. Directorate of Federal-State Operations. The Directorate of Federal-State Operations (FSO), through the Office of Cooperative Programs, Division of Consultation Programs, is responsible for the nationwide coordination and administrative oversight of the national OSHA consultation program. The Office seeks to ensure that OSHA'S limited resources are consistently and effectively employed in the pursuit of the stated goals and objectives of the nationwide consultation program. To that end, the Office of Cooperative Programs is responsible for establishing the policies and procedures which govern the operation, monitoring, and evaluation of the OSHA consultation program. The Office is also available to assist the Regions and the States in effectively implementing the program and in resolving any problems or disputes which may arise. In addition, the Office of Cooperative Programs conducts, on an annual basis, a programmatic review of all 7(c)(1) Consultation Cooperative Agreement applications and amendments.
B. Directorate of Administrative Programs.
1. Consultation Data System. The Directorate of Administrative Programs, through the Office of Management Data Systems (OMDS), is responsible for the design and administration of the Consultation Data System (CDS); programming of the Consultation Activity Measures (CAMS); processing of CDS information, as a function of the OSHA computerized Integrated Management Information System (IMIS); and production and distribution of both routine reports (such as the quarterly Consultation Activity Measures (CAM) Report) and such special reports as may be needed. OMDS also designs and writes the software programs which enable the OSHA Regional Offices and the States to query the National data base directly, and any special programs needed in response to requests for more complex, ad hoc reports.
2. Consultation Cooperative Agreements. The Directorate of Administrative Programs, through the Office of Financial Management, Division of Grants Management, is responsible for the day-to-day management of cooperative agreement funds used to support the OSHA consultation program and the preparation of the annual instructions for the cooperative agreements and amendments. The Division is also responsible for oversight of the financial requirements and arrangements with the States that participate in the OSHA consultation program. The Division also conducts a financial review each year of all agreement applications and amendments.
C. OSHA Regions. The OSHA Regions are responsible for monitoring and evaluating the State consultation projects within their respective Regions. This must be done in accordance with established Federal policies and procedures and must be consistent with the effort to support the States in building and maintaining consultation project operations which effectively and efficiently meet the objectives of the OSHA consultation program. Continuous communication and cooperative relations between the Regions and the States are essential to fulfilling the Regions' responsibilities. The Regions also provide technical assistance and communicate Federal program direction to the States. The mutual maintenance of regular channels of communication is an essential component of the Federal-State relationship.
D. States. The States are responsible for operating and maintaining programs which effectively meet the objectives of the OSHA-funded consultation program, in accord with 29 CFR 1908, Consultation Agreements, the Annual Cooperative Agreements, and measures established in the Consultation Policies and Procedures Manual. The States are active participants in the monitoring process used to assess their performance. Accordingly, the States must maintain continuous and constructive communication with the Regions and provide the Regions with appropriate information about State performance, including information about unique project activities. The State consultation projects' involvement in the monitoring system includes the responsibility to participate in the review and analysis of State project performance, including financial performance monitoring and consultant performance evaluation.
Chapter III Consultation Scheduling Priorities
I. Scheduling.
1. More Hazardous, Smaller Businesses. 29 CFR Part 1908 requires that preference be given to requests from more hazardous businesses, especially in smaller establishments. Within these parameters, Project Managers are authorized to schedule visits, including visits to provide limited consultative assistance, according to the potential impact of the visit, and the available resources of the project (see section B).
2. Less Hazardous, Larger Businesses. Larger and/or less hazardous businesses will be informed that their requests for onsite services will typically receive a low priority. When merited by the backlog of requests and their priority, the employer will be notified that targeting criteria and the project's backlog of requests preclude servicing a request due to its low priority. In such cases, it is appropriate to suggest alternative sources of assistance to the employer.
3. Abatement Assistance. No special priority will be assigned to requests from OSHA enforcement for abatement assistance ("Correction Assistance Cited") or for assistance in response to an enforcement informal complaint letter. These types of requests will be evaluated for scheduling on the same basis as all other requests.
B. Scheduling Priority.
1. General. Project Managers are authorized to schedule visits based on the following criteria:
a. An imminent danger situation, or where the urgency of the request (e.g., request for assistance involving a hazardous trenching operation) may require the highest priority response;
b. The hazardousness and size of the business, with more hazardous small businesses receiving priority response; and
c. The availability of project resources such as staffing and budgetary resources which may necessarily affect the assignment of case workloads.
The highest priority for services is to be given to employers who have the highest incidence rates or who are classified as high hazard, with primary attention to smaller businesses.
2. Worst First. In order to make the biggest impact with limited consultation resources, requests for consultation services shall be serviced in the order of "worst first," that is, from highest to lowest priority according to the relative hazardousness of the establishment and the relative size of the establishment. As the hazardousness of an employer's workforce increases and/or the size of the establishment decreases, the priority assigned for servicing the request will increase accordingly. A newer, higher priority request will always take precedent over older, lower priority requests, and project managers must ensure that request lists are continually updated according to these criteria.
II. Visit Priorities.
A. Imminent Danger Situations.
Preference will be given, as the highest priority for servicing requests, to eligible employers (employing no more than 500 employees nationwide) who indicate an imminent danger situation or where the urgency of the request (e.g., trenching operations) may require the highest priority response.
B. More Hazardous Businesses: "Target Industries"
Second priority will be given to employers who employ less that 250 employees at the site and no more than 500 employees nationwide and who are in a high hazard industry, as defined below, or who have the highest incidence rates. Either limited or fill service assistance may be provided, depending on the services requested. Establishments and operations are defined as "high hazard" based on the following criteria:
1. High Incidence Rates. An establishment will be considered "high hazard" for OSHA consultation priority considerations if that establishment's LWDI is above the national average for that industry.
2. High Hazard SIC Codes. An establishment is considered high hazard if it is in an industry whose Standard Industrial Classification (SIC) code is on the OSHA generated listing of high hazard industries (Annual OSHA High Rate Industries Listing).
3. Alternative High Hazard Listing. If an establishment is not on the OSHA generated listing, consultants may refer to an alternative high hazard listing(s), which has been developed by the state based on Workers' Compensation Data or other data, and which has been approved for use by OSHA'S Directorate of Federal-State Operations.
4. Secondary SIC. One or more hazardous work processes or work areas (e.g., a bindery in a publishing house) may be located within an establishment in an industry that is not on the high hazard list. If such a process or area is the focus of a visit, a secondary code may be used to classify the establishment and, therefore, the priority for receiving a visit, as high hazard. To be used, the secondary SIC must be either on the OSHA generated high hazard listing, or on the OSHA approved alternative State listing.
5. Process Hazardousness. An establishment may also be classified as "high hazard" based on the relative hazardousness of workplace processes which occur at the establishment and which cannot be described by a Secondary SIC code. Criteria for process hazardousness include the following:
a. A substance in regular use at the establishment has a health code of HE1 - HE4 in the OSHA Chemical Information Manual (carcinogen, chronic toxicity and acute toxicity) or is noted as highly toxic in that manual.
b. A substance in regular use at the establishment is explosive, or working conditions or work processes in use at the establishment are dangerous but not customary for the establishment SIC.
C. Larger Employers. A lower priority will be given to employers who employ more that 250 employees at the worksite or more that 500 employees nationwide. Such larger employers requesting consultation services must still be prioritized for service based on their incidence rates or on their listing on the high hazard list(s). Only limited service visits may be conducted for these employers.
Chapter IV Consultation Promotion and Outreach
I. Consultation Promotion.
A. Objectives of Promotional Activities.
1. Generating Requests. The primary purpose of promotion is to generate inquiries and requests for consultative assistance from smaller, high hazard employers, especially employers with a high incidence of serious injury or illness. Successful promotion will result in inquiries and requests for visits to establishments in the target industries described in Chapter III, Consultation Scheduling Priorities.
2. Onsite Visits. Promotional efforts should focus on generating inquiries and requests for consultative services. These efforts should include information regarding onsite visits, particularly initial visits and/or training and assistance visits, from more hazardous, smaller businesses.
3. Offsite Assistance. Offsite assistance maybe promoted in situations where offsite training provides the most effective and efficient way to utilize consultation resources to address a training need common to a number of employers.
B. Promotional Content. The Consultation Program seeks to have the greatest feasible impact on the reduction of work related injuries and illnesses in smaller businesses. Promotion and the scope of services made available to employers will be limited in larger and less hazardous establishments, especially promotion to larger establishments. Further, State publicity and promotional materials on consultation must note the following employer requirements governing the provision of consultative services.
1. Employer Obligations. Fundamental to the integrity of the consultation program is the removal of workers from risk once their exposure to hazards has been determined by a consultant. To this end, it is imperative that the following requirements be conveyed to employers. This can be done either through promotional materials or through other forms of communication prior to the consultant traveling to a site to conduct the visit and before significant financial or other resources are invested in a consultation visit:
a. Statutory. While using these services, the employer remains under statutory obligation to provide safe and healthful work and workplace conditions for employees.
b. Imminent Dangers/Serious Hazards. Even though a consultation visit generates no citations and levies no fines or penalties, the employer is required to take immediate action to eliminate employee exposure to imminent danger hazards, and to take action to correct serious hazards within a reasonable time.
c. Referral to Enforcement. If an employer fails to eliminate an imminent danger or serious hazard within the established time frame or any extensions thereof, a referral must then be made by the Project Manager to the appropriate Federal or State enforcement authority.
2. Employer Rights. Confidentiality of the service in relation to enforcement is a critical component of the consultation program. Therefore, it is imperative that employers be advised of the following requirements prior to the consultant's walkthrough of the worksite:
a. Disclosure of Prior Consultative Visit. In the event of a subsequent Federal or State enforcement inspection, the employer is not required to inform the compliance officer of a prior consultation visit.
b. Disclosure of Consultation Report. The employer is not required to provide a copy of the State consultant's written report to the compliance officer, except to the extent that disclosure information contained in the written report is required by a standard such as 29 CFR Part 1910.20, Access to Employee Exposure and Medical Records.
c. Consultant's Advice. The advice of the consultant and the consultant's written report are not binding on a compliance officer. However, if the employer chooses to provide a copy of the consultant's report to the compliance officer, it may be used by OSHA as a factor in determining the extent to which an inspection is required and as a factor in determining proposed penalties.
d. Hazards Outside the Scope of the Request. The scope of the visit may be reduced or expanded at any time during the consultation visit at the request of the employer. However, if the consultant identifies a hazard outside the scope of the request, the hazard must be treated as though it is within the scope of the request. The employer must correct any serious hazard identified, and the employer must agree to this condition prior to the commencement of the consultation visit.
3. Employee Participation. It is extremely important to involve employees in all phases of the consultative process.
a. Unionized Work Areas. In unionized work areas of a site, the employer must afford employee representatives the opportunity to participate in the onsite consultative visit. This includes the opportunity to participate in the opening and closing conferences and to accompany the consultant on the walk through the workplace. Whether through consultation promotional materials or through other forms of communication, employers at unionized sites must be advised of and agree to the requirement for involvement of employee representatives before the consultant's walk through the worksite.
b. All Worksites. At all sites, the employer will be encouraged to involve employees in the consultative visit and the employer must permit the consultant to conduct random private interviews with employees. At all sites, employers are to be encouraged to include their employees in all elements of the safety and health management program, including notification of identified hazards at the time the consultant's written report is received by the employer, and all other decisions arising out of the consultative visit as they affect employee safety and health. The involvement of employees is key to ensuring the fullest protection of employees in the workplace, to properly identifying and assessing the nature and extent of hazards, and in determining the effectiveness of the employer's efforts to establish and maintain a workplace safety and health management program.
C. Consultation Services. The purpose of the consultation program is to assist employers and employees in preventing the occurrence of injuries and illnesses which may result from exposure to hazardous workplace conditions and from hazardous work practices. Services are available to employers to assist them in establishing effective workplace safety and health management systems to prevent the occurrence or recurrence of hazards.
1. Full Service Consultation. Although the employer may limit the scope of services requested, States will convey to priority employers the benefits of full service consultation. The States will encourage employers to request a consultation visit covering all working conditions and the employer's entire safety and health management program.
a. Benefits. Benefits of full service consultation include providing the employer the opportunity to work with the consultant to address safety and health hazards in the entire workplace and to develop a comprehensive safety and health program. In addition, effective safety and health program implementation results in a safety and health management system which, when effectively implemented and operating, will work to continually address the hazards of the workplace and serve as a mechanism to ensure that hazards are continually addressed. At the same time, it will promote the conservation of human lives and resources, improve employee morale, and improve productivity and product quality. In addition, financial gains or savings include lower than average injury rates, decreased costs in workers' compensation, decreased product losses and less lost worktime. The aim is to show employers that effective workplace safety and health management systems are an economical and practical approach to solving safety and health problems and that preventing accidents is good business since the cost of accidents can far exceed the cost of prevention.
b. Partnerships. Where the provision of full service consultation is agreed to by the employer, the consultant will stress to the employer the special need to join with the consultant and with the employer's own employees to form a partnership in which all three parties can together, on a longer term basis, make the workplace a safer and more healthful environment.
c. Communications. When securing the employer's commitment to implement an effective safety and health management program as part of full service consultation, it is critical that the consultant ensure that the commitment is received from, and that effective communication is established with, the appropriate party or parties at the establishment. This would include the persons (or circle of persons) vested with the authority to establish and implement policy and expend the resources necessary to meet the conditions for the visit. This circle would also include the person(s) who will manage and enforce the safety and health management program, and take responsibility for making it become an integral part of the business on par with production, sales, and quality control. In many cases this will be the owner, but it could also be (or include) a plant manager or ranking member of the management team.
d. Submission of Program and Other Materials. In recognition that consultation resources are best used when information bearing on safety and health at the workplace is provided to the consultant prior to the visit, employers requesting full service consultation will be encouraged to submit copies of all safety and health program materials in current use, and such other relevant materials as equipment and chemical lists. This will assist the consultant in preparing for the onsite visit.
2. Limited Service Consultation. Limited scope services may also be promoted by the States. Limited scope consultation will not include all services provided employers through a full service visit, but may include services such as: a hazard survey and hazard abatement assistance; training and education; follow-up; and/or limited safety and health program assistance.
a. Since the employer retains the right to limit the scope of the requested consultation, the consultant will address only the area(s), or process(es) the employer requests.
b. Employers whose requests are limited in scope must be informed, however, of their responsibility to correct any serious hazards that may be observed by the consultant which would be outside the scope of the request.
D. Other Information. Depending on the type and form of promotion (e.g., radio spots, television public service announcements, brochures, newspaper advertisements, etc.), States may wish to address the following points in their promotional activities:
1. Correction of Other-than-Serious Hazards. While no correction period is set for other-than-serious hazards, employers are expected to correct such hazards in a timely manner. Employers should be reminded that if Federal or State enforcement were to conduct a compliance inspection at the workplace, the employer would be cited and possibly fined for such hazards.
2. SHARP (Safety and Health Achievement Recognition Program). When an eligible employer (1) requests and receives a full service consultative visit covering all occupational safety and health conditions and operations in the workplace; (2) corrects all hazards identified during the visit and posts notice of their correction when completed; (3) demonstrates that the elements of an effective safety and health management program are in operation; and (4) agrees to request a consultative visit if major changes in working conditions or work processes occur which may introduce new hazards, and meets certain other requirements, the employer may request to be recognized by OSHA for achievements in establishing an effective safety and health management system. This recognition is provided in part through the issuance of a SHARP certificate, and subsequent removal from a Federal or, where applicable, State OSHA general schedule inspection list for one year.
3. Acknowledgments. The State is required to indicate in documents describing and publicizing the consultation program that the service is provided at no cost to the employer through Federal and State funds.
NOTE: Section 516 of the 1989 Department of Labor Appropriation Act requires that when issuing statements, press releases, requests for proposals, bid solicitations or other documents describing the program, the State must clearly describe (1) the percentage of the total costs of the program which will be or is being financed with Federal money, and (2) the dollar amount of Federal funds for the program.
II. Targeting Promotional Activities. The consultation regulation (29 CFR Part 1908) requires the assignment of priority to requests for onsite consultation services. Preference must be given to businesses with the more hazardous operations, especially small businesses. Accordingly, promotional efforts should follow the scheduling priorities described in Chapter III, Consultation Scheduling Priorities.
III. Consultative Visits During Promotional Activities. At the time of a promotional visit, consultation may be conducted if the employer agrees to the conditions and requirements identified in section IV.B.1, and the consultant is prepared to provide the service. Being "prepared" means the consultant possesses the safety and health expertise to perform the survey; the consultant's work schedule allows sufficient time to provide the service(s); needed protective equipment is available and ready for use; the consultant is knowledgeable of applicable codes and standards, and necessary field sampling or monitoring instruments are available.
IV. Promotional Methods and Strategies. Promoting the availability of consultation services may be accomplished through a variety of methods and techniques, ranging from broad-based mass media campaigns to direct solicitation involving face-to-face contact with employers. Refer to 1908.5(a)(2) for a description of some of these means.
A. Recommended Promotional Tools. The following promotional tools have been suggested by Project Managers as effective means of promoting consultative services and, therefore, warrant special consideration. States will, of course, want to draw upon their own experiences in promoting consultation, especially where proven results have been obtained. They are also encouraged to explore new and original avenues of promotion to ensure that services are being provided to those employers most in need and most able to effectively use the services.
1. Door-to-Door. Although described as costly, Project Managers indicate that door-to-door solicitation is often the best means of promoting the program. This method is most effective where the program has one staff person responsible for promotion. However, in view of budgetary constraints, the allocation of such a position may be impractical in many projects.
2. Direct Mailings. Another successful promotional method is the use of direct mailings of program information to the individual most responsible for business operations such as the President, Vice-President, or Comptroller. To attain the highest rate of response, the mailings should be followed by a telephone call to encourage the employer's "interest" in the service.
B. Identifying Target Audiences. To promote the consultation program effectively within the target audience, projects may (1) use State Workers' Compensation data whenever available; (2) work closely with Federal or State enforcement authorities to identify those industries which are the subject of National or Local Emphasis Programs; (3) focus on industries within which significant occurrences such as fatalities, catastrophes and/or the issuance of major citations and/or penalties have recently taken place; (4) work with new employers who are attempting to establish a business; (5) concentrate on industries in which a new standard such as confined spaces or process safety management is likely to have a major impact; and, (6) use employer and employee organizations to generate requests for services.
V. Outreach Activities. States are encouraged to engage in outreach activities either individually or in concert with recognized groups whose stated mission is the promotion of safety and health in the workplace.
A. Target Audiences. See Chapter X.II.A.
B. Methodology. The State may engage in outreach activities such as (but not limited to) the following:
1. Public presentations 2. Radio Talk Shows 3. Cooperative Training Seminars 4. Roundtable Discussions 5. Safety and Health Conventions 6. Participation in Association Meetings 7. Publication Production
C. Cooperative Efforts. The state is encouraged to seek out and establish working relationships with professional safety and health societies.
1. Group Activities. The State may conduct cooperative activities with any recognized group so long as the primary intent and outcome is the enhancement of safety and health in the workplace.
2. Pro Bono Activities. The State may choose to assist in coordinating "pro bono" offers. "Pro bono" is a Latin term meaning "for the good of" and is used to describe the work done for free by concerned individuals. OSHA encourages this type of outreach wherein consultation projects pool their resources with recognized safety and health organizations to provide training or other outreach activities, with the understanding that no particular group is endorsed by either OSHA or the OSHA 7(c)(1) program.
VI. Evaluating Promotional and Outreach Activities. States are encouraged to document and track, by type of activity and strategy, efforts to promote consultation services. Promotional/outreach resources must always be directed toward the target audience, i.e., high hazard, small employers.
A. Target Audiences. Periodically, States are expected to analyze and assess the impact of their promotional/outreach activities in generating from the target audience inquiries and requests for consultative services. A State's inability to effectively promote its consultative services in the target audience will be viewed as a significant problem warranting serious attention by the State and the Federal monitors. Where promotion/outreach is ineffective, new strategies must be developed and implemented to address this problem.
B. Information Sharing. States with particularly effective promotional/outreach programs are encouraged to share their methods and strategies with others so the entire consultation program might benefit from their success.
Chapter V Consultation Requests
1. A request for onsite consultation services must always include a request for a Hazard Survey (Initial Visit), unless it is determined that a consultation hazard survey, OSHA inspection or private consultation survey conducted in the past twelve months provides adequate foundation for conducting the requested services through a Training and Assistance Visit.
2. Offsite training maybe provided in situations where it provides the most effective and efficient way to address a training need common to a number of employers. To avoid duplication of effort and ensure the most efficient use of resources, offsite training should be coordinated with the Regional Administrator when appropriate or with the State Designee in State plan States.
3. Some employers cannot be promptly scheduled for a consultation visit because of low scheduling priority or other project considerations. They must be informed, however, of their statutory responsibility to maintain safe and healthful work and workplace conditions for employees in the interim. A sample letter in response to these employers is contained in Appendix A to this chapter.
4. No onsite consultative visit maybe provided in the absence of a request by the employer.
B. Request Information.
1. In accepting an employer request, a consultation project must obtain information on the services requested, and the establishment to be served. Key information such as incidence rates, establishment size, Standard Industrial Classification (SIC) code, specific hazards at issue, requested visit date, and location will be used by the project management to prioritize and schedule onsite activities. This information will also be used by the consultant to prepare for the visit.
2. When taking a request, a consultation project will also determine if there is a need for special protective clothing or equipment, immunizations, security clearances or other special entrance requirements to the site covered by the consultative visit.
C. Construction Sites.
1. While assistance may be provided to subcontractors away from the worksite on safety and health management programs (offsite assistance), a subcontractor request for onsite consultation may be accepted only with the approval of the general contractor at the site. The general contractor must be informed that it is the general's responsibility to ensure the correction of any hazards identified during the course of the visit which are not under the control of the requesting subcontractor.
2. When a construction employer requests fill scope services, the employer must agree to allow the consultant to visit a sample of sites over time in order to (1) determine any program needs, and (2) verify that new program initiatives are working effectively.
3. Where a company's headquarters is in another State, cooperation between State consultation projects may be necessary. However, assistance should always focus in the employer's "home" State where the assistance was requested.
4. The same scheduling priorities should be applied to requests from construction sites as for other employers requesting consultative assistance. (See Chapter III, Consultation Scheduling Priorities, III.1.B)
D. Scope of Request.
1. Full Service. Although the employer may request limited consultative assistance, in more hazardous, smaller businesses, the employer will be encouraged to request a fill scope visit covering all working conditions at the site and the employer's entire safety and health management program. Full service consultation may be provided only to sites with 250 or fewer employees which are not a part of a corporation employing more than 500 employees nationwide.
2. Limited Service. Employers in larger and less hazardous establishments will be encouraged to request a more limited scope of service. Projects may provide such assistance under the guidelines set forth in Chapter III, Consultation Scheduling Priorities, Requirements, and employers will be allowed to limit their requests.
3. Abatement Assistance. Abatement assistance, i.e., assistance in correcting hazards cited by Federal or State enforcement which are final orders of the Occupational Safety and Health Review Commission (OSHRC) or its State counterparts, may also be requested by the employer.
4. Offsite Assistance. Offsite assistance may also be provided. Such assistance will be encouraged when it is the best and most expedient response to the needs of the specific requester and when it frees consultants to provide onsite assistance elsewhere. More specifically, offsite training should be coordinated with the Regional Administrator or State Designee, when appropriate, and provided where it offers an effective and more efficient way to respond to the needs of a number of high-priority employers.
5. Response to Informal Complaint. Employers often contact the consultation project after receiving a letter from OSHA enforcement concerning an employee informal complaint. These letters frequently cite OSHA consultation as one source that the employer may contact to receive assistance in abating hazards alleged in the informal complaint. These requests for assistance should be evaluated according to the same criteria as set forth in Chapter III, Consultation Scheduling Priorities, for other consultation requests.
E. Relationship to Enforcement. A consultation visit will not take place while a Federal or State enforcement inspection is in progress at the worksite, or following such an inspection, subject to the conditions listed below:
1. Inspection in Progress. Where an OSHA Federal or State enforcement inspection is in progress.
a. An "inspection in progress" is defined as extending from the time a compliance officer initially seeks entry to the workplace to the end of the closing conference.
b. Where right of entry is refused, "inspection in progress" is defined as from the time a compliance officer initially seeks entry to such time as:
(1) The inspection is conducted and the closing conference held;
(2) The Regional Administrator (RA) determines that a warrant to require entry will not be sought; or
(3) The RA determines that allowing a consultative visit to proceed is in the best interest of employee safety and health.
c. In these cases, a consultation project may either elect to decline the request until such time as all enforcement considerations are resolved or elect to accept the request and coordinate with the employer a visit date that falls after the time that pending enforcement considerations are satisfied.
2. Subsequent to Inspection.
a. Following an enforcement inspection, no consultation visit may take place until a determination has been made that:
(1) No citation will be issued, or
(2) When a citation is issued and the contest period has passed, cited items have become final orders.
b. No consultation may take place in relation to conditions that have not become final orders. Assistance may be provided only for those citation items that have become final orders or for conditions not being cited. However, it is the consultant's responsibility to inquire whether an enforcement inspection has been conducted in the establishment. If the consultant has reason to believe that there are citations which have not become final orders, the State consultation Project Manager must telephone the local OSHA Area Office to determine their status. Abatement assistance may be provided for the correction of hazards identified subsequent to a Federal or State enforcement inspection.
II. Responsibilities.
A. Consultation Project Manager.
1. Request Information. The Project Manager will assess whether requesting employers provide accurate data relating to incidence rates, and the size of the establishment, the type of business, the Standard Industrial Classification (SIC) code, and the specific reason(s) for the request.
2. Request Listing. Information received from an employer concerning a request for services may be used to generate on the microcomputer a listing for project management that includes establishment size, hazardousness, request date, and other pertinent information. This information will be used by the Project Manager to make informed decisions on scheduling and consultant assignments according to the "worst first" criteria discussed in Chapter III, Scheduling Priorities.
3. Responding to Requests. The Project Manager will ensure that each request is responded to in the appropriate order of priority based on the listing or schedule which is developed to rank establishments by size and hazardousness.
B. Consultant.
1. Request Information. It is essential that the consultant check the accuracy and completeness of any information taken about a request. Whenever possible, information taken by another person should be provided to the consultant well in advance of the visit date. This will allow an opportunity to verify that all information has been correctly received and recorded and to enable the consultant to prepare adequately for the visit.
2. Visit Preparation. Information concerning a request will be used by the consultant to prepare for the visit. For example, using the SIC code and the description of the nature of the request, the consultant will carefully research potential hazards and applicable standards and review any employer provided program materials and evaluate what is applicable. Care must be taken to determine if the employer has requested the visit on a specific date so that conflicts may be avoided. Also, a telephone call prior to the actual visit will guard against conflicts and confirm that all pre-visit information provided is accurate and up to date.
Chapter V Appendix A EXAMPLE Letter to Employers Receiving Low Priority
We currently have a request from you seeking occupational safety and health consultation assistance. Due to the limited resources available to us, requests from relatively low hazard and/or larger employers such as yourself must be given a low scheduling priority. We cannot estimate how long you might have to wait to receive our service or whether we may be able to service your request at all.
I should make clear however, that our inability to assist you at this time does not relieve you of your responsibility to continue to provide for safe and healthful work and workplace conditions for all of your employees. Therefore, we would encourage you to seek other sources of consultative assistance which are available to employers of your type and size.
We regret that we are not in a better position to service you. Thank you for your interest in occupational safety and health. However, if we can provide you with further information, please do not hesitate to call on us.
Chapter VI Onsite Consultation
A. The information and policies in this chapter are to be used by consultation personnel in performing onsite activities related to the consultation process. Guidance in this chapter is intended to provide consistency in project operations across the nation.
B. Included in this chapter are the essential components of the process which normally take place before, during, and in some cases, after the onsite activity. Also included are descriptions of the types of activities which occur.
II. Types of Onsite Services.
A. Assessing worksite safety and health management systems.
B. Identifying existing hazards, potential hazards, and violations of Federal or State OSHA requirements.
C. Observing and commenting on work processes, methods, and procedures.
D. Noting potential health problems for referral to health (if a safety survey only), or noting potential areas to be investigated further via referral to a safety specialist if a health survey only is being conducted.
E. Interviewing employees to help determine the extent of workplace hazards and how well the safety and health management program works.
F. Conducting training with the approval of the employer, if appropriate.
G. Using walkthrough findings as a basis for training to show the employer and employees the relationship between hazards identified and applicable elements of an effective safety and health management program.
III. Extent/Level of Consultation Services.
A. Full Service Consultation. A consultation activity which provides assistance with safety and health management systems in a comprehensive manner is considered to be "full service consultation."
1. This would include analysis of the existing safety and health management system components, recommendations for improvements in these systems, identification of existing or potential safety and health hazards and recommendations for their elimination and/or control, training needed by the employer, supervisors and employees, or a combination of activities as determined appropriate by the project management.
2. Full service consultation normally will include an initial visit to address the safety and health hazards and their abatement in the entire workplace and any combination of followup, training and education, or safety and health management assistance visits.
B. Limited Service Consultation. This activity will not include all services provided in a full service consultation visit, but may include particular services such as but not limited to the following:
1. A hazard survey
2. Recommendations for the control and abatement of hazards associated with specific work processes or operations
3. Training and education, and/or safety and health management assistance.
IV. Consultation Process. An onsite consultation visit will be provided only when requested by the employer and will cover only those activities specifically approved by the employer. It will consist of an opening conference, delivery of services, and a closing conference.
A. Pre-visit Preparation. An onsite consultation visit will be made only after appropriate information is gathered from the employer.
1. Information Gathering. This is an especially important part of pre-visit preparation since it will determine the quality and professionalism of services provided. Full service visits will require sufficient information from the employer prior to the onsite visit to thoroughly evaluate the systems in place at the worksite. Some of the information needed will include:
a. Existing safety and health management programs
b. OSHA 200 logs
c. First reports of injury
d. Accident investigation reports
e. Workers' compensation and insurance data
f. Copies of programs in place (e.g., respiratory protection, lockout/tag-out, confined space, etc.)
g. Safety & health committee meeting minutes; site layout; and organizational charts.
h. Limited service visits will not normally require the amount of information collected for a full service visit. However, sufficient information must be secured so quality services can be provided.
2. Research. Each consultant will review and analyze the data provided by the employer. In addition, the following information should be reviewed prior to the visit:
a. Case File. The case file of previous consultations, if available.
b. References. Appropriate technical references to become knowledgeable about potential hazards and industrial processes that may be encountered and to identify personal protective equipment necessary for protection against anticipated hazards.
c. Standards/Sampling Methods. Appropriate standards and sampling methods. Based on experience and information on file concerning the establishment, select the instruments and equipment that will be needed and prepare them using standard sampling and calibration methods as outlined in the OSHA Technical Manual, the latest release of OSHA Instruction CPL 2-2.20B, OSHA Directives, manufacturer's recommendations, and other standard calibration procedures and practices.
3. Survey Materials and Equipment. It is the responsibility of the Project Manager to ensure that all materials and equipment required for an onsite survey are available to the consultant. The consultant, however, is responsible for taking and using the equipment needed for the onsite visit.
a. Forms and Handouts. The consultant will assemble all reports, forms and other materials in sufficient quantity to conduct the onsite survey.
b. Personal Protective Equipment. All necessary personal protective equipment will be used. The Project Manager will ensure that the equipment is usable and that the consultant has been trained in its use and limitations. (Further information on the proper selection and use of protective clothing and equipment, including respiratory protection, can be found in OSHA Instruction CPL 2-2.20B and other pertinent OSHA Directives.)
4. Safety and Health Rules or Other Special Policies of the Employer.
a. Rules and Practices. All safety and health rules and practices of the employer, including the wearing of safety clothing or protective equipment, will be observed by the consultant.
b. Immunizations or Other Special Entrance Requirements. Immunizations and other special entrance requirements will be observed. The Project Manager will ensure that the consultant has the proper immunizations for these situations. (Many pharmaceutical firms, medical research laboratories and hospitals have areas which have special entrance requirements.)
c. Personal Security Clearance. Where personal security clearances are required, the Project Manager will assign a consultant who has the proper clearances or ensure that appropriate ones are secured.
d. Classified Information and Trade Secrets. Any classified or trade secret information and/or personal knowledge of such information by State personnel will be handled in accordance with the regulations of the State. The collection of such information and the number of personnel accessing it will be limited to the minimum number necessary for the conduct of the onsite consultative survey.
5. Visit Confirmation. For onsite visits with employer requested visit dates of thirty days or more after the request date, the requesting employer should be contacted within five calendar days of the scheduled visit to confirm the visit date. At the time the employer is contacted to verify the scheduled visit, the employer should once again be asked whether any Federal or State OSHA inspection activity is in progress.
B. Entry to the Workplace. Upon arrival at the worksite, the consultant will introduce himself/herself and produce identification (business card, State employee ID or both, etc.) which, at a minimum, identifies the following:
1. The consultant's name.
2. The consultant's employer.
3. The consultant's place of employment.
(The consultant will make clear that he or she is a representative of the State/OSHA consultation service, state the reason for the visit, and ask for the person in charge of the workplace.)
C. Opening Conference. The first phase of the onsite visit is the opening conference. The conference is used to establish a clear understanding of the purpose of the visit and its procedures. It provides an opportunity to gain the employer's trust, and it allows the consultant an opportunity to confirm the scope of the request and to review with the employer the terms of the visit.
1. General. The scope of the opening conference will be determined by the type of visit being conducted, e.g., fill service or limited service.
2. Information to be Covered. The following information will be covered during the opening conference:
a. Introductions. The consultant will identify himself/herself and anyone else in the party. The employer, other company representatives, and employees will be identified and their names recorded in the case file notes.
b. OSHA Enforcement Inspection in Progress. As part of the information included in the terms of a visit, verify the employer's status regarding any ongoing or previous OSHA enforcement activity, and verify that a current inspection is not in progress. If an inspection is in progress, explain that such an inspection takes priority over an onsite consultation visit. Terminate the onsite visit immediately. Follow up with a letter to the employer explaining that a consultation visit cannot be rescheduled until the employer has been notified that no citations will be issued. If citations are issued, onsite consultation can be provided only with regard to those citation items that have become final orders and any items not cited. (Final orders are citations for which the period of contest has elapsed; they are final and are not subject to contest.)
NOTE: A compliance inspection is determined to be "in progress" from the time that a compliance officer originally seeks entry to the workplace to the conclusion of the closing conference. Also, the inspection is determined to be in progress where entry is refused until such time as the Regional Administrator determines that allowing a consultation visit would be in the best interest of employee safety and health or a warrant is sought and executed.
c. Safety and Health Achievement Recognition Program (SHARP). State consultation projects which participate in SHARP may wish to explain the terms of the program during the opening conference. Employers who successfully complete all requirements of a full service visit, have a fixed worksite, employ fewer than 250 employees at the site, and have fewer than 500 employees at all sites nationwide, and meet other requirements for participation, may request recognition through the Safety and Health Achievement Recognition Program (SHARP). This employer incentive program recognizes employers who establish and maintain effective workplace safety and health management programs with a certificate suitable for framing. It also grants removal of the employer's establishment from a Federal or, where applicable, State OSHA general schedule inspection list for one year. (See Chapter X, SHARP, for further information.)
d. Required Information. The consultant will emphasize the following policies and procedures to the employer as part of the terms of the visit.
(1) Program Characteristics:
(a) Independence. The consultation program is independent of Federal OSHA enforcement or State enforcement.
(b) Cost. Consultative services are provided at no cost to the employer and are supported by Federal and State funds.
(c) Confidentiality. The employer's name and the results of the onsite visit will remain confidential from State or Federal enforcement, except in situations where hazards are not corrected as agreed upon, or where the employer participates in SHARP.
(d) No Citations or Fines. Consultants do not issue citations or propose penalties.
(2) Employer Obligations. Ensure that the employer understands the following:
(a) Full Service Visits. Under full service consultative assistance, employers must agree to actively participate in implementing an effective workplace safety and health management program.
(b) Unionized Sites.
1 During the opening conference, the employer must afford the highest ranking union official or union employee representative the opportunity to participate fully in the consultative visit. This means that, during the opening conference, the employer must either afford the highest ranking union official the opportunity to either participate in the walk around or designate who will participate in the walk around of the worksite. At an establishment where groups of employees have different representatives (union and non-union), it is acceptable to have a different employee representative for different phases of the inspection, i.e., union representatives for those work areas which affect union employees, non-union representatives for those work areas which affect non-union employees.
2 More than one employee representative may accompany the Consultant throughout or during any phase of an inspection if the Consultant determines that such additional representatives will aid, and not interfere with, the inspection of the work site.
(c) All Worksites. At all sites, the employer will be encouraged to involve employees in the consultative visit and the employer must permit the consultant to conduct random private interviews with employees.
(d) Imminent Danger Situations. The employer must correct imminent danger situations immediately, or remove employees from the danger area. Failure to do so will result in referral to enforcement.
(e) Hazards. The employer must correct all serious hazards in accord with mutually agreed upon correction due dates and provide documentation to the project of the action taken to eliminate or control the hazards. Failure to do so will result in referral to enforcement. Employers are expected to correct other-than-serious hazards in a timely manner.
(3) Employer Rights. Ensure that the employer understands the following:
(a) Termination of Services. The employer has the right to terminate participation in the visit at any time. However, the employer is responsible for correcting any hazards identified up to the point of visit termination.
(b) Informing Enforcement. In the event of a subsequent enforcement visit, the employer does not have to inform enforcement of the onsite visit or furnish a copy of the results, except to the extent that disclosure of information contained in such a report is required by 29 CFR 1910.20 or other standards.
(c) Scope of Survey. The employer has the right to change the scope of the survey at any time during the course of the visit, including termination of the hazard survey before its completion. However, the employer must understand that any hazards identified prior to termination must be corrected.
(d) Correction Schedule. The employer has the right to disagree with correction schedules and may, within 15 working days of receipt of the Written Report to the Employer, appeal to the Project Manager for amendment of the correction date(s) or any other substantive findings of the Report.
(4) Effect on Enforcement. Explain fully the impact of the consultation visit on enforcement as follows:
(a) Employer Good Faith. If the employer chooses to provide enforcement with a copy of an onsite visit report, it will be used by enforcement to determine the employer's "good faith" for purposes of adjusting any proposed penalties, as well as the extent to which an inspection is required.
(b) Subsequent Inspection. The advice of the consultant and the consultant's written report will not be binding on a compliance officer in a subsequent enforcement inspection. In a subsequent inspection, a compliance officer is not precluded from finding hazardous conditions or violations of standards, rules or regulations, for which citations would be issued and penalties proposed.
(c) Referral to Enforcement.
1 If an employer fails to eliminate an imminent danger or serious hazard within the established time frame or any extensions thereof, the case must be referred to OSHA enforcement for appropriate action. In addition, 1908.6(f)(1) requires that the consultant immediately notify affected employees in an imminent danger situation.
2 In the event of an employer referral to OSHA enforcement, the state Consultation Project Manager, in coordination with the Federal OSHA Regional Office, will notify the appropriate federal or state OSHA office at the time the employer is notified that a referral is being made. The Project Manager will provide the enforcement office with all relevant information to the case. The Project Manager will communicate that the employer has declined to correct the hazard in question and recommend that appropriate action be taken.
(d) Visit Termination. If one of the following kinds of enforcement action is about to take place, the onsite visit will be terminated:
1 Imminent danger investigation
2 Fatality/catastrophe investigation
3 Complaint investigation
4 Other critical inspections as determined by the Assistant Secretary.
(5) Explanation of the Onsite Process. During this phase, the consultant will explain to the employer what will occur during the onsite process following the opening conference.
(6) Explanation of the Closing Conference Process. The closing conference process will also be explained at this time.
D. Assessment/Assistance. During this phase of the onsite process, the consultant will become familiar with plant processes, collect information on hazards, observe employee activities, conduct interviews, and offer advice on hazard control or elimination as appropriate.
1. Safety and Health Program Assessment. The primary purpose of program assistance is to promote the improvement of safety and health management systems. Consult Chapter IX, Safety and Health Program Assistance, for detailed instructions.
2. Hazard Assessment. Identification of actual or potential safety or health hazards is an indicator of safety and health program management system deficiencies, and the hazards will be referenced to applicable safety and health management program elements.
a. Hazard Identification. Record all facts pertinent to the suspected hazard(s) on field notes to be included in the case file. Suspected hazards will be brought to the attention of the employer or employer representative, and any employee representative at the time they are recorded.
(1) Imminent Danger. If an imminent danger exists, exposed employees will be informed and the employer must remove them from exposure immediately.
(2) Documentation. All field notes, observations, analyses, and other written documentation are part of the survey record and will be retained in the case file. Photographs, sketches, and hazard descriptions are part of the survey record and will be retained in the case file.
(3) Identifying Hazards and Potential Hazards. The consultant will document as much information as necessary to establish the specific characteristics of each identified hazard.
(a) Describe the observed hazardous conditions or practices, i.e., the facts which constitute a hazardous condition, operation or practice, and the essential facts as to how a standard is violated. Specifically, identify the hazard(s) to which employees have been or could be exposed and the relationship of each hazard to the appropriate safety and health management program element(s).
(b) Describe the type of accident which could reasonably be predicted to result from each identified hazard. Identify the name and exposure level of any contaminant or harmful physical agent to which employees are, have been, or could be exposed. If more than one type of accident or exposure could reasonably be predicted to occur, describe the one which would result in the most serious injury or illness.
(4) Work Processes. Observe and comment on work processes, methods, and procedures.
(5) Employee Exposure Not Observed. If employee exposure is not observed, describe what could occur in the event of employee exposure.
(6) Interim Protection. Indicate in the case file notes whether interim protection is required, the nature of the interim protection, and the date the interim protection will be in place.
(7) Hazards Corrected on the Spot. If the employer or the employer's representative is able to correct the hazard "on the spot," note the hazard and the correction method in the field notes.
(8) Referrals. Note potential health/safety problems referral to a respective health/safety consultant.
b. Hazard Correction Assistance. Consultants will offer general suggestions and explanations during the walk through on how hazards might be corrected. The information provided should enable the employer to develop acceptable correction methods or to seek other appropriate professional assistance.
(1) Assistance. The type of assistance provided to the employer will depend on the needs of the employer and the complexity of the hazard. Where standards specify correction methods, such as guarding of belts and pulleys, the consultant will ensure that the employer is aware of the specifications. For more complex problems, the consultant will offer general information on types of controls and procedures commonly used to correct the hazard. Alternative methods should be provided whenever possible.
(2) Employer Responsibilities. The employer must be informed of the following:
(a) The employer is responsible for selecting and carrying out an appropriate correction method.
(b) The methods explained are general and may not be effective in all cases.
(c) The employer is not limited to the correction methods suggested by the consultant.
3. Training and Education. Training and education services may be delivered during the visit. Training should be based on findings of the workplace assessment. (Refer to Chapter VIII, Training and Education by Consultant, for types of training and specific training requirements.)
E. Closing Conference. This is normally the final phase of the onsite activity. There may be more than one closing conference (safety and health). During this phase, the consultant will explain and review with the employer the following:
1. Suggested improvements in workplace management systems for safety and health.
2. Hazards observed, standards violated, the classification of hazards, possible solutions, and correction dates.
3. Other sources of hazard correction assistance.
4. Recommendations for additional training.
5. The content and timetable of the written report.
6. The employer's report of hazards corrected.
7. Explain that the outcome of industrial hygiene sampling analysis, other than direct readings, will be provided at a later date when the results are available.
Chapter VII Written Report to the Employer
(This Chapter is Reserved)
Chapter VIII Training and Education by Consultants
A. Purpose. This chapter contains policies and procedures on consultant provision of training and education to employers and employees. Training and education is one of several tools available to the consultant to assist employers in the development of effective safety and health management systems and in the identification and control of hazards.
B. Training and Education Function of Consultants. While training and education is often a natural part of the consultative process, it is not intended to become the major emphasis of the consultation program.
1. Informal training and education conducted by consultants onsite should complement the training and education efforts of full-service Area Offices, training and education programs in State plan States, the OSHA Training Institute (OTI), and the Education Centers funded by OSHA through OTI. Consultants are in a unique position to provide assistance to employers and employees at the worksite to change their behavior.
2. Some assistance to employers or employees which is provided during the walk through or in conference with management can be considered training and education, yet it is similar to technical assistance. Consultants are encouraged to provide this type of incidental training and education. It will not be discussed at length in this chapter nor will data on incidental training and education be collected for the Consultation Data System.
1. Training and Education. Planned and organized activity by a consultant to impart information, skills, or techniques to employers and employees which enables them to establish and maintain employment and a place of employment which is safe and healthful.
2. Informal Training and Education. Training and education which occurs during the initial visit or hazard survey and typically involves a brief interruption of work or production to instruct individuals or small groups on concepts, techniques, or methods.
3. Formal Training and Education. Training and education on a particular subject which is structured, scheduled, and provided to larger groups of employers and employees such as associations and unions. Formal training and education sessions are typically longer than informal sessions and may be conducted during the initial visit or hazard survey but are usually a separate activity.
4. Onsite Training and Education. Informal or formal training and education that takes place at the employer's place of business.
5. Offsite Training and Education. Formal training and education which takes place at a location other than the employers' place of business.
D. Responsibilities.
1. Regional Administrator. The Regional Administrator is responsible for:
(a) Monitoring, and when appropriate, coordinating the training and education conducted under 7(c)(1) agreements in all States.
(b) Keeping consultation projects (both 7(c)(1) and 23(g)) informed of the training and education resources of OTI, the OTI Education Centers, and the OSHA full-service Area Offices.
2. Consultation Project Manager. The Project Manager is responsible for coordinating the training and education activities of individual consultants; specifically:
(a) Assessing the training and education skills and interests of consultants and identifying those consultants most capable of providing formal instruction.
(b) Ensuring that consultants are adequately trained to provide the formal training and education for which they have been assigned responsibility.
(c) Assigning priority to and scheduling employer requests for formal training and education.
3. Consultants. Training and education by consultants will be conducted within the following guidelines:
(a) In preparation for a consultative visit, consultants should anticipate employer or employee training and education needs in view of the work processes and potential hazards of the workplace and brief themselves on the information necessary to provide incidental or informal instruction.
(b) Employers will be notified that informal training and education may take place as part of the consultative process but only with the consent of the employer.
(c) During the closing conference, consultants will discuss with the employer any training and education needs identified but not addressed during the visit. If the employer so requests, the consultant may assist in developing a training and education plan. Based on that plan, the consultant will, where appropriate:
(1) Help to identify employer in-house resources to conduct training and education.
(2) Help to identify sources of training and education other than the State consultant.
(3) Accept the employer's request for formal training and education by a consultant at a later time.
(d) Where the employer can effectively deliver training and education with his own staff, the consultant will encourage and assist in such preparation in order to increase the employer's self-sufficiency.
(e) Similarly, where formal training and education from a source other than the consultation project (e.g., the OSHA fill-service Area Office, a State plan State, or an OTI Education Center) would be equally effective, the consultant will refer the employer to that source to conserve consultation resources for other purposes.
(f) Consultants who have the knowledge and skills to provide formal training and education in conjunction with an initial or follow-up visit may do so at the request of the employer if time and other consultative priorities permit.
(g) Employer requests for training and education which require separate training and assistance visits will be submitted to the Consultation Project Manager for assignment of priority and scheduling.
II. Relationship of Training and Education to Consultation.
A. Onsite Training and Education.
1. Basis for Training and Education. Onsite training and education by consultants will be based on a survey of workplace hazards by the consultant or other acceptable party (see B.1.c.).
(a) The training and education will be tailored to the nature of the hazards or potential hazards in each specific workplace.
(b) Training and education will be conducted at the worksite in a manner which makes it most relevant to the circumstances of the site.
2. Sources of Training and Education Requests. Training and education is provided to employers or employees at the employer's request, or at the recommendation of the consultant and the employer's subsequent agreement.
3. Need for Hazard Survey. Employer requests for onsite training and education will be accepted only in conjunction with, or subsequent to, a hazard survey. Onsite training and education may be provided:
(a) In conjunction with an initial hazard survey.
(b) During a training and assistance visit which follows a hazard survey that was performed within the 12 months preceding the date of the request for a training and assistance visit, and that covered the conditions to which the training and education relates. A hazard survey may be accepted as a basis for training and education if:
(1) It was conducted by a State consultant, a Federal or State compliance officer, or a private consultant; and,
(2) The State consultant has access to the report on the survey (e.g., the employer's copy of the OSHA-2) and is able to confirm that hazards were fully identified and corrected or are being corrected, and that no new hazardous conditions exist. The consultant will conduct a brief walk through the workplace to verify hazard corrections and review current conditions.
B. Offsite Training and Education.
1. Characteristics. Offsite training and education takes place at a location other than the employer's place of business. Offsite training and education may take place at the consultation project office, but does not include training and education provided by telephone or letter. A hazard survey is not a prerequisite for providing this service. Procedures for recording and entering offsite training and education information into the data system are in the IMIS Consultation Forms Manual, OSHA Instruction ADM 1-1.29.
2. Limitations on Providing Offsite Training and Education.
(a) Consultants are strongly encouraged to refer employer requests for offsite training and education to other resources such as OSHA full-service Area Offices in Federal enforcement States, the training and education programs of State plan States. OTI Education Centers, community safety and health organizations, or local training and education institutions.
(b) However, on occasion, offsite training and education of one or more employers (and/or groups of employees) may result in a more efficient use of consultant time and training and education resources, and provide a more effective way to address an instructional need common to a number of employers.
Example: A number of employers request assistance in understanding and applying a standard, e.g., Hazard Communication. A series of offsite seminars may address the needs of those employers more effectively or efficiently than a presentation to every site.
(1) In order to avoid duplication of effort and to ensure the most efficient use of limited consultation resources, requests for offsite training and education approved by the Project Manager should be coordinated with the Regional Administrator, or State Designee in State plan States, when appropriate. This will allow the Region or State the opportunity to co-sponsor the activity, and provide the opportunity for the Region and State to work together to deliver a joint training and education session when this would be efficient and effective.
(a) Such coordination is specifically desired to avoid duplication of activities and possible inefficient use of training and education resources in the same geographic area.
(b) State plan States are not required to provide offsite training and education under their 7(c)(1) agreement, but if they choose to do so, they should coordinate their activities with the Regional Administrator, when appropriate. A State plan State may, however, elect to conduct offsite training and education under their own 23(g) funded program, absent coordination with the Regional Administrator, as long as it does not involve the use of any 7(c)(1) agreement funds.
(c) Should the Regional Administrator, and where applicable, the State Designee, choose to participate in the offsite training and education, the activity will be planned and delivered cooperatively, with each party sharing the sponsorship and the responsibilities.
III. Types of Training and Education.
A. Informal.
1. Characteristics. Informal or incidental training and education includes the following:
(a) Pre-visit preparation by the consultant similar to the preparation for an onsite visit. However, the preparation is very general and is based on training and education needs anticipated by the consultant, not necessarily those specified by the employer.
(b) Instruction through demonstration, aimed at achieving immediate change in knowledge or behavior.
(c) Onsite delivery as an immediate or spontaneous response to issues raised or needs identified during the initial consultation visit.
(d) Brief interruption of the work or production process in order to conduct a demonstration or to share information in an efficient manner.
(e) Limited or task-specific focus, oriented toward issues directly related to identified hazards, workplace conditions or management practices.
(f) Loosely structured format, flexible enough to allow adaptation to the needs of the audience or the conditions of the workplace.
2. Examples. The following examples are typical of informal or incidental training and education activities conducted by consultants:
(a) During the hazard survey, the consultant notices that a machine guard has been removed, apparently because an employee thought it was cumbersome. The consultant points this out to the employer, who acknowledges that it is a problem which has occurred more than once. The consultant offers to provide a brief "refresher" session on the purpose, value and use of machine guards. The employer agrees, and asks a small group of employees who use the machine to stop what they are doing for a few minutes and gather around the machine to watch and to listen to the consultant.
(b) During the opening conference, the plant manager and supervisors mention that they would like to improve their method of training new employees. The consultant suggests several methods, and mentions Job Hazard Analysis as an effective, easy-to-use procedure for analyzing a job, determining the best way to perform it, and identifying an employee's training and education needs. When the managers express an interest, the consultant shows them a Job Hazard Analysis, discusses how to apply it to new worker training and education, and tells them how to obtain copies of the form and its instructions.
1. Characteristics. Formal training and education includes the following:
(a) Typically conducted in a separate visit, since formal training and education takes longer than informal and requires more preparation, though it maybe conducted at the time of the hazard survey or during a follow-up visit if the consultant is prepared and the employer agrees.
(b) Usually "scheduled" instruction which allows the consultant time to prepare the presentation and materials.
(c) The content of formal training and education, while generally focusing on broad safety and health concepts or potential hazards, could still have immediate application to the workplace under consultation if done onsite.
(d) Structured, "classroom style" instruction which can utilize audiovisual materials, printed materials, lectures, discussions or demonstrations.
(e) Training and education designed for long-range competency building and self-sufficiency.
(f) Usually serves larger groups of employers and/or employees.
2. Examples. The following examples are typical of the formal training and education activities of consultants:
(a) An employer has requested consultation to help strengthen the accident prevention and injury management program. Following the initial visit and hazard survey, the consultant schedules a training and assistance visit to be conducted a week later and begins preparing for the visit back at the consultation project office. The consultant prepares a program designed for both management and workers, using a lecture, a film-strip and open discussion to cover such issues as management leadership, employee involvement, hazard identification, improving work procedures, actions to take in case of accident or injury, accident investigation procedures and accident record analysis to prevent future incidents. The training and education is delivered in the plant lunchroom to all employees during the last two hours of the workday. (Formal training and education onsite.)
(b) An employer has written to the project requesting a briefing on the new Process Safety Management Standard. He indicates he plans to bring all supervisors and branch managers from other sites around the state to a central location (offsite) for this presentation. (Formal training and education offsite.)
IV. Allocating and Recording Training Time.
1. Scheduling Informal Training and Education. Informal training and education is typically unscheduled, and can be provided during the initial visit or a subsequent visit which was intended primarily for verification of hazard correction or for Safety and Health Program Assistance.
2. Scheduling Formal Training and Education.
(a) Formal onsite training and education is typically scheduled as a separate training and assistance visit, but if appropriate and feasible, it can be provided during an initial or follow-up visit.
(b) When appropriate and after coordination with the Regional Administrator, formal training and education may be scheduled offsite.
B. Recording Training and Education Time. Instructions for recording time spent and other data related to training and education are in the IMIS Consultation Forms Manual, OSHA Instruction ADM 1-1.29.
V. Reporting to the Employer.
A. If training and education services are provided during the initial visit, a summary of the services provided will be included in the written report to the employer.
B. If training and education services are provided after the written report has been sent to the employer or in separate training and assistance visits or during a follow-up visit, the consultant will place a description of the training and education provided into the employer's case file.
VI. Coordinating Training and Education Activities. Steps to coordinate training and education activities with other groups are strongly recommended in order to avoid duplication of events within a geographic area and to allocate resources in an effective manner.
A. Coordination with State Plan Training and Education Programs. 7(c)(1) projects in State plan States are encouraged to work with the State plan training and education program staff to coordinate onsite training and education events.
B. Coordination with OSHA Regional and Area Offices.
1. Consultation projects are encouraged to share information with the Regional Administrator on the type of training and education they are providing so that opportunities for cooperative activities can be identified.
2. Consultants are encouraged to make use of the training and education resources and expertise available at OSHA Area Offices, and to inform employers of these resources. Information on these resources may be obtained from the Regional Administrator.
C. Coordination with Targeted Training Grantees.
1. Labor unions, employer associations, and other nonprofit organizations across the country have produced a variety of training and education materials and conducted instructional activities with the support of OSHA grant programs.
2. Consultation projects are encouraged to contact past and present grantees to identify training and education resources and opportunities for cooperative training and education. Information on grantees, the audience they serve, and their products may be obtained from the Regional Administrator or OSHA'S Office of Training and Education.
3. Consultation projects are strongly encouraged to refer requests for offsite training and education to grant recipients, OTI Education Centers, or other training and education resources.
D. Coordination with the OSHA Training Institute (Office of Training and Education).
1. Through a request to the Regional Administrator, consultation projects may draw upon the resources of the OSHA Office of Training and Education to identify appropriate training and education methods and locate training and education materials. (A current list is maintained on the OSHA Computerized Information System [OCIS] at the Salt Lake City Laboratory.)
2. Consultation projects which develop training and education materials are encouraged to send a copy of these materials to the Regional Administrator for transmittal to the OSHA Training Institute Library so that others may have access to them.
NOTE: Consultation projects should avoid developing or purchasing costly training and education materials with project funds if suitable materials can be borrowed or rented from other organizations.
E. Coordination with Community Safety and Health Organizations. Consultation projects are encouraged to identify and contact community safety and health organizations in order to identify resources for training and education and opportunities for cooperative training and education. Consultation projects may contact the Region for assistance in identifying these organizations.
VII. Consultant Training and Education Capabilities. Additional information on consultant training and education capabilities and acquisition of training and education skills is in Appendix A of this chapter.
VIII.Resources for Training and Education: Sources of Information.
A. The Office of Training and Education maintains a list of audio-visual materials produced by Targeted Training and other grantees on an OCIS file called Resource Center. The source of each item is identified. Most items must be purchased from the grantee, but a few may be borrowed from the OSHA Training Institute.
B. In addition to Federal OSHA, recipients of OSHA-funded Targeted Training grants, training and education programs in State Plan States and other consultation projects, information on training and education resources may be obtained from:
1. Organizations of occupational safety and health professionals
2. Professional and trade publications
3. Employer associations
4. Organized labor groups
5. National and local safety councils
7. Larger employers, businesses and industries
8. Private occupational safety and health consulting firms.
IX. Disengagement from Training and Education.
A. One of the dangers of successful training and education by consultants is that employers may come to rely on or to expect consultants to provide all of their workplace training and education.
B. However, training and education by consultants is designed to foster the self-sufficiency of workplace protection programs and to enhance employer ability to conduct workplace training and education.
C. Consultants will make every effort to help employers develop their own training and education programs, or refer employers to other training and education organizations or to sources of information about training and education. (See IX-1.A.2b., I-1 and IX-14.H.1.)
Appendix A to Chapter VIII Consultant Training and Education Capabilities
I. Competencies Required for All Consultants. In order to be able to provide "training and education on demand," all consultants must possess the following knowledge, abilities and skills:
A. The ability to recognize workplace problems, hazardous conditions or situations which can be addressed effectively through training and education.
B. The ability to recognize appropriate opportunities for training and education.
1. Given an identified need for training and education or a request from an employer, the consultant must determine whether it is an appropriate time to offer and/or to provide training and education.
2. Indicators of opportune moments for training and education include:
(a) Expressed interest on the part of the employer.
(b) Expressed interest on the part of the employees to be trained.
(c) The ability of the employer and employees to interrupt briefly the production or work process to receive training and education.
(d) The immediate relevance and application of the training and education to the work that the employer or employees are performing.
(e) The consultant's immediate access to all information and materials necessary to conduct the training and education.
3. If the time is clearly not appropriate for training and education the consultant will propose to conduct the training and education at another time, to be scheduled at the employer's request.
C. The ability and skill to provide informal training and education during or subsequent to the initial visit.
1. Given the wide range of issues and problems in occupational safety and health consultants are not expected to prepare themselves to train on all conceivable topics.
2. They are, however, expected to prepare themselves to provide informal training and education on topics common to and prevalent among employers in the type of business or industry in which they are consulting.
D. The ability to help employers and employees identify their needs for additional training and education to propose solutions which will help them meet these needs, and to recognize when it is appropriate to refer employers to other training and education resources.
E. The ability to select training and education materials which are technically correct and appropriate to the workplace.
II. Competencies Required of Consultant-Trainers. Consultant trainers are expected to possess the knowledge, skills and abilities required of all consultants (as described above), plus the following:
A. Knowledge of the voluntary nature of adult learning and methods for making training and education interesting and relevant.
B. The ability to assess employer and employee training and education needs in light of both the workplace and the industry.
C. The ability to plan and design training and education programs which are relevant to the needs and interests of the audience, which are feasible for the consultation project to deliver, and which produce the desired results.
D. Effective communication skills for training and education of both employers (management) and employees.
E. Knowledge of effective methods of instruction and how to adapt them to the learning situation.
F. Knowledge of sources of information on training and education materials.
G. Ability to operate applicable audiovisual equipment.
H. Ability to evaluate training and education programs and to plan future programs based on these evaluations.
III. Acquisition of Training and Education Skills. Training on the consultant's role as a trainer is provided at the OSHA Training Institute as part of the "Basic Onsite Consultation Training" (course #150).
IV. Training and Education Techniques. The following information is presented as a summary of the training and education techniques consultants are expected to acquire through formal OSHA sponsored training and education programs.
A. Preparation for Training and Education.
1. Informal Training and Education.
(a) Preparation for a consultation visit is to include the compilation of sufficient information about the workplace, any hazards and potential hazards, information on controlling these hazards, and general industrial processes or trends so that if the employer so requests, informal training and education can be provided "on-the-spot."
(b) Consultants who frequently consult with employers in the same or similar industries may want to prepare informal or formal training and education programs in advance of a visit and use the same presentation at more than one workplace.
2. Formal Training and Education.
(a) Preparation of formal training and education programs will be specific to the request of the employer and the needs of the audience.
(b) Preparation of content may involve research additional to that necessary for a consultative visit the identification of appropriate training and education resources, and an assessment of the needs and experience of the audience.
(c) The planning of formal training and education programs typically involves the following:
(1) Identification of training and education needs.
(2) Selection of content.
(3) Development of objectives to produce the desired changes in the audience.
(4) Development of learning activities.
(5) Design of methods or instruments to evaluate the results of the training and education.
B. Training and Education Methods.
1. Training and Educating Individuals.
(a) Training and education and education of individuals, whether employers or employees, will most likely occur during the walk through or in conferences as incidental training and education.
(b) Typical training and education and education techniques include discussions, demonstrations, answering questions and providing reference materials.
(c) Consultants will bear in mind that training and education of individual employees ultimately will be most effective when conducted by the employer.
2. Training and Educating Small Groups.
(a) Small group assemblage is most typical of informal training and education.
(b) Small group assemblage allows the consultant to make efficient use of training and education time and resources while still incorporating a personalized approach to the structure and delivery of activities.
(c) Effective techniques include brief lectures, audiovisual presentations, case studies, demonstrations, simulations, skill practice, coaching, informal discussions, question and answer sessions, peer teaching and exhibits.
3. Training and Educating Large Groups.
(a) Large group assemblage is most typical of formal training and education.
(b) Effective techniques include lectures, demonstrations, films, sound-slide presentations, open forums, panel discussions, job rotation, speeches, and question and answer sessions.
4. Fostering Independent Learning. Regardless of group size or training and education methods, the consultant can make a valuable contribution to the learning process by encouraging people to pursue a topic or issue on their own and by assisting them in locating learning resources.
C. Communication Strategies.
1. The success of any training and education activity depends in large part on the consultant's ability to communicate the content in a manner that is easily understood and readily applied by the audience.
2. Effective training and education of employers often involves presenting the information in "management terms," i.e., clearly communicating the application of instruction to such management concerns as injury and illness prevention, systems of employee motivation and control or productivity.
3. Training and education of employees relies on communicating the information in "personal terms" which illustrate the application of instruction to such individual concerns as personal health and safety, reduction of physical or mental stress, improvement of job performance, or career development.
Chapter IX Safety and Health Program Assistance
A. Purpose. This chapter explains OSHA's policies on provision to employers of assistance in developing and implementing an effective safety and health (S&H) program.
1. After years of providing onsite hazard recognition and recommendations for hazard control, the agency recognized in 1983 that new approaches were necessary to help small, high hazard industry employers improve working conditions and work practices permanently. The Consultation Program regulations (29 CFR 1908) were rewritten in 1984 (49 FR 119, June 19, 1984) in part to encourage projects to offer safety and health program assistance. The scope of consultative services was broadened in the regulation by shifting the focus from simply the identification and correction of specific workplace hazards to a concern for the effectiveness of the employer's total management system for ensuring a safe and healthful workplace. This emphasis on safety and health program implementation was based on OSHA'S experience that the fact that an employer had hazards under control at a particular point in time did not mean that they would continue to be under control and that other hazards would be prevented. Hazard identification in and of itself does not result in a lasting, comprehensive basis for continued elimination of hazards by an employer. Hazards may recur.
2. In 1989, OSHA published the "Safety and Health Program Management Guidelines" Notice in the Federal Register (January 26, 1989, Vol. 54, No. 16). The Guidelines consist of program elements which represent a distillation of applied safety and health management practices that have been used by employers who have been successful in protecting the safety and health of their employees. OSHA has used the guidelines to form the basis of what is considered by the Agency to be an effective safety and health program when the elements are implemented at a particular worksite. An effective program is one that incorporates workable policies, procedures, and practices to keep hazards under control and to prevent new hazards. Safety and health programs, when effectively implemented, result in long-lasting effects. Further, effective programs empower employers and employees to help keep their workplaces free of injury- and illness-causing problems.
3. The main goal of the OSHA consultation program is not simply compliance with OSHA standards. Compliance is a by-product of systematic workplace review, evaluation and control of hazards through an effective safety and health management program. OSHA's focused inspection effort has recently embraced this concept as a means to more effectively utilize scarce inspection resources.
4. Through work with Voluntary Protection Program (VPP) participants and with the construction sector, OSHA can show that effectively operating safety and health programs prevent injuries and illnesses by controlling hazards and improving work practices. We can show that employee involvement in developing and maintaining safety and health programs improves productivity. Empowering employees improves their self-respect; increasing their responsibilities makes them feel and act more responsibly; and asking for their help brings out information quickly that may otherwise require long and costly studies by management. Safety and health programs produce lasting results, since they involve employers and employees in continuous control of hazards and continual review and improvement of worker safety and health.
1. Effective. The word "effective" is the same as the word "adequate" used in current industry standards, i.e., sufficient to protect employees from reasonably foreseeable hazards. A safety and health program is effective if it protects employees from actual and potential hazards.
2. Guidelines. The word "guidelines" refers to Federal Register Notice 54 FR 3908, published January 26, 1989, entitled "Safety and Health Program Management Guidelines." These guidelines are the basis for the Form-33, Safety and Health Program Assessment Worksheet, shown in Appendix A to this chapter.
3. S&H Program. "Safety and health program," when used in this chapter, refers to a comprehensive, employer-provided, site-specific system to protect worker safety and health. The word "program" is used interchangeably with the entire phrase throughout this chapter.
NOTE: Although an employer may develop separate worker protection programs for safety and for health, or may divide responsibilities among any number of individuals and groups, the consultant must deal with the program as a whole, pointing out any gaps, redundancies or conflicts allowed by the employer's specific systems and practices.
4. Program Assessment. "Program assessment" refers to a consultant's review of an employer's existing safety and health program to identify which elements are adequate and which ones need development or improvement. Program assessment is facilitated by the Form-33, Safety and Health Program Assessment Worksheet, shown in Appendix A to this chapter.
5. Program Assistance. "Program assistance" refers to the consultant's recommendations, based on program assessment for developing or improving program elements to create an effective program. Complete development of a program from scratch is still program assistance and is still done using the Form-33 as a guide.
(a) Type of Assistance. Previous distinctions between formal and informal program assistance no longer apply. This change is part of the Consultation revision effort of FY 95.
(b) Scope of Assistance. Comprehensive safety and health program assistance covers the entire worksite and the complete safety and health program, to the extent of the consultant's knowledge. (Consultants are not expected to provide engineering solutions or in-depth training, but are expected to refer employers to other sources of assistance.) Previous categories Hazards Only and Hazards Plus are now considered specific safety and health program assistance, provided in conjunction with a limited service hazard survey.
II. Elements of a Fully Effective Safety and Health Program.
A. MANAGEMENT LEADERSHIP AND EMPLOYEE INVOLVEMENT assigns safety and health responsibility and authority to supervisors and employees and holds them accountable. It includes policy formulation, annual goal-setting and program review, management example, and employee empowerment.
NOTE: Employee empowerment gives employees the responsibility to make decisions about their work, thereby enhancing job flexibility. It is based on the view that employees know how to do their jobs and can and should be trusted to do so without having to check or get permission for issues that fall outside a narrow realm.
B. WORKSITE ANALYSIS identifies current and potential hazards. It includes a thorough baseline survey to review work processes and individual potential hazards, management of change (to deal with facilities, equipment, and the physical, economic and regulatory environment), job hazard analysis (written safe operating procedures for major tasks), a self-inspection program using checklists, a system for reporting hazards, accident and incident investigation, and analysis of injuries and illnesses.
C. HAZARD PREVENTION AND CONTROL. Prevention consists of such measures as regular maintenance and housekeeping; emergency planning and preparation; first aid and CPR training; ready access to emergency care, medical surveillance; and may include such measures as preventive health care. Control includes guards, enclosures, locks, protective equipment, safe work procedures (the result of job hazard analysis), and administrative placement of personnel so as to minimize hazards.
D. SAFETY AND HEALTH TRAINING of all personnel about the hazards they may be exposed to, and the identification, prevention, and control of those hazards. Managers and supervisors also need training in program management (e.g., enforcing rules, conducting drills, and accident investigation). Training can demonstrate management leadership and facilitate employee involvement.
III. Procedures for Comprehensive Program Assistance.
A. Consultant Training and Preparation. The consultant should have been provided training in the subject and should be comfortable with both the technical and programmatic aspects of consulting on this subject.
B. Promotion. The employer must request the services that will be provided by the consultant, but the project and the consultant should promote this service for high-hazard small businesses as being essential to lasting improvement in employee safety and health. (All visits must include safety and health program assessment and assistance for issues/areas covered by the visit.)
C. Opening Conference. During the opening conference, the consultant uses the Form-33 to acquaint management (and, preferably, an employee representative) with the OSHA guidelines. There is discussion of the employer's safety and health systems and practices at the workplace and a gathering of supporting documents. This discussion enables all parties to speak the same language and helps the consultant determine the current complexity and formality of the employer's program. Remind the employer that comprehensive program assistance requires permission to conduct random private interviews with employees, selected for their program responsibilities, to conduct program assessment. Explain that these formal interviews will not be held without permission, but that, without them, it may be impossible to provide the requested assistance.
D. The Hazard Survey (Walk Through). The consultant must identify hazards in the workplace before an effective safety and health program can be designed and implemented. However, the mere identification and control of hazards may not produce lasting results at the worksite, since old hazards can recur and similar hazards can also recur. A management program provides systematic policies, procedures, and practices which address continued hazard control. During the walk through, consider how each hazard observed could have been prevented or corrected by appropriate elements of the safety and health program and be prepared to explain how to improve the program so that the same or similar hazards will not occur.
EXAMPLE: Lack of a machine guard may indicate a need for development of or improvement in:
1. Rule development and enforcement by supervisors (Management Leadership).
2. Positive attitude towards safety (Employee Involvement).
3. Job hazard analysis (Worksite Analysis).
4. Attention to guards as part of equipment maintenance (Hazard Prevention).
5. Safety interlocks integrated into machine design (Hazard Control).
6. Employee training in the use of machine guards (Safety and Health Training).
E. Interviews. Assessment requires talking with managers, supervisors and employees. The consultant may need privacy to do the talking and/or to make notes from the talks.
F. Determination of Program Effectiveness.
1. Based on the information obtained, score the Form-33 for each indicator (or note on the form that a particular indicator is not applicable). The consultation Form-33 covers the 25 indicators of the safety and health program guidelines and provides space for the consultant to make observations, suggestions, and other comments. Each element has a scoring range of 0 to 4, for a total possible form score of 100. With a scoring range of 100, the form allows an employer's progress in developing a filly effective safety and health program to be charted and easily understood on a percentage scale.
2. The 0 to 4 scores in each indicator are essentially the same. No score (0) is awarded where little or no evidence of positive effort can be found. Basic or minimal compliance generally yields a "1." For example, written material may exist, but awareness or understanding is limited. By level "2," some positive changes and/or behavior is generally apparent. Level "3" suggests most people are aware of and adhere to the expectations spelled out by that indicator. Level "4" is the region of excellence that suggests the workplace culture is fully supportive of safety and health as a fundamental value.
3. Total scores for the form can be assessed accordingly: Zero to 24 suggests elements of an effective safety and health program simply do not exist. Twenty-five to 49 suggests the paperwork exists and that there may be some level of program understanding. Fifty to 74 indicates that safety and health is fairly well established and supported in the workplace. Scores of 75 and above point to a facility where everyone plays a positive role and the workplace is fully supportive of safety and health and the safety and health management system. It is important to note, however, that effective total scores (effective programs) are those in which relatively equal scoring occurs in each of the four major program elements (in other words, not having 30 points in one element, but only 6 in another, and large numbers in the others, etc.).
4. Form-33 also allows for the graphic display of total scores, and scores for each major program element. This allows the employer and consultant to visualize the employer's status in meeting each of the major program elements. Comparison of copies of the graphs, over time, will show the progress being made.
5. Form-33 appears in Appendix A along with instructions for using and scoring the form. The 33 is a tool for use by consultants which will help them explain the 1989 Agency Program Management Guidelines to facility management and to work with them on achieving the highest possible scores in each element. Consultants should leave a copy of the completed form with management to allow them to use it as a tool to work to improve their program and to be able to understand what steps may be necessary to move up in "scoring" on the form. Form-33, used in this way will serve to reinforce efforts employers and their employees may have already made, and will suggest achievable next steps in the facility's program improvement.
G. The Closing Conference.
1. During the closing conference, any hazards identified should be discussed with the employer in terms of how an effective safety and health program would address and assure their continued control. Explain to the employer why any aspect of the workplace safety and health program needs improvement. Explain the Form-33 total score and individual element scores, and agree on goals, strategies and implementation dates for each ineffective indicator.
2. Ensure employee participation during the closing conference, explaining to the employer that employee involvement is key to the implementation of an effective safety and health program.
3. As a schedule is agreed upon for the development and implementation of the program, write these dates onto the blocks provided on the Form-33. Given the necessity for employee participation and the fact that a nonexistent or minimal program may require further consultant visits, you may decide not to try to develop the whole program in one session.
4. When the consultant and employer agree that comprehensive implementation or improvement of a nonexistent or minimal program will require considerable time and further visits, they may agree to establish a multi-step program assistance plan, upon approval of the Project Manager, with reviewable goals and timetables based upon program indicators.
5. If a sample safety and health program has been developed for the employer's industry and it is available, provide it as a model to the employer.
6. Provide examples of documents, forms, and procedures, when available, for recommended activities. Such examples might include forms for employee notification of safety problems, job hazard analysis procedures, self-inspection procedures and self-inspection report forms. As discussed above, leave a copy of the Form-33 for the employer to use and refer to in his or her work on program development, implementation and refinement.
H. Report to the Employer.
1. For every initial visit, a discussion of how program assistance was provided will be included in the written report to the employer. Development of the safety and health program will follow the Four Point Workplace Program described in the OSHA "Handbook for Small Businesses."
2. If further program assistance is provided through a training and assistance visit, the consultant may submit, as directed by the Project Manager, either a follow up letter or a revised report to the employer.
3. Sample materials not available at the closing conference maybe mailed with the written report.
I. Consultation Data System Forms. The IMIS Consultation Forms Manual (OSHA Instruction ADM 1-1.29) describes procedures for recording data on requests for and the delivery of safety and health program assistance.
1. Complete a Form-33 for every case in which program assistance has been provided.
2. Using the Form-33, progress on an employer's program implementation can be documented and displayed graphically. Progress on implementation may require the use of several Form-33's, each representing an employer's accomplishments at specific times. These forms should be kept in the case file and must contain complete documentation on indicators of effectiveness for each element how the employer is meeting the desired results. Progress on program implementation may be documented in the case file by either a Form-33 or a letter from the employer describing program indicators and their implementation.
IV. Flexibility in the Application of Criteria.
A. The complexity, formality and degree of documentation needed for an effective safety and health program will vary considerably with the size of the establishment and the nature of its operations. The smaller and less hazardous a business, the less complex, formal and documented the safety and health program will need to be.
B. The consultant must exercise professional judgment in determining the acceptability of an employer's program. The two key questions are, "Does it work?" and "Is it open to review and to change as necessary?"
C. The employer's safety and health program must be reduced to writing to provide and to document accountability and to clearly state safety and health policies and objectives. The level and degree of complexity necessary for written programs are left to the professional judgement of the consultant. Smaller employers may not need lengthy, written programs. Larger employers usually will, which provides a reference document for employees. In addition, certain OSHA health and safety standards require mandatory written programs describing how the employer will comply with the standard's requirements. These programs (e.g., lockout/tagout) will exist as separate but integral documents to the employer's overall written safety and health program. Certain standards require that safe work practices must be reduced to writing. However, these written materials must be effectively communicated to all affected employees, which includes communication to and training of employees whose English may be limited or who may otherwise be impaired.
Chapter IX Appendix A Safety and Health Program Assessment Worksheet
(For Form 33 page 1, Click Here)
(For Form 33 page 2, Click Here)
(For Form 33 page 3, Click Here)
(For Form 33 page 4, Click Here)
(For Form 33 page 5, Click Here)
Chapter IX Appendix B Employee Interview Questions
These questions are intended for use by the consultant to guide oral employee interviews. State that all employee responses will be kept confidential. Explain your purposes in being at the site and in conducting the interview.
1. What is your job here?
2. How long have you worked here?
B. Management Leadership and Employee Involvement.
1. Is there an overall policy here regarding employee safety and health? If so, please restate it in your own words or tell me where to find the policy.
2. How important is worker safety and health protection to management in this company? What have you seen or heard to back up your answer?
3. In your own words, what is (are) this year's safety goal(s), and how is it (are they) going to be achieved?
4. Does management set a good example when it comes to doing things safely? What (else) does top management do to demonstrate interest in worker safety and health? Is it enough? If not, what else needs to be done?
5. Do you have any particular responsibilities for safety and/or health here? If so, what are they? If not, why not?
6. What are you expected to do to keep this company safe and healthful? Do you always do it? If not, why not?
7. How easy is it to get rid of a safety or health hazard? Give an example.
8. What happens when a safety or health goal is not reached?
9. If you have had any part in a review of the safety and health program, describe to the best of your knowledge how that review process works.
C. Worksite Analysis.
1. Are regular safety and health self-inspections made? Are they done often enough? Do the inspectors know their stuff?
2. Have you ever discovered a safety or health hazard? What did you do about it? What should you do about it if you find one tomorrow?
3. Are new safety and health precautions introduced at the same time as or after new facilities, equipment, materials or processes? Give an example.
4. What generally happens after an accident? Does investigation turn up root causes? Give an example.
D. Hazard Prevention and Control.
1. Do you have a set of instructions that you can go by to keep you working safely? If so, do you follow them?
2. If there are any hazardous substances in or around your work area, how are you protected from them? How good is that protection? On what do you base your judgment?
3. Is the facility here usually kept reasonably clean?
4. Is maintenance done regularly? If you perform any maintenance, do you have a set of instructions to go by?
5. Do you know what to do in an emergency? If so, how do you know that, and for what emergencies?
6. Is there a medical program here? If so, how does it work? If not, is there a first-aid program here and how does that work?
E. Safety and Health Training.
1. Have you been trained by this company on all routine, maintenance, and emergency procedures that you are expected to follow? If so, when, how, by whom, and how good was the training given? If not, did you ask for more training? If so, what reason was given for not providing the training you requested?
2. Do you receive regular safety and health training? If so, how much?
3. Are you aware of company safety rules? If so, do they seem to cover everything they should?
CHAPTER X Safety and Health Achievement Recognition Program (SHARP)
I. Program Overview.
A. Objective. SHARP is a recognition program which provides incentives and support to smaller, high-hazard employers to work with their employees to develop, implement, and continuously improve the effectiveness of their workplace safety and health programs. SHARP is a program of the Occupational Safety and Health Administration (OSHA) consultative services program. Guidance in this chapter is intended for use with employers who have demonstrated to the Project Manager that they would be good candidates for SHARP.
B. Recognition. To promote effective safety and health program management and to provide model programs for others to follow, SHARP recognizes employers who operate at their worksites exemplary safety and health programs that result in the immediate and long term prevention of job-related injuries and illnesses. This is achieved by:
1. Encouraging employers to use OSHA consultation services and to involve their employees in establishing fully effective safety and health programs.
2. Providing for public recognition of employers and employees who have worked together successfully to establish exemplary safety and health programs and who have met other specified conditions. This includes transmittal to the employer by the Region of the SHARP certificate of recognition signed by the Assistant Secretary for OSHA.
C. Exemption from OSHA General Schedule Inspections. SHARP provides added incentive for employers to establish effective programs by removing their company's name from OSHA'S Program Inspection Schedule.
II. Program Eligibility. An employer requesting to pursue the process leading to SHARP approval must meet the following criteria:
A. Employ not more than 250 employees at the site and not more than 500 total employees at all sites controlled nationwide.
NOTE: Larger establishments that demonstrate commitment to workplace safety and health beyond the requirements of OSHA standards maybe eligible for OSHA's Voluntary Protection Program (VPP)(see OSHA Instruction TED 8.1, November 10, 1986).
B. Have a lost workday injury (LWDI) rate above the average for their industry or be in an industry that is on OSHA'S high hazard list or a supplemental high hazard list approved by the Regional Administrator and the Director of Federal-State Operations, or be on any national or approved state or local special emphasis program list.
NOTE: When comparing an employer's LWDI rate to the industry average, the consultant should use the most recently published BLS data for the SIC code in which that employer is specifically classified (e. g., 5159), if available. If data is not available, then the consultant should use data for the next highest tier for which data is available (e.g., 515).
C. Be a single, fixed worksite.
NOTE: Multiple worksites under common management will be evaluated and approved separately. Employers of mobile worksites (i.e., logging, longshoring, construction, etc.) are not currently eligible for SHARP.
D. Have at least a one (1) year operating history. Twelve (12) months of operating time is necessary to establish lost workday injury rates (LWDI) and injury incident rates (IIR). (See the most recent version of the Bureau of Labor Statistics (BLS) publications, Occupational Injuries and Illnesses in the U.S. by Industry or the Survey of Occupational Injuries and Illnesses, for more information on current injury and incident rates and rate calculations.)
III. Program Requirements.
A. Employer Responsibilities. Employers requesting initial pursuit of SHARP must agree to:
1. A full service consultation survey of all conditions and operations at the establishment, including a complete safety and health program review.
NOTE: A full service survey is one that addresses all real and potential safety and health hazards. To accomplish this, the Project Manager may need to assign more than one consultant (one safety, one health) to perform the initial survey. The consultants then must work with the employer to correct all hazards identified, both safety and health, and address their continued control through implementing the elements of an effective safety and health program.
2. Involve employees in the development, operation, and improvement of all elements of the workplace safety and health program and in the decisions that affect their safety and health. (See Chapter IX, Safety and Health Program Assistance, for more details.)
3. Work with the consultation program for a period of at least one year from the date of the initial visit, during which time the employer will work to:
a. Correct all identified safety and health hazards and provide the Project Manager with written confirmation that all hazards have been corrected.
b. Implement all elements of an effective safety and health program.
c. Lower the LWDI rate of the establishment to at or below the national average for their industry, based on at least one full year's experience. In addition, the Injury Incidence Rate (IIR) for the site must also be at or below the national average for that industry, as calculated on the most recent 12-month data.
NOTE: After an employer has participated in SHARP for one year and reduced their LWDI, the employer's improved average should be compared to the same BLS data to which the employer's original average was compared.
4. Consult in advance with the consultation project on any changes in working conditions or work processes which might introduce new hazards into the workplace.
5. Notify the project at the end of the one-year or longer period and request a second full service visit.
a. The second visit will be conducted to verify that all of the requirements for SHARP approval have been met (all hazards corrected, all elements of the safety and health program in place and operating effectively, and that the employer's LWDI rate and IIR are at or below the average for their industry).
b. If verified in the second visit that all requirements have been met, the employer may then be recommended by the Project Manger to receive the SHARP certification of recognition.
B. Employers With Existing Exemplary Programs.
1. Employers who meet all of the criteria for SHARP may be recommended for final approval without meeting the twelve month preparatory requirement. (It is anticipated that such employers will rarely be encountered by the consultation program, since SHARP is limited to the more hazardous businesses. In addition, employers who already have exemplary safety and health programs and no existing workplace hazards will probably be encountered infrequently by the consultation project.)
2. The following criteria must be met by the employer:
a. The company must demonstrate that their LWDI rate and IIR are currently at or below the national average for their industry and that the rates have been maintained at or below this level during the period of two consecutive years immediately preceding the date of the initial consultation visit.
b. All other SHARP requirements must be met.
(1) If any minor safety and/or health hazards are identified in the initial visit, all such hazards must be corrected and correction must be verified in writing by the employer prior to project recommendation for SHARP approval.
(2) All elements of a fully effective safety and health program must be in place and operating.
(3) Program elements must be observed by the consultant and their effectiveness must be fully documented on the OSHA Form 33, Safety and Health Program Assessment Worksheet.
C. Consultation Project Responsibilities.
1. It is the responsibility of the Project Manager to ensure that all of the requirements for SHARP have been met by the employer prior to forwarding a request to the Regional Administrator to issue a SHARP certificate.
2. During the year (or longer) period that the employer is working toward SHARP approval, the Project Manager may schedule additional training and assistance visits to the site to provide assistance in meeting SHARP requirements. These visits also will be scheduled if and when the Project Manager is not confident that the employer has understood all of the requirements for SHARP. The purpose of the additional visits is to work with the employer to develop the elements of an effective safety and health program and to provide necessary employer and employee training. As with all initial visits:
a. Where verification of serious hazard correction is not satisfactory or timely, a followup visit must be conducted.
b. Followup visits will also be conducted when the Program Manager has reason to question the veracity of the employer's assurance that identified serious hazards have been corrected.
3. Onsite verification that all SHARP requirements have been met will take place in the second full service visit, normally at least one year following the date of the initial visit. At the time of this visit, all elements of an effective safety and health program must be in place an operating.
a. If new hazards are found, the Project Manager must be confident, based on subsequent receipt of the employer's written assurance that all hazards have been corrected, that the program will operate effectively. If the Project Manager lacks full confidence in the employer's written assurance, a followup visit must be conducted to verify that all SHARP requirements have been met.
b. If the new hazards reflect significant deficiencies in the safety and health program, the company cannot be recommended for SHARP final approval until the deficiencies have been corrected and the Project Manager is confident that the program will operate effectively thereafter.
c. Should hazards in the second visit be identified as hazards which remain uncorrected from the first visit, these uncorrected serious hazards would constitute grounds for referral to enforcement. This is especially true since the employer by this point would have provided written verification of "correction" sometime during the past year. In such cases, the employer will not be recommended for SHARP final approval or be continued further in the SHARP process.
D. Removal from OSHA General Schedule Inspection Lists.
1. Programmed Inspection Schedule. Employers who meet the requirements for SHARP will have the names of their establishments removed from OSHA's Programmed Inspection Schedule for a period of one year. The one year exemption period will extend from the date of issuance by the Regional Office of the certificate of SHARP recognition.
2. Inspections at SHARP Sites. At Sharp sites, OSHA will continue to make inspections in the following categories:
b. Fatality/Catastrophe.
c. Formal complaints.
d. Referral from a safety compliance officer to a health compliance officer, or from a health compliance officer to a safety compliance officer. (Referrals from other government agencies will be conveyed to the consultation project for handling unless the Regional Administrator concludes that it reflects a hazard of sufficient urgency to require an inspection).
e. Followup on previously cited violations.
A. Dissemination of Information on SHARP. Project Managers and consultants will inform employers about the opportunity to pursue SHARP. This information will be provided in at least one of the following ways: in publicity and promotion for the program; in response to inquiries on consultation services; in the opening conference while providing onsite services.
1. Consultation personnel will stress that the intent of SHARP is to:
a. Recognize the safety and health achievements of exemplary employers.
b. Require a commitment on the part of employers to work closely with their employees and the consultation project to develop, implement, and continuously improve the workplace safety and health conditions of their worksite through the development and implementation of an effective safety and health program.
2. Employers will be informed that in order to pursue SHARP they must undergo a comprehensive safety and health visit and work with the consultation project over at least a one year period to correct all hazards, develop and implement an effective safety and health program, and lower their LWDI and IIR to at or below the average for their industry.
3. Regional Administrators are responsible for responding to questions concerning OSHA policy on SHARP. In addition, Regional and Area Office staff will encourage employers who are interested in SHARP to contact the appropriate state consultation project.
B. Effect On Scheduling Requests.
1. Priorities. The priority accorded a consultation request generally will not be affected by the fact that it involves pursuit of SHARP, although an employer who meets the requirements of Sec. II of this Chapter will generally fall into a high-priority category.
2. Renewal. An employer may request annual renewal of SHARP. Because of the employer's commitment to exceptional worker protection, the request for renewal will be assigned high priority.
3. Concurrent Visits. Whenever a SHARP request is serviced, safety consultants and industrial hygienists will, whenever schedules permit, make concurrent visits. If this is not possible, initiation of one visit will not be delayed more than 60 calendar days following the starting date of the first.
a. All consultation visits related to SHARP will operate in accord with 29 CFR 1908, Consultation Agreements, the Consultation Policies and Procedures Manual (CPPM) and the approved Cooperative Agreement. Chapter VI of the CPPM provides specific procedures for onsite consultation.
b. Establishments pursuing SHARP approval will receive a comprehensive consultation survey covering all conditions and operations in the workplace.
c. A single safety or health consultant may cover both safety and health issues at a worksite if the Project Manager is confident that the consultant has the training and experience necessary for the specific site. This will normally include cross-training in the discipline in which the consultant is not a specialist.
4. The Project Manager will take special care to ensure that consultants assigned to establishments pursuing SHARP approval have the expertise necessary to assess the hazards and the safety and health programs in those establishments and to provide assistance in hazard correction and/or safety and health program improvement.
C. Conduct of a Visit
1. Opening Conference. In the opening conference, the consultant will review the employer's request for consultation assistance. If the employer has previously expressed or in the opening conference expresses an interest in pursuing SHARP, the consultant will review the program requirements with the employer to ensure that the employer understands the commitment necessary to pursue SHARP.
2. Employee Participation. Employers electing to pursue SHARP must be committed to working to develop a comprehensive, written, and operational safety and health program that involves employees in significant ways that affect their safety and health.
3. Full Service Consultation. A full service visit will include a survey of the employer's entire establishment covering all operations, including a complete safety and health program review. All hazards identified will be discussed in light of how an effective safety and health program would address their continued correction and control. Using the OSHA Form 33, and following the guidance found in Chapter IX, Safety and Health Program Assessment, the consultant will discuss with the employer the elements of an effective program.
(a) The employer will be informed that the consultant will remain available to work with the employer and employees to develop or improve any existing program or program elements.
(b) SHARP candidates must receive superior scores on the OSHA Form 33. It is anticipated that SHARP approved sites will never receive less that a "3" on any indicator and that most scores will be "4s." In addition, for each indicator, extensive documentation providing information on what evidence helped the consultant identify or verify program adequacy must be noted in the space provided on the OSHA Form 33.
4. Written Report. After the consultant conducts the comprehensive survey, the employer will be advised that a written report explaining the findings of the visit and confirming any agreed on correction periods will be provided at a later date. The written report will reflect the consultant's findings and recommendations for hazard correction and safety and health program improvements and the action plan to which the employer agreed to meet SHARP requirements.
5. Closing Conference. In the closing conference, the consultant will:
(a) Describe the hazards identified in the walk through.
(b) Discuss possible methods of correction.
(c) Describe the adequacies and deficiencies of the employer's workplace safety and health program.
(d) Discuss with the employer the extent to which additional onsite visits may be needed during the interim one year (or longer) period prior to the comprehensive review to provide safety and health program assistance and training assistance.
(e) Develop a schedule for one or more such visits, as needed.
(f) Leave at least one copy of the completed OSHA Form 33 with the employer so that the employer can use it as a tool to work toward full safety and health program implementation in the subsequent year. The employer will also be reminded that, at the end of the interim one year (or longer) period, the employer is responsible for requesting a second fill service visit for final, onsite evaluation of SHARP approval.
D. Action Plan. The consultant will work with the employer to develop an action plan that addresses the employer's progress in meeting the requirements for SHARP.
1. The action plan is developed with the employer in the initial comprehensive survey. The consultant and employer together will use the onsite time in the initial visit to agree on the terms of the action plan and the time frames for achieving specific items.
2. The action plan outlines the specific steps that must be accomplished by the employer to merit SHARP approval. The action plan must address in detail:
a. The employer's correction of all identified safety and health hazards, with timeframes.
b. The steps necessary for the employer to implement an effective safety and health program (the Form 33 plus additional information as necessary), with time frames.
c. A statement of the employer's commitment to work with the consultation project to achieve SHARP approval. This includes a commitment to consult with the project should new processes be planned which might introduce new hazards into the workplace.
E. Submission of SHARP Requests for Approval and Certificate Issuance.
1. Project Managers, after ensuring that the employer has met all requirements for final approval, will obtain from the employer a signed letter requesting SHARP approval. The Project Manager will submit the employer's request to the Regional Administrator and inform the employer that if approved, the SHARP exemption period will extend for a period of one year from the date of issuance of the SHARP certificate by the Region.
2. On receipt of written verification that the employer has met all of the requirements for SHARP approval, the Regional Administrator wil1:
a. Provide a copy of the SHARP certificate to the employer, which will include the company's name and location, and the period of exemption (extending one-year from the date of issuance).
b. Notify the appropriate Area Director to remove the company from the OSHA Programmed Inspection Schedule for a period of one year from the date of issuance of the SHARP certificate.
c. Send to the consultation project for their records a copy of the letter that accompanied the SHARP certificate to the employer. To expedite matters and ensure thorough communications, the Regional Office will telephone the project on the date of issuing the certificate to alert them to the approval and transmittal of the SHARP certificate.
F. Renewal Requirements.
1. Employers granted initial SHARP approval may apply for renewal during the last quarter of the one year approval period. At the time that the renewal comes up, consultants must conduct a complete onsite safety and health survey to ensure that the safety and health program has been effectively maintained or improved. Workplace hazards must be under control and elements of the safety and health program must be operating effectively.
2. The employer must demonstrate that the LWDI rate and IIR for the establishment have remained at or below the national average for their industry during the period of SHARP approval.
3. Renewal is dependent on the consultation project's assessment of continued program effectiveness. If all requirements for SHARP are verified as operating effectively in an onsite visit by the consultant, the project may inform the employer that the employer is authorized to request SHARP renewal. The employer must submit a renewal request in writing to the project. The project will forward the request to the Regional Office. The Region will issue a new SHARP certificate to the employer, with the new dates, and inform the Area Office of the employer's continuation as an approved SHARP site.
V. Failure to Meet or Maintain Requirements.
A. An employer's SHARP approval will be terminated if the Project Manager or the Regional Administrator determine that the employer's failure to meet or maintain SHARP requirements represents a lack of good faith in relation to those requirements and/or a significant reduction in worker protection. Except in egregious cases, the employer should be given the opportunity to withdraw from the program, rather than be terminated.
1. The following are some specific situations:
a. The employer fails to maintain the elements of the safety and health program in a way that significantly reduces worker protection and/or reflects an inadequate commitment to the program.
b. An OSHA fatality or catastrophe investigation results in the issuance of a citation for a violation that directly contributed to the cause of the fatality/catastrophe, or the Regional Administrator or the Project Manager concludes that a weakness in the safety and health program allowed for the fatality or catastrophe.
c. The employer does not provide complete and timely written verification of serious hazard correction, or an onsite visit verifies that serious hazards continue to go uncorrected.
d. An employer is found guilty in an 11(c) discrimination case which was filed after SHARP approval.
e. The employer fails to maintain the required lost workday injury rate (LWDI) or injury incidence rate (IIR), with the following exceptions:
(1) In smaller establishments, the fact that a single injury or small number of injuries may have a large impact on subsequent rates should be considered, along with the nature and cause of the injury and the overall quality of the program. The Project Manager and the Regional Administrator shall examine the reason for the rate increase and jointly determine whether or not the establishment should be allowed to continue in the SHARP program.
(2) In situations described in (1), above, where the cause of the rate increase is not related to the overall quality and effectiveness of the site's safety and health (as determined by the Project Manager and Regional Administrator), the Project should nevertheless work with the employer to ensure that the accident, injury or situation causing the rate increase is effectively abated and addressed within the employer's safety and health program.
B. At unionized sites, if the union representatives object to the site's involvement in SHARP, the employer will be advised that the pursuit of SHARP cannot be formalized or must be terminated until such time as a labor/management agreement is reached on this issue.
C. Establishments that are physically relocated will be automatically dropped from the program. Employers must return the Certificate of Recognition and reapply at their new location.
D. Termination Procedures. The employer will be notified in writing of the project's final decision to terminate SHARP approval, the reason(s) for this decision, and the re-entry requirements.
NOTE: If the reason for termination is the employer's failure to correct serious hazards or standards violations, appropriate referral to OSHA will be made.