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MOSH Instruction 11-8 - Site-Specific Targeting for FFY 2012

 
Subject: MOSH Instruction 11-8 - Site-Specific Targeting for FFY 2012
   
Effective Date: October 1, 2011
   
Issuance Date: October 1, 2011 
 
Cancellation: MOSH Instruction 10-08
   
Expiration Date: One year from the effective date, unless replaced earlier by a new Instruction. Upon expiration or replacement of this Instruction, inspection cycles already underway must be completed as provided in Paragraph IV.B.
   
Purpose: This Instruction implements MOSH's Site Specific Targeting 2012 (SST-11) inspection plan. This program does not include construction sites.
 
Scope: This Instruction applies MOSH-wide.
   
References: OSHA Directive 11-03 (CPL 02).
   
Contact: Chief of MOSH Compliance Services
10946 Golden West Drive, Suite 160
Hunt Valley, MD. 21031
410-527-4499
See MOSH Website for Current Information
   
By and Under the Authority of: Eric M. Uttenreither, Assistant Commissioner
 

I. Background

  1. MOSH’s Programmed Inspection Programs
  2. MOSH's Site-Specific Targeting (SST) program is MOSH's main programmed inspection plan for non-construction workplaces. The SST plan is based on the data received from the prior year's OSHA Data Initiative survey. The Data Initiative survey and the SST program help MOSH achieve its goal of reducing the number of injuries and illnesses that occur at individual workplaces by directing enforcement resources to those workplaces where the highest rate of injuries and illness have occurred.

    In addition, MOSH implements "emphasis" inspection programs to target high-risk hazards and industries.

  3. Creating the SST 2011 Inspection Lists
  4. By applying industry and establishment-size criteria, OSHA focuses its data collection towards establishments that are most likely to be experiencing elevated rates and numbers of occupational injuries and illnesses. Specifically, OSHA collects injury and illness data through the Data Initiative survey from larger establishments (20 or more employees) in historically high-rate industries. Application of these size and industry criteria narrows the number of establishments throughout the State from over 154,000 to approximately 764.

    NOTE: The 2009 injury and illness data that was collected by the 2010 Data Initiative is used in the 2011 Site-Specific Targeting program.

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

    Beginning with calendar year 2003, injury and illness data published by the Bureau of Labor Statistics (BLS) uses the NAICS codes. BLS data referenced in this Instruction uses NAICS codes.

    Coverage of OSHA's injury and illness recordkeeping rule (29 CFR Part 1904) is defined by SIC in §1904.2. In turn, the OSHA Data Initiative survey is based on the coverage of the recordkeeping rule. This is why Appendix A of this Instruction uses SIC codes. Until OSHA amends the coverage of its recordkeeping rule to reflect data published under the NAICS coding system, this Instruction will use both the NAICS and SIC codes.

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

II. Definitions

  1. Comprehensive Inspection
  2. A comprehensive inspection is a substantially complete and thorough inspection of all potentially hazardous areas of the establishment. An inspection may be deemed comprehensive even though, as a result of the exercise of professional judgment, not all potentially hazardous conditions or practices within those areas are inspected.

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

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

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

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

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

  9. Establishment
  10. An establishment is a single physical location where business is conducted or where services or industrial operations are performed. For activities where employees do not work at a single physical location, such as transportation, communications, electric, gas, sanitary services, and similar operations, the establishment is represented by main or branch offices, terminals, stations, etc., that either supervise such activities or are the base from which personnel carry out these activities. For a more detailed definition of “Establishment,” see 29 CFR 1904.46. For purposes of this Instruction, the term “Establishment” does not include construction worksites

  11. Partnership
  12. In this Instruction, “Partnership” refers only to those agreements in which establishments participate in a MOSH Cooperative Compliance Partnership (CCP) for which there is a signed partnership agreement.

III. Description of the Site-Specific Targeting 2012 (SST-11) Plan

  1. Primary Inspection List
    1. Selection Criteria
    2. The SST-11 plan selects for inspection individual establishments identified through the 2010 Data Initiative survey. For comparison purposes, the national DART rate for private industry for 2009 was 1.8, and the DAFWII case rate was 1.1.

        The SST-11 plan initially selects for inspection all establishments with a DART rate at or above 7.0, or a DAFWII case rate at or above 5.0 (only one of these criteria must be met) for the Primary List. This is approximately 170 sites.

        Nursing and Personal Care Facilities

        Due to the nature of nursing home injuries and illnesses inspections shall be conducted as a Safety, Health, or joint inspection as determined by the Chief of Compliance. In order to address the unique hazards of the nursing home industry a combination of outreach, and enforcement inspections will be utilized. Because of the large number of establishments in SIC code 805 that reported high rates in the OSHA Data Initiative survey, higher DART and DAFWII rates are used to select a limited number (5 for the SST-11) of the highest rated establishments in this SIC code.

    3. Low-Rate Establishments in High-Rate Industries
    4. In past years the SST included some inspections of low-rate establishments in high-rate industries to verify the reliability of claims by establishments that they had achieved low DART rates. These inspections will not be included in the SST this year because OSHA implemented OSHA Notice 10-07 (CPL 02), Injury and Illness Recordkeeping National Emphasis Program (RK NEP) to accomplish this objective. The NEP established a program and procedures to be used to verify the accuracy of the OSHA Form 300 for selected low-rate establishments in high-rate industries.

      2010 OSHA Data Survey Non-Responders

      All establishments that did not provide rate information in accordance with the 2009 OSHA Data Initiative survey by May, 2011, have been added to the Primary Inspection List. Inclusion of non-responders is intended to discourage employers from not responding to the Data Initiative in order to avoid inspection. The establishments selected will be identified on the Regional Offices' inspection lists by one asterisks (*) and will not be deleted from the list.

      If the company has gone out of business, moved, changed name, etc., the Office of Statistical Analysis (OSA) must be notified so that the information can be updated for the next ODI survey. Steve Bisson by e-mail or by telephone at 410-527-4499.

      If it is found that an establishment consists of only an office, see paragraph III.G, Office-Only Sites.

  2. Secondary Inspection List
    1. Selection Criteria
    2. If a Regional Office completes its inspections of all establishments on its Primary Inspection List before the expiration of this SST program, it may obtain additional establishments from its Secondary Inspection List.

        The Secondary Inspection List will contain establishments reporting DART rates of 5.0 or greater but less than 7.0, or a DAFWII case rate of 4.0 or greater but less than 5.0. Only one of these criteria must be met. These establishments will be inspected using the procedures in this instruction.

        Special Emphasis programs may run concurrently with Secondary Inspection List.

        Nursing and Personal Care Facilities
        See Primary Inspection List

  3. Industries without Permanent Workplaces
  4. For industries like SIC 0783, Ornamental Shrub and Tree Services, which do not have permanent workplaces, the establishment list will normally, only identify the employer's central office. The Area Office will, so far as possible, determine (e.g., by visiting the central office) which worksites are available based on the type of work scheduled for each worksite and the length of time remaining to complete the worksites, and then choose one worksite to inspect by using a random number table. This will apply to such establishments on all SST inspection lists.

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

    Whenever the address on the ODI data sheet differs from that of the establishment in the Regional Office's jurisdictional area, it must be checked to determine that the ODI survey data relates to the same establishment. If injury and illness data from the ODI data sheet pertains to the establishment site in the Regional Office's jurisdiction, then it will be inspected. If such an address discrepancy is found, then the Chief of Compliance or designee and the Office of Statistical Analysis must be informed (Steve Bisson by e-mail at BissonS@states.bls.gov, or by telephone at 410-527-4499) so that its records can be corrected. The Chief of Compliance or designee will transfer the establishment to the proper Regional Office's inspection list, if appropriate. See also paragraph III.G, Office-Only Sites.

  7. Two or More Establishments in ODI Data
    1. General
    2. Whenever injury and illness data for two or more establishments of the same employer are included in the same ODI data sheet, and the employer is unable to separate the establishment-specific injury and illness data for each establishment within a reasonable amount of time, inspections of all the establishments will be conducted.

    3. Recordkeeping Rule
    4. The recordkeeping regulation at §1904.40(a) states that once a request is made, an employer must provide the required recordkeeping records within four (4) business hours.

      Although the employer has four hours to provide recordkeeping records, there is no requirement that compliance officers must wait until the records are provided before beginning the walk around portion of the inspection. As soon as the opening conference is completed, the compliance officers are to begin the walk around portion of the inspection.

    5. Contact Office of Statistical Analysis (OSA)
    6. If any of the establishments are not within the Regional Office's jurisdiction, contact the Chief of Compliance or designee, so the establishment(s) can be moved to the correct Regional Office's inspection list. If one of the establishments is an Office-Only site, see paragraph III.G.

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

    If the ODI data includes data for a site (or sites) in addition to an office, then an inspection of that site (at least one of several sites) will be conducted if it is within the Regional Office's jurisdiction. If the site(s) is not within the Regional Office's jurisdiction, contact the Chief of Compliance, or designee so the establishment can be moved to the correct Regional Office's inspection list.

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

IV. Scheduling

The Chief of Compliance, or designee, will provide each Regional Office with the Primary and Secondary Inspection Lists for its covering area.

  1. Maintaining Inspection Lists/Cycles and Documentation
  2. The Regional Supervisor is responsible for maintaining documentation necessary to demonstrate that the SST inspection lists and cycles have been properly utilized in accordance with the requirements of this Instruction, including adequate documentation on all deletions, deferrals or other modifications (modifications such as rationale for inspections to be expanded to cover health hazards based either (a) on the prior inspection history of the establishment, or (b) on current knowledge concerning the industry in which an establishment is classified). All such inspection lists, cycles and documentation must be maintained in the Regional Office for a period of three years after all the inspections conducted under this SST plan are closed.

  3. Cycle Size
  4. Inspection cycles for the randomly ordered Primary and Secondary Inspection Lists for each county will be distributed by the Chief of Compliance, or designee. Regional Offices will base their determination of cycle size (i.e., 5 to 50 establishments) on considerations of available resources and geographic range of the office. Larger cycle sizes will allow greater flexibility and efficiency of scheduling, but once begun, the cycle must be completed. If a cycle larger than 50 would provide the Regional Office with more efficient use of staff, the office will request approval for a larger cycle size from the Chief of Compliance.

    All of the establishments in a cycle must be inspected (that is, the inspection must be initiated) before any establishments in a new cycle may be inspected. In addition, any cycle begun but not yet completed by the expiration date of this Instruction must be completed, even if the inspections for the remaining establishments in the cycle are initiated after the expiration date.

  5. Deferrals
    1. MOSH On-Site Consultation 90 Day-Deferral
      1. An establishment that has requested an initial full-service comprehensive consultation visit for safety and health from the MOSH Consultation Program, may be deferred from the SST inspection for 90 calendar days from the date of notification by the State Consultation Program to the Regional Office, providing that the visit has been scheduled by the State Consultation Program.
      2. "In Progress" Deferral. No extension of the deferral beyond the 90 calendar days is possible unless the consultation visit is "in progress," which begins at the opening conference of the consultation visit. If an establishment currently has a Consultation visit "in progress," that site shall receive a deferral for all hazards covered by the Consultation visit. Such deferral will continue from the beginning of the opening conference through the end of the correction due dates and any extensions thereof. See 29 CFR 1908.7(b)(1) for a definition of an on-site consultation visit "in progress."

    2. VPP Applicant
    3. If an establishment is in the process of applying for OSHA's Voluntary Protection Program (VPP), the Chief of Compliance, or designee, upon receiving notification from the VPP manager that a VPP on-site review has been scheduled, will defer any programmed inspection. The applicant workplace will be deferred starting no more
      than 75 calendar days prior to the commencement of its scheduled pre-approval on-
      site review. The applicant workplace will be removed from any programmed
      inspection list for the duration of VPP participation, unless the site chooses otherwise.

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

  6. Inspection Priority
  7. Normally, the first inspection priority for Regional Offices is to conduct un-programmed inspections, and the inspection priorities as described in the FOM with the following guidance:

    1. Regional Offices that have started but not completed a cycle of inspections from the SST-10 plan must normally complete that cycle before moving to inspections under the SST-11 plan.

    2. All establishments on the SST-11 Primary Inspection List must be inspected unless, in view of resource considerations, such as agency emphasis programs, the Chief of Compliance authorizes the Regional Supervisor to conduct a smaller number of inspections. Such authorization will normally require the Regional Office to complete all inspections in the current cycle.

    3. The Secondary List does not have to be completed before the expiration date of this Instruction.
    4. Regional Offices will continue to conduct other programmed inspections under national emphasis programs, or under regional/local emphasis/initiative programs, as the Regional Office and Regional goals dictate.

V. Deletions

Regional Offices will be responsible for making appropriate deletions, as stated below, from the inspection cycle. In addition, deletions will also include those establishments, such as those no longer in business.

Deletion criteria for Previous Inspections, VPP, or SHARP establishments may be applied to establishments either prior to creating a cycle or after a cycle is created. However, deletion criteria for Partnership establishments must be applied after a cycle is created. Because Partnership
establishments have not met the same rigorous safety and health requirements of VPP and SHARP establishments, they are not to be deleted until the cycle is created.

  1. Previous Inspections
  2. Establishments will be deleted from the inspection list if, within 36 months of the current calendar year, establishment received a comprehensive safety inspection.
    The comprehensive safety inspection need not have been initiated by an SST inspection.

    For deletion purposes, the date when an establishment is considered to have received a comprehensive safety inspection will be the opening conference date not the closing conference date or the citation issuance date. For example, if the opening conference date occurred within the previous 36 months of the current calendar year, the establishment will be deleted from the list for SST-10 inspections. If the inspection is a "joint inspection," conducted by both a safety CSHO and a health CSHO, there will be two OSHA-1s. The two CSHOs may hold joint or separate opening conferences. Therefore, there may be one opening date for the safety inspection and a different opening date for the health inspection for the same employer under the same SST inspection plan. If the inspection is conducted by a cross-trained CSHO, there will be one OSHA-1 and one opening conference date.

  3. VPP, CPP, or SHARP
    1. If an establishment is an approved participant in OSHA's Voluntary Protection Programs (VPP), in MOSH Consultation's Safety and Health Achievement Recognition Program (SHARP), or Cooperative Compliance Partnership (CCP) program it is to be deleted from the inspection lists.

  4. Office-Only
  5. See paragraph III.G as to when an establishment is to be deleted if the establishment injury and illness data is only for an office.

VI. Inspection Procedures

  1. Scope
    1. Inspections under SST-11
    2. Inspections conducted under this plan will be comprehensive safety inspections.

      Health inspections under this plan will be limited to:

      1. CSHO referrals (i.e., when a CSHO on site sees a potential health hazard); or
      2. Inspections expanded by the Regional Supervisor based on prior inspection history of the employer.

      NOTE: The above health inspections conducted in accordance with this Instruction are also to be coded as an SST-11 inspection. See Recording and Tracking paragraphs VIII.A. and B.

    3. Health Inspections
    4. When a Regional Supervisor orders an SST inspection to be expanded to cover health hazards at a particular establishment based on the prior inspection history of the employer, the Regional Supervisor must fully explain and document his/her rationale for the expanded inspection.

      In assessing prior inspection history, the Regional Supervisor will consider the employer's MOSH inspection/violation history maintained in OSHA's Integrated Management Information System (IMIS) for the period three years prior to the current calendar year. The Regional Supervisor will consider the potential that similar hazards may be present.

      Inspections will be conducted in accordance with the procedures described in the FOM and in other pertinent policy and procedure documents.

      Documentation is necessary to describe the rationale for expanding the SST inspection to include health hazards/issues. This is to ensure that the expansion was based on objective and neutral criteria.

      Documentation specific to a particular case file is to be maintained in the case file (i.e., on the OSHA-1 narrative or as a separate memorandum). Since this documentation also describes a modification to the SST inspection scope, it must also be maintained along with the inspection lists. See paragraph IV.A., Maintaining Inspection Lists/Cycles and Documentation.

    5. Both Safety and health Inspection Conducted
    6. If both a safety and health inspection are conducted, such inspections may be conducted either as one combined safety and health inspection by a cross-trained CSHO (as established through specific training or demonstrated ability), or as separate safety and health inspections, or as joint safety and health inspections. See also last paragraph of XIII.A.

      When an SST inspection is assigned to a cross-trained Industrial Hygienist (IH), the inspection (comprehensive safety) is counted as a health inspection. If the crossed-trained IH is asked by the regional supervisor to do a health inspection at an SST site, the inspection is also counted as a health inspection. In addition, if the cross-trained IH does both a combined safety and health inspection at an SST site, it is counted as a health inspection because IMIS can only count an inspection as either "Health" or "Safety," but not both.

  2. Citations
  3. Violations will be cited and penalties proposed in accordance with the FOM and other pertinent policy and procedure documents

  4. Recordkeeping Violations
  5. Whenever OSHA recordkeeping violations are identified, appropriate citations and penalties will be proposed, and supporting documentation will be provided, in accordance with policies and procedures in the FOM.

  6. Ownership
  7. If the establishment has changed ownership after December 31, 2009, but is essentially the same establishment (i.e., same equipment, processes, services, or industrial operations) the inspection shall continue.

VII. Relationship to Other Programs

  1. Un-programmed Inspections
  2. Un-programmed inspections will be conducted according to MOSH's Field Operations Manual (FOM) or other pertinent policy and procedure documents. If the occasion for an un-programmed (e.g., complaint, fatality) inspection arises with respect to an establishment that is also in the current inspection cycle to receive a programmed inspection under the SST-11 plan, the two inspections may be conducted either concurrently or separately. See paragraph VIII.B., of this Instruction.

  3. Emphasis Programs
  4. An establishment that is on the Primary List may be moved to the current inspection cycle if it is also on any Emphasis Program inspection list (that is, any Special, National, Regional or Local Emphasis Program). If a Regional Office has finished their Primary List and is working off its Secondary List, the establishment can be added to the current cycle of their Secondary List. Contact the Chief of Compliance, or designee, to have the establishment placed in the current SST cycle.

    Some establishments may be selected for inspection under the SST-11 plan and also under one or more other MOSH or OSHA initiatives (Emphasis Programs). Programs based upon specific hazards (such as amputations, combustible dust, crystalline silica, lead, or trenching/excavations) or specific industries (such as logging,) can be run concurrently with the SST-11 plan.

    Whenever an establishment is scheduled for inspection on the current cycle of the SST-11 plan and on the current cycle of an Emphasis Program, both inspections may be scheduled at the same time. CSHOs will apply all applicable IMIS codes (i.e., NEP, LEP, Strategic, Optional Information) to the inspection. See paragraph VIII.B., Recording & Tracking - SST Combined with Emphasis Program Inspections, of this Instruction.

  5. Process Safety Management Inspections
  6. Inspections conducted under the SST plan will address process safety management where 29 CFR 1910.119 applies to the establishment being inspected. Such inspections must be a comprehensive safety inspection. However, they will not normally be Program-Quality-Verification (PQV) inspections as defined by OSHA Instruction CPL 02-02-045, Process Safety Management of Highly Hazardous Chemicals -- Compliance Guidelines and Enforcement Procedures.

VIII. Recording and Tracking

  1. SST-Only Inspections
  2. The OSHA-1 Form must be marked as "programmed planned" in Item 24. In addition, the "NEP" box is to be checked and the value "SSTARG11" recorded in Item 25d (the SST inspections are being coded under the NEP for ease of tracking).

    NOTE: Any health inspections conducted in accordance with this Instruction as mentioned in paragraph XIV.A.1., Inspection Procedures - Scope, are also to be coded as SST inspections. See also, NOTE for paragraph XVI.B., below.

  3. SST Combined with Un-programmed Inspections
  4. For all un-programmed inspections conducted in conjunction with an SST inspection, the OSHA-1 Form must be marked as "un-programmed" in Item 24 with the appropriate un-programmed activity identified. In addition, the "NEP" box is to be checked and the value "SSTARG11" recorded in Item 25d

    NOTE: Health inspections that are referrals as mentioned in paragraph XIV.A.1., Inspection Procedures - Scope, are "un-programmed." However, these inspections are also to be coded as SST inspections; the SST codes (e.g., SSTARG11) will not be rejected.

  5. SST Combined with Emphasis Program Inspections
  6. For all Emphasis program inspections such as NEPs or LEPs conducted in conjunction with an SST inspection, the OSHA-1 Forms must be marked as "programmed planned" in Item 24. In addition, the "NEP" box is to be checked and the value "SSTARG11" recorded in Item 25d along with all NEP and LEP IMIS codes applicable to the inspection.

  7. SST Combined with Un-programmed and Other Programmed Inspections
  8. If an SST inspection is combined with an un-programmed (e.g., complaint) inspection and a programmed inspection, such as an NEP or LEP, Item 24 of the OSHA-1 Form must be marked "un-programmed."

  9. Strategic Management Plan
  10. Enter all applicable Strategic Management Plan hazard/industry codes in Item 25f of the Strategic Plan Activity.

    cc: J. Ronald DeJuliis, Commissioner, Division of Labor and Industry
    Craig D. Lowry, Deputy Commissioner, Division of Labor and Industry
    Jonathan Krasnoff, Assistant Attorney General
    Office of Administrative Hearings

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