OSHA Strategic Partnership Program for Worker Safety and Health (Paper Version)

DIRECTIVE NUMBER: CSP [03-02-002]

EFFECTIVE DATE: 2/10/05

SUBJECT: OSHA Strategic Partnership Program for Worker Safety and Health
ABSTRACT
Purpose:

This instruction describes and implements a revised OSHA Strategic
Partnership Program for Worker Safety and Health (OSPP) and describes
Agency procedures for implementing this program.

Scope:

OSHA-wide.

References:

Occupational Safety and Health Act of 1970;
29 CFR 1960, Basic Program Elements for Federal Employees, OSHA;
OSHA Safety and Health Program Management Guidelines, FRN
54:3904-3916, January 26, 1989;
OSHA Instruction CPL 2.103, Field Inspection Reference Manual (FIRM),
September 26, 1994;
Site-Specific Targeting 2004, CPL2 04-02, April 19, 2004;
Paperwork Reduction Act of 1995 (PRA), P.L. 104-13;
OSHA Strategic Management Plan 2003 – 2008.

Cancellations:

This instruction cancels OSHA Directive TED 8-0.2, OSHA Strategic
Partnerships for Worker Safety and Health, issued November 13, 1998.

State Plan Impact:

A. This instruction describes a Federal Program Change for which State
adoption is not required, however notice of intent is required.
B. States adopting a partnership program are encouraged to use the OSPP
elements described herein when formulating their partnership program.
If a States chooses to develop a partnership program, it should submit
a plan change with documentation of the program and identify
differences from the Federal program described in this directive.
C. In the interest of developing an information base on both State and
Federal partnership efforts, State plans are asked to provide a summary
description of each partnership they enter into to their Regional
i

Administrators and to the Directorate of Cooperative and State
Programs, Attention: Director, Office of Partnerships and
Recognition. OSHA will post these summaries on the partnership
website. When an automated data system becomes available, States
will be asked to provide more detailed information on partnerships
through this system.
Action Offices:

National, Regional, and Area Offices.

Originating Office: Directorate of Cooperative and State Programs
Contact:

Office of Partnerships and Recognition
Directorate of Cooperative and State Programs
U.S. Department of Labor - OSHA
200 Constitution Ave. NW - Rm. N-3700
Washington, DC 20210

By and Under the Authority of
John L. Henshaw
Assistant Secretary

ii

Executive Summary
This instruction describes and implements a revised OSHA Strategic Partnership Program for
Worker Safety and Health (OSPP) and sets forth procedures to implement this program. It
includes the policies and management of the program, and procedures and guidelines for the
development, approval, and operation of individual OSHA Strategic Partnerships (OSPs).

Significant Changes
OSHA has eliminated the two sub-classifications of OSPs, Comprehensive and Limited. The
required core elements for OSP agreements are reorganized and now apply to all OSPs. All
OSPs must be in writing. OSHA has expanded the options for OSHA verification to include
offsite and onsite non-enforcement verification methods as well as onsite enforcement
inspections. OSHA has expanded the benefits available to OSP partners. The responsibilities of
various OSHA Directorates, Offices, and the Regions are more clearly defined. These include
the designation of an OSHA Primary Contact for each OSP. Finally, a new standardized format
for the Annual Evaluation Report has been developed to improve the Agency’s ability to track
and report program results.
This instruction becomes effective 60 days after publication. OSPs established before the
effective date of this instruction have up to three years to meet the new guidelines. OSPs
established or renewed after the effective date must meet the guidelines at the time of approval or
renewal.

iii

TABLE OF CONTENTS
Abstract
I.

Purpose

II.

Scope

III.

Cancellation

IV.

Significant Changes

V.

References

VI.

Action Required

VII.

Federal Program Change

VIII.

Definitions

IX.

Background

X.

Distinguishing OSPs From Other OSHA Programs/Activities

XI.

Program Roles and Responsibilities

XII

OSPP Requirements

XIII.

OSHA Verification

XIV.

OSPP Benefits

Appendices
A

OSHA Strategic Partnership Agreements, Provisions for Developing Core
Elements

B

Performance Measures

C

OSPP Annual Partnership Evaluation Report

D

Records and Information Management

E

Effective Communication Process for National OSHA Strategic Partnerships

F

Paperwork Reduction Act Requirements

G

Guidance on Employee Involvement

iv

I.

Purpose. The OSHA Strategic Partnership Program (OSPP) for Worker Safety and
Health, created by OSHA on November 13, 1998, was designed to broaden the impact of
cooperative programs on worker safety and health by reaching out to groups of
employers, employees, and labor organizations. Experience has validated the significant
value of the OSPP's collaborative approach, generated considerable public interest and
support, shown some notable success, but also has revealed the need for certain changes
and improvements. Therefore, OSHA is issuing this instruction to update the policy for
the development, approval, and operation of individual OSHA Strategic Partnerships
(OSPs), as well as provide guidelines for the ongoing management of the overall
program.
This instruction states the Agency’s general policy for OSPs but does not bind the
Agency to approve or disapprove any particular proposed OSP agreement. Nor does it
limit the Agency’s discretion to enter into cooperative agreements that are not OSPs and
do not meet the criteria listed within this instruction. This instruction is intended for the
internal management of the government and does not create any rights, obligations, or
duties on private parties, nor is it intended to create any right to judicial review.

II.

Scope. This instruction applies OSHA-wide.

III.

Cancellation. This instruction cancels its predecessor, OSHA Directive TED 8-0.2,
OSHA Strategic Partnerships for Worker Safety and Health, issued November 13, 1998.

IV.

Significant Changes.
A.

OSHA has changed its definition of an OSHA Strategic Partnership by
eliminating Comprehensive and Limited sub-classifications and streamlined the
core elements, which are required for all OSPs. This simplification not only
brings greater clarity to the program, but also provides a more flexible structure
that will enable OSP developers to craft agreements best suited to meet their
specific needs.

B.

OSHA has expanded the options to verify OSP performance using offsite and
onsite non-enforcement verification methods and onsite enforcement inspections.

C.

New benefits include opportunities for increased good faith penalty reductions;
expanded opportunities to delete partners from the Agency’s programmed
inspection lists, to defer programmed inspections, and to conduct limited scope
inspections; and onsite technical assistance to help partners achieve OSP goals.
These benefits are tied to partner performance in implementing their
responsibilities under the Act.

D.

To be approved, an OSP must be a written agreement.

E.

This revision more clearly defines the responsibilities of various OSHA offices
involved in the development, operation, and oversight of both individual OSPs

1

and the overall program.

V.

VI.

F.

The office within OSHA that is originating an OSP must designate an OSHA
Primary Contact to serve as the point of contact for the OSP.

G.

A new format for the Annual Evaluation Report has been developed to
standardize the process and ensure that the OSP data collected is useful and
consistent. This data can be analyzed to demonstrate quantitative results of the
OSP and evaluate success in meeting goals.

H.

This instruction becomes effective 60 days after publication. OSPs established
before the effective date of this instruction have up to three years to comply with
the new requirements. OSPs established or renewed after the effective date must
be in compliance to be approved or renewed.

References.
A.

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

B.

Basic Program Elements for Federal Employee Occupational Safety and Health
Programs, 29 CFR 1960.

C.

OSHA Safety and Health Program Management Guidelines, FRN 54:3904-3916,
January 26, 1989.

D.

Field Inspection Reference Manual (FIRM), OSHA Instruction CPL 2.103,
September 26, 1994.

E.

Site-Specific Targeting 2004, CPL2 04-02, April 19, 2004.

F.

Paperwork Reduction Act of 1995 (PRA), P.L. 104-13.

G.

OSHA Strategic Management Plan 2003 – 2008.

Action Required.
A.

Responsible Office. The Directorate of Cooperative and State Programs, through
its Office of Partnerships and Recognition, coordinates the development of OSPP
policy, manages selected individual OSPs, oversees the overall program, and
advises the Assistant Secretary concerning OSPP issues.

B.

Action Offices. All National Office Directorates and Offices, Regional Offices,
and Area Offices involved in the design, approval, and implementation of OSPs
must adhere to these instructions.

C.

Information Offices. Regional Administrators (RAs) will ensure that the

2

information contained herein is transmitted to all State Plan Designees and OSHA
Consultation Projects.
VII.

Federal Program Change.
A.
B.

C.

VIII.

This instruction describes a Federal Program Change for which State adoption is
not required, however notice of intent is required.
States adopting a partnership program are encouraged to use the OSPP elements
described herein when formulating their partnership program. If a States chooses
to develop a partnership program, it should submit a plan change with
documentation of the program and identify differences from the Federal program
described in this directive.
In the interest of developing an information base on both State and Federal
partnership efforts, State plans are asked to provide a summary description of each
partnership they enter into to their Regional Administrators and to the Directorate
of Cooperative and State Programs, Attention: Director, Office of Partnerships
and Recognition. OSHA will post these summaries on the partnership website.
When an automated data system becomes available, States will be asked to
provide more detailed information on partnerships through this system.

Definitions.
A.

Annual Evaluation. A yearly self-assessment to gauge the effectiveness of each
OSP. This assessment is conducted using the standardized OSPP Annual
Partnership Evaluation Report, which contains the minimum data necessary to
evaluate the effectiveness of an OSP agreement.

B.

OSHA Strategic Partnership (OSP). An OSHA Strategic Partnership is an
extended voluntary cooperative relationship between OSHA and groups of
employers, employees, employee representatives, and/or other interested
stakeholders designed to encourage, assist, and recognize efforts to eliminate
serious hazards and achieve a high degree of worker safety and health. This
program is available to all private sector industries and government agencies in
locales where OSHA has jurisdiction. OSPs may be designed to address all
hazards at partner’s worksite or one or more discrete hazards of particular
concern. An OSP can assist partners in the reduction of injuries and illnesses
through the long-term development of effective safety and health management
systems that address hazards in accordance with the Act. OSPs are formalized
through written agreements that last for a specified period of time. All the
elements identified in Section XII.B of this instruction must be addressed in the
OSP agreement.

C.

Safety and Health Management System. A method of preventing worker
fatalities, injuries and illnesses through the ongoing planning, implementation,
integration, and control of four interdependent elements: Management Leadership

3

and Employee Involvement; Worksite Analysis; Hazard Prevention and Control;
and Safety and Health Training.
D.

IX.

Programmed Inspection. Enforcement inspections of worksites that have been
scheduled based upon objective or neutral selection criteria. These worksites are
selected according to national or local scheduling plans for safety and health or
special emphasis programs.

Background.
The OSHA Strategic Partnership Program for Worker Safety and Health is a federal
initiative that seeks to reduce occupational fatalities, injuries and illnesses as well as
improve worker protections by engaging employer groups, individual employers,
workers, labor organizations, and others in formal, cooperative relationships with OSHA
to carry out the purposes of the Act.

.
The program, created by OSHA on November 13, 1998, was built on:
•

Successful cooperative programs such as the OSHA Consultation Program and the
Voluntary Protection Programs.

•

Encouraging and promoting the lessons learned and successes of site-based
cooperative programs to larger and diverse groups and businesses.

•

New techniques OSHA was adopting to redesign its Area offices.

The OSPP provides the infrastructure of policy and procedure for the building of
relationships, known as OSHA Strategic Partnerships or OSPs, and for the management
of both individual OSPs and the overall effort. A cornerstone of the program is the
development and continued improvement of the partners’ workplace safety and health
management system. OSPs aim to have a measurable, positive impact on the workplace
by preventing or reducing occupational fatalities, injuries and illnesses. OSPs do this in a
variety of ways; for example, they may:
•

Help participants establish an effective safety and health management system.

•

Train managers and employees on the hazards common to their industry,
recognition of actual hazards at their worksite, and ways to eliminate or control
these hazards.

•

Create ways to share expertise and other resources among participating employers
and other partners.

•

Establish goals and measures to evaluate program impacts on reduction of
workplace illness and injury rates.

4

An OSP should support the goals of the OSHA Strategic Management Plan, make the
best use of Agency resources, leverage stakeholder resources, and impact a large number
of workers.
X.

XI.

Distinguishing OSPs from Other OSHA Programs/Activities.
A.

Enforcement Initiatives. OSHA’s Local and National Emphasis Programs,
programmed inspection plans, and other enforcement activities are not OSPs and
will not be reported or counted as such. OSPs are purely voluntary activities that
are developed and operated jointly and cooperatively by OSHA and its partners.

B.

OSHA Cooperative Programs. OSHA recognizes that its other cooperative
programs (e.g., Voluntary Protection Programs, Consultation and Alliances) are
valuable and desirable activities. The OSPP is designed to complement these
other programs and to give private sector industries and federal agencies increased
opportunities to participate in these innovative programs and to find prudent
solutions to our Nation’s worker safety and health issues.

C.

Other Cooperative Initiatives/Activities. OSHA may also participate in a number
of other voluntary activities and many forms of compliance assistance involving
employers, employees, employee representatives, and other stakeholders,
including: conducting training at the request of a local labor union or employer
group; providing technical assistance at the request of an employer; and partaking
in safety and health forums with industry representatives. Although essential for
enhancing worker safety and health, such initiatives typically are short-term
activities or lack the measurable impacts that characterize OSPs.

Program Roles and Responsibilities.
A.

Directorate of Cooperative and State Programs (DCSP). DCSP is responsible for
overall program management. Specific duties include:
1.

Maintaining a record file for each OSP, to include a copy of the signed
agreement, any and all evaluations, Paperwork Reduction Act (PRA)
submissions, correspondence, and other supporting documentation as
needed.

2.

Collecting, analyzing, and managing data gathered for annual OSP
evaluations.

3.

Maintaining and reporting statistics, analyzing results, tracking progress
toward Assistant Secretary, Secretary, and President’s Management
Agenda goals, and providing periodic reviews of program impact.

4.

Coordinating with the Directorate of Information Technology to integrate
OSP information and data into OSHA’s data management systems.

5

B.

5.

Extracting lessons learned from OSPP experience and individual
evaluations that will enable OSHA to continuously improve the program.

6.

Providing technical and program support for other National Office
Directorates, Regional, and Area Offices to facilitate development of new
OSPs, as well as provide guidance on existing OSP management.

7.

Ensuring regular communication with and between Regional OSP
Managers through regular conference calls.

8.

Communicating successes to both the field and the public, and promoting
the OSPP nationally.

9.

Coordinating outreach efforts with the Office of Communications.

10.

Developing and delivering training and materials for OSHA personnel and
other interested parties on how to develop and manage OSPs.

11.

Composing, reviewing, and maintaining all OSPP information on
OSHA’s public web pages.

12.

Ensuring that PRA requirements are met for each OSP by coordinating
with the Directorate of Standards and Guidance to ensure proper
information submittal to the Office of Management and Budget.

13.

Playing a key role in developing strategies for program growth, impact,
and recognition of partners.

National Office Directorates, Regional Offices, and Area Offices. Each
Directorate or Office plays a key role in supporting the OSPP, including the
following activities:
1.

Working toward meeting goals set by the Assistant Secretary in the OSHA
Strategic Management Plan regarding OSPP growth, development and
management.

2.

Maintaining files for each OSP originating in that Directorate or Office.

3.

Ensuring timely communication with DCSP and other affected Offices and
Directorates regarding OSP exploration, development, tracking, and
evaluation (refer to Appendix D for guidance on Records and Information
Management).

4.

Identifying OSHA staff to act as a Primary Contact for individual OSPs to
coordinate overall OSPP activity within the Directorate or Office (see

6

responsibilities below in Section XI.C).

C.

5.

Ensuring adequate review of OSPs prior to signature, including review and
coordination by the Office of the Solicitor.

6.

Reviewing each OSP on an annual basis and preparing an annual
evaluation to ensure it operates effectively, shows meaningful
measurement of goals, and has a positive impact on worker safety and
health (see Appendix A, Section E).

7.

Allowing adequate resources, based on each OSP commitment, to enable
OSHA to conduct OSP related activity, including regular communication
with the partners.

8.

Recognizing and promoting OSP success and activity, such as the issuance
of press releases.

OSHA Primary Contact. OSHA has a substantial stake in ensuring that each OSP
operates efficiently and effectively. Therefore, the originating Office or
Directorate will designate a Primary Contact for each OSP. The Primary Contact
will perform a variety of activities, including:
1.

Communicating regularly with person(s) responsible for day-to-day
management of the OSP to stay abreast of all significant OSP activities
and issues.

2.

Maintaining documents in the OSP working file.

3.

Communicating regularly with others in OSHA, as appropriate; for
example:
a.

Keeping the Regional OSP Managers apprised of OSP
developments.

b.

Responding to requests for information from DCSP.

4.

Ensuring that OSHA conducts required verification of partnering
worksites and properly reports these tracked activities in the appropriate
Agency data management systems.

5.

Ensuring that OSHA carries out its responsibilities, for example that it
offers or provides any technical assistance to its partners in a manner that
takes into account the needs of the participants and the need to leverage
resources.

6.

Ensuring that DCSP, and others within OSHA as appropriate, are

7

informed of significant events at OSP sites, e.g., fatalities.

XII.

7.

Ensuring that the OSP’s written annual evaluations are complete and
provided to DCSP in a timely manner.

8.

Tracking the progress of the OSP toward the accomplishment of the
established goals.

9.

Facilitating and participating in recognition ceremonies and other activities
intended to highlight the OSP’s efforts and successes.

OSPP Requirements.
A.

Grace Period for Pre-existing OSPs. OSPs established before the effective date of
this instruction (which is 60 days after the instruction’s issuance) have up to three
years to meet all the necessary requirements. Many existing OSPs have
established terms of three years and will end their agreement before changes are
required.
OSPs established after the effective date, and any OSPs renewing their agreements
before the end of the 3-year grace period, must meet the criteria in this instruction
at the time of approval or renewal, respectively. The Regional Administrator or,
for National OSPs, the Director of DCSP will decide whether the OSP needs to go
through another review and approval process for requested renewals. The
decision should be based on the extent of changes necessary to meet the current
policy.

B.

Components of the OSP Agreement.
1.

All proposed OSP agreements must be in written form. When OSHA
approves an OSP and the partners sign the agreement, the originating office
will immediately provide a copy of the final agreement, including the
signature page, to DCSP. The originating office also will provide a courtesy
copy to other affected National Office Directorates, as appropriate.

2.

Although the particular structure and degree of formality of the OSP
agreement is left to the discretion of the originating office and its partners,
the proposed OSP written agreement must contain the core elements
described below. A detailed discussion of mandatory provisions is provided
in Appendix A, OSHA Strategic Partnership Agreements, Provisions for
Developing Core Elements.
a.

Identification of Partners. The proposed agreement should identify all
partners and the geographic or organizational boundaries of the OSP.
During early development discussions, OSP developers should
identify all appropriate partners and seek to involve additional willing

8

stakeholders, both National and local, whose input and participation
could further the goals of the program. Contacting other OSHA
offices may help identify important stakeholders.
b.

Purpose/Scope. State the purpose of the OSP and the scope of the
agreement. Clearly define the aim of the OSP through a careful
analysis of the issue.

c.

Goals/Strategies. Clearly define goals that support the purpose and
the desired outcome of the OSP. State strategies that describe how to
accomplish the goal and reach the desired outcome (see Appendix B
for additional guidance).

d.

Performance Measures. Effective quantitative and qualitative
performance measures linked to OSP goals must be identified in the
OSP agreement. Performance measures are important tools that
indicate the progress made towards achieving program goals (see
Appendix B for additional guidance).

e.

Annual Evaluation. All OSP agreements must provide details on
conducting the annual evaluation including identifying responsible
parties to gather data and ensure accurate and timely completion of the
report. A newly developed tool for conducting this evaluation is
provided in Appendix C. This standardized format is designed to
improve efficiency, simplify the data collection process, and enhance
OSHA’s ability to report results.

f.

Benefits. Benefits are a valuable component of OSPs that draw
interest and provide appropriate positive treatment based on the
partner’s undertakings. The OSP agreement must describe the selected
benefits, if any, that OSHA and the partners agree on. Some benefits
are tied to the partner’s performance and OSHA verification strategy.
Modifications to the standard OSHA enforcement procedures not
established as benefits in this instruction must be approved by the
appropriate National Office Directorates and be clearly described in
the OSP draft agreement (see Section XIV.D).

g.

OSHA Verification. OSHA will verify that OSP participants are
upholding their responsibilities under the agreement. Accordingly,
verification procedures must be written into all OSP agreements (see
Section XIII).

h.

OSP Management and Operation. The proposed agreement must
provide details about the responsibilities for the management and
operation of the OSP. The roles/responsibilities of each partner must
be specified, including a statement of the contribution that each

9

partner will provide to the effort.

C.

i.

Employee and Employer Rights and Responsibilities. Standard
language ensuring legal rights must be stated in all OSP agreements:
“This partnership does not preclude employees and/or employers
from exercising any right provided under the OSH Act (or, for federal
employees, 29 CFR 1960), nor does it abrogate any responsibility to
comply with the Act.”

j.

Term of OSP. The proposed agreement must specify the expected life
of the OSP and any conditions under which the program will be
terminated (see Appendix A for standard termination statements).

k.

Signatures. The primary parties must sign and date the OSP
agreement to confirm their commitment to the partnership and all
requirements and other provisions contained in the agreement.

OSP Management and Operation. A systematic approach to the management and
operation of an OSP will help ensure that partners accomplish the activities critical
to OSP success and fulfill their agreed-upon responsibilities. Successful OSPs
have the following management and operational components:
1.

Clearly delineated roles and responsibilities of the partners.

2.

Regularly scheduled communication with all partners. Conference calls
should be held on a quarterly basis at a minimum and a face-to-face
meeting of OSP partners should be conducted on an annual basis as
resources permit.

3.

Effective communication and involvement of all affected parties in the
development of National OSPs (see Appendix E for guidance on National
OSPs).

4.

Partnering employers should commit to incorporating employee
involvement in the management and operation of their safety and health
management system (see Appendix G, Guidance on Employee
Involvement).

5.

Performance of the required OSHA verification of the OSP partner. The
Agency and OSP partner may agree to conduct an offsite verification, an
onsite non-enforcement verification, or an onsite enforcement inspection.
Well-defined verification procedures (e.g., frequency, schedule) must be
developed for the selected OSHA verification method. OSHA verification
must be conducted as defined in the OSP agreement and sufficiently
evaluate whether a partner is meeting the necessary obligations under the
agreement.

10

6.

D.

Collection of the data as identified in the OSP agreement, and use of data in
the preparation of an annual evaluation.

7.

Completion of an annual evaluation and timely submission to DCSP.

8.

Specific criteria to evaluate each participating partner and well-defined
conditions to terminate the OSP agreement.

9.

Proper maintenance of records and information in the OSP working file.
Note: records voluntarily submitted to OSHA by partnership
participants can be expected to contain confidential commercial
information not customarily made public by the submitter (see
Appendix D for more guidance on Records/Information Management).

OSP Approval Requirements. All OSP proposed agreements must be reviewed
and approved at the next higher OSHA organizational level before implementation.
1.

National Office Level: OSPs developed at the National Office level are
reviewed by the appropriate National Office Directorate(s), for example,
the Directorate of Enforcement Programs and the Directorate of
Construction, and by the Directorate of Cooperative and State Programs.
Approval is also required from the Office of the Assistant Secretary, with
consultation from the National Office of the Solicitor.

2.

Regional Office Level: OSPs developed at the Regional Office level are
reviewed by the appropriate National Office Directorate(s) and by the
Director of DCSP. Approval is also required from the Office of the
Deputy Assistant Secretary, with consultation from the National Office of
the Solicitor.

3.

Area Office Level: OSPs developed in the Area Offices are reviewed and
approved by Regional Administrators, with consultation from the Office of
the Regional Solicitor.

4.

Solicitor Review: To ensure that the appropriate Solicitor has opportunity
to review the proposed agreement and provide consultation, the Solicitor is
given at least 10 business days advance notice prior to any approval
decision.

5.

OSP Signing Notice: Any office within OSHA originating an OSP must
provide advance notice (preferably four weeks) of anticipated OSP signing
to DCSP.

6.

Consulting Affected Parties: OSP developers should consult with
appropriate OSHA Offices and Directorates before submitting an OSP

11

proposed agreement for approval.
E.

F.

XIII.

OSPP Outreach and Promotion.
1.

All OSHA personnel involved in the OSPP are expected to encourage
interest and involvement in OSPs by communicating the program’s goals,
methods, and successes.

2.

With the consent of the partners, the Agency will issue a press release at
the start-up of each OSP, and may issue subsequent press releases to
inform the public of noteworthy events and achievements.

3.

The Regional Office of Public Affairs is responsible for issuing press
releases about OSPs originating at the Regional and Area Office levels.

4.

The Office of Communications, in coordination with the appropriate
National Office Directorates, will issue press releases and other types of
announcements to highlight OSPs originating in the National Office.

5.

The Office of Communications and DCSP will work together to
coordinate OSPP conferences and the promotion of the OSPP at other
events in which OSHA participates.

6.

OSHA will encourage stakeholders to use other means of communication,
such as trade journals, to highlight the value and results of the OSP
experience.

Paperwork Reduction Act (PRA) Requirements. The Office of Management and
Budget requires that OSHA submit a PRA form before an OSP agreement is
signed. OSHA must inform partners that the Agency will collect information
from participants on how much time they spend completing paperwork for the
OSP (see Appendix F).

OSHA Verification. Verification is OSHA’s process of reviewing or assessing whether
OSP participants are operating in accordance with the agreements they have signed. The
three possible verification methods that may be used by OSHA personnel are:
A.

Offsite Verification. Reviews by OSHA of OSP data, reports, records, without
actual entry to the partner’s worksite. Documentation is reviewed to determine
whether partners are implementing the provisions of the OSP agreement. The
documentation selected for review should relate to the goals, objectives and stated
measures of the OSP agreement. Examples include illness and injury data,
training course agendas and rosters, results of surveys, or results of self-audits.

B.

Onsite Non-enforcement Verification. OSHA conducts reviews of the partner’s
worksite in a non-enforcement capacity to assess the implementation of the OSP

12

agreement. The interaction provides opportunities for a partner to highlight OSP
efforts, and discuss challenges and plans for improvements, and allows OSHA to
review efforts. OSHA worksite observations should be sufficient to confirm the
partner’s worksite is operating a safety and health management system that
adequately ensures the protection of employees. During such visits, if OSHA
personnel identify serious hazards that site management refuses to correct, OSHA
should make a referral for an enforcement inspection.
C.

Onsite Enforcement Inspection. OSHA conducts an inspection of the partner’s
worksite in an enforcement capacity and may issue citations and penalties.
Enforcement inspections are performed in accordance with the applicable
sections of the FIRM and other enforcement guidance documents. In addition to
traditional enforcement issues, the inspection should assess the partner’s progress
in meeting the requirements of the OSP agreement.

With input from the partners, OSHA should select the most suitable verification method
and define the verification process, including the number and frequency of verifications
required to adequately evaluate the effective operation of the OSP agreement. Some OSP
partners may use their own representatives, private consultants, or OSHA Consultation
Program specialists to conduct worksite assessments. However, these assessments do not
take the place of an OSHA verification of the worksite.
XIV. OSPP Benefits. The benefits discussed in this instruction may be available to OSP
partners; however, the benefits do not automatically apply to every OSP. Benefits
provided should be commensurate with participating partner’s efforts to provide safe and
healthful working conditions in accordance with their obligations under the Act and their
degree of success. OSP partners must demonstrate commitment to the partnership effort.
The partner may demonstrate their level of commitment through the establishment of
meaningful goals to improve or enhance their safety and health management system and
corresponding performance measures to evaluate progress in meeting those goals.
Certain benefits require a specific level of verification of the partner’s worksite to be
eligible to receive the benefit. The OSP partner’s commitment and the overall operation
of the OSP is evaluated during one or more OSHA verification processes as described in
the OSP agreement.
The section below provides a description of each approved benefit and the corresponding
verification that must be satisfied for the partner to be granted the benefit. The OSP
agreement must clearly specify which of these benefits will be offered to the partner.
Although certain benefits described below modify OSHA enforcement procedures by
granting a deferral or deletion from the programmed inspection list, Agency personnel
will continue to investigate workplace complaints, referrals, fatalities, catastrophes, and
other significant accidents or events at partnering worksites, per standard Agency
procedures. The Area Director (AD) may allow such an investigation to be suitable as
meeting OSP verification requirements if it adequately assesses the key components of
the OSP agreement.

13

A.

OSHA Non-Enforcement Benefits.
1. Outreach, technical assistance and training. Examples of these include:
a. Free onsite services may be provided by OSHA-funded State
Consultation Projects to qualifying partners. When the appropriate
Consultation Project agrees, an OSP participant may be offered priority
consideration for these services.
b. OSHA personnel may be available to OSP participants for a variety of
onsite and offsite activities such as review of the safety and health
management system and assistance to develop or improve the system,
and guidance in conducting audits and evaluations.
c. Seminars, workshops, and other speaking events.
d. Availability of informational materials such as safety and health
brochures, pamphlets, and electronic tools.
OSHA National and Regional offices are also potential sources for technical
assistance; for example, the OSHA Health Response Team and other technical
experts within the Directorate of Science, Technology and Medicine and the
Directorate of Construction.
2. Recognition such as certificates and press releases issued by OSHA,
recognition on OSHA’s web page, worksite banners, letters, and plaques.
Other types of recognition may be offered by the OSP developers and detailed
in the draft OSP agreement.
To gain the benefits listed above the partnership agreement must include, at a
minimum, a process for offsite verification.

B.

OSHA Enforcement Benefits.
1. Citation Issuance. When calculating the initial penalty reduction, OSHA may
provide an additional 10% reduction for good faith beyond the reductions
provided in the FIRM where the employer, in implementing the OSP, has taken
specific significant steps beyond those provided in the FIRM to implement the
Act and achieve a high level of employee protection (see FIRM, Chapter
IV.C.2.i.5 [b]). This additional reduction will not apply to high gravity serious,
willful, failure to abate or repeat citations. In cases where a partner’s total
penalty reduction is 100 percent or more, the minimum penalty provisions of
the FIRM will apply (see FIRM, Chapter IV.C.2.b).
2. In the event that a citation with penalty is issued to an OSP partner, the
Regional Administrator (RA) has the authority to negotiate the amount of
penalty reduction as part of the informal conference settlement agreement.

14

.
3. Deferral from Programmed Inspection List for Non-Construction OSPs.
OSHA may offer up to a six-month deferral from programmed inspections to
OSP participants upon their entry into a partnership. During the deferral
period, the partner must commit to make workplace safety and health
improvements or seek compliance assistance to improve workplace safety and
health in accordance with its responsibilities under the Act.
For a majority of OSP agreements, the beginning of the deferral period will be
the effective date of the partnership agreement. However, in situations where
sites join the partnership on a staggered basis, the deferral period begins at the
site’s actual entry into the partnership. The partnership agreement should
clearly address the issue of OSP participant effective/entry dates.
4. Programmed Inspection with a Limited Scope.
At OSHA’s discretion, an establishment operated by a partner may receive an
inspection in which the focus is limited to hazardous areas, operations,
conditions or practices at the establishment. The limited scope inspection
must focus on the significant worksite and industry-specific hazards based on
an analysis of information available, such as:
•
•
•
•

BLS injury and illness data
Site and corporate injury and illness data
Site accident audit and inspection data
OSHA Target Industry Profiles

For inspections with limited scope, the workplace hazards to be addressed
will be determined by OSHA with input from the partner(s). OSHA may
expand the scope of the inspection based on information gathered during the
inspection process (see FIRM, Chapter II. A.1.b).
To gain a limited scope inspection as a benefit, the establishment must have
undergone an onsite non-enforcement verification inspection within one year
of the date of the programmed inspection.

15

5. Deletion from Programmed Inspection List.
a.

b.

Non-Construction
1)

Following a comprehensive onsite enforcement inspection
conducted to meet OSP verification requirements, an
establishment operated by an OSP partner will be deleted from
programmed inspection lists for the period of time established for
deletions in the then-current OSHA Site-Specific Targeting
directive.

2)

If the OSP is designed to comprehensively address a hazard
covered by the Act, the Area Director (AD), with the approval of
the RA, may extend the deletion for one year if the partner
continues to meet the conditions of the OSP agreement and
demonstrates improved performance in areas measured by the
OSP.

Construction
1)

For OSP Partners With Control of the Worksite. An OSP
agreement may provide that following an appropriate number of
comprehensive onsite enforcement inspections conducted to meet
OSP verification requirements at sites controlled by the partner,
other worksites controlled by the partner may be deleted from the
programmed inspection list within the OSP’s specified
geographical boundary for up to one year. The OSP deletion may
not extend beyond the regional boundary. However, if a serious
or imminent danger condition is observed by enforcement
personnel, the partner should be inspected and cited (per Agency
policy).
The minimum number of Agency scheduled onsite enforcement
inspections needed for verification shall be based on the number
of active worksites over which the partner has control within the
specified jurisdictional boundary:
2 - 25 sites
26 - 99 sites
100 or more sites

4 inspections
6 inspections
8 inspections

A partnership agreement may provide for a different number of
inspections, if the particular circumstances indicate it would be
appropriate and the agreement is approved by the Directorate of
Construction and the Directorate of Cooperative and State
Programs.

16

This provision is available only where the partner has an
effective safety and health management system fully compliant
with 29 CFR 1926.20 and 29 CFR 1926.21, the effectiveness of
the system is confirmed in the onsite enforcement inspections,
and the partner demonstrates adequate control over safety and
health for the entire worksite, including work performed by all
subcontractors. In these circumstances deletions should be
consistent with employee protection and conserving limited
OSHA resources.
2)

For OSP Partners Without Control of the Worksite. A
partnership agreement may provide that following an appropriate
number of comprehensive onsite enforcement inspections
conducted to meet OSP verification requirements at a partner’s
worksites, other worksites of the partner may not be inspected as
part of any programmed activity at a multi-employer worksite
within the OSP’s specified geographical boundary for up to one
year. The OSP deletion may not extend beyond the regional
boundary. However, if a serious or imminent danger condition is
observed by enforcement personnel, the partner should be
inspected and cited (per Agency policy).
The minimum number of Agency scheduled onsite enforcement
inspections needed for verification shall be based on the number
of active worksites at which the partner currently performs work
within the specified jurisdictional boundary:
2 – 25 sites
26 - 99 sites
100 or more sites

4 inspections
6 inspections
8 inspections

A partnership agreement may provide for a different number of
inspections, if the particular circumstances indicate it would be
appropriate and the agreement is approved by the Directorate of
Construction and the Directorate of Cooperative and State
Programs.

17

This provision is available only where the partner has an
effective safety and health management system fully compliant
with 29 CFR 1926.20 and 29 CFR 1926.21, and the effectiveness
of the system is confirmed in the onsite enforcement inspections
described above. For recordkeeping purposes, the official date of
the comprehensive onsite enforcement inspection is the opening
conference. Therefore, the beginning of the deletion period is the
date of the opening conference of the inspection.
C.

Non-OSHA Benefits. OSP developers should consider benefits other than those
that partners and stakeholders can bring to the OSP effort. Some examples are
listed below:
• An employer group or labor organization may offer employees safety and
health training.
• An insurance company may offer reductions in workers’ compensation
premiums to employers meeting specific safety and health management
system criteria.

D.

Other Benefits. Any benefit not discussed in this section must be described in
detail in the proposed written OSP agreement and be reviewed and approved by
the Directorate of Enforcement Programs and/or the Directorate of Construction,
DCSP and the Solicitor, followed by the approval of the Assistant Secretary.

18

APPENDIX A
OSHA STRATEGIC PARTNERSHIP AGREEMENTS
PROVISIONS FOR DEVELOPING CORE ELEMENTS
OSHA desires to encourage flexibility, creativity, and sensitivity in the OSP development
process. There are no standard rules for initiating dialogue to develop effective OSPs. OSHA
may initiate discussion with potential partners, or outside parties may proactively approach
OSHA to form a partnership. What works for one group of partners may not be appropriate for
another, and one OSP’s first steps may occur at a different stage than another OSP. However,
OSHA has learned from experience that there are core elements that are critical for creating wellfunctioning and ultimately successful OSPs. All OSPs must address these elements, and discuss
them in a proposed written OSP agreement.
ELEMENT

REQUIREMENTS

A. IDENTIFY
PARTNERS

1. During early development discussions, OSP developers should identify all
appropriate partners and seek to involve additional willing stakeholders,
both national and local, whose input and participation could further the
goals of the program.
2. Contacting other OSHA Offices or scanning the OSPP web page may help
identify important stakeholders. In addition to the OSHA originating office
and its primary partners, other potential partners are trade groups, insurance
companies, universities and community colleges, local government entities,
community health care and emergency service providers, professional
associations, and other interested stakeholders.
3. OSPs normally involve groups of employers and employees and/or their
representatives and possibly other interested stakeholders in high-hazard
workplaces or in workplaces where fatalities, injuries and illnesses are
prevalent. OSHA, however, may partner with employers, employees,
and /or their representatives from individual workplaces, companies, or
low-hazard establishments if the originating office determines that an OSP
could make a significant positive impact on worker safety and health.
4. State Consultation Projects can make valuable contributions to many OSPs.
Developers are encouraged to involve Consultation personnel at the earliest
stages of planning and, as appropriate, during subsequent implementation.

A-1

ELEMENT

REQUIREMENTS

B. STATE
PURPOSE/SCOPE

1. The purpose and scope must clearly describe what the OSP will accomplish
and to what extent.
2. A critical analysis should be performed to identify the purpose of the OSP.
This analysis should examine the identified worker safety and health issues
and evaluate the most suitable approach for developing the OSP to produce
effective solutions. The result should identify how the OSP can most
effectively be developed to improve the situation.
3. The process should also consider the suitability of the OSP for meeting the
requirements and goals for resolving or improving the identified worker
safety and health issue/problem.
4. Effective analyses will not only rely on statements from the OSP
participants and anecdotal experience, but will also examine data from
various industry sources that can objectively characterize the safety and
health issue to be addressed by the OSP.
5. Employees can bring valuable skills and perspective to the development
and operation of the OSP. Their involvement is recommended in the initial
formulation of the OSP agreement, as well as subsequent activities.

6.

The involvement of appropriate OSHA offices, Consultation Projects, and
outside stakeholders at this stage is advisable.

A-2

ELEMENT

REQUIREMENTS

C. DEFINE
GOALS/
STRATEGIES

1. The OSP must identify the major goal(s) of the agreement.
2. Well-defined goals support the purpose and define the expected outcome(s)
of the OSP.
3. The strategies should describe the approach for reaching the goals.
Effective strategies will define the plan or key steps necessary for attaining
the goal.
4. The OSP agreement must provide information on the specific tasks/actions
or initiatives that will be performed to achieve the stated goals. Welldefined strategies state concretely what will be accomplished, by whom,
how, and in what period of time.
5. For each specific task/action or initiative, provide details on the responsible
party, the necessary resources, and expected time frames for task
completion.
6. An example of a broad goal for an OSP can be: To reduce employee
injuries and illnesses. The strategy to achieve this goal could be to
implement an effective safety and health management system, or to
eliminate/control a serious hazard endangering employees. The specific
initiatives for each strategy could include tasks/actions such as: perform
workplace surveys, conduct employee training, or develop a hazard
communication program.

A-3

ELEMENT

REQUIREMENTS

D. DEFINE
PERFORMANCE
MEASURES

1. Effective performance measures compare the actual result with the intended
or desired outcome. The process of establishing performance measures
must begin during OSP development and must be addressed in the
agreement.
2. OSPs must identify and use results-focused quantitative measurements for
evaluating program goals. Because all partnerships aim to reduce
workplace fatalities, injuries, and illnesses, each OSP must identify
baseline data corresponding to all summary line items on the OSHA 300
Log and must track changes at either the employer level or participantaggregate level.
3. Examples of other quantitative performance measures include workers’
compensation rate comparisons, workers’ compensation costs, number of
workplace inspections performed, response time for correcting identified
hazards, and survey results of employee knowledge before and after OSPsponsored training.
4. Qualitative performance measures may also be used to assess OSP
effectiveness. These are hard-to-measure benefits or positive changes that
result from meeting program goals. Examples of qualitative outcomes
include improved employee morale, increased employee understanding of
safety and health requirements, and better attitudes or cultural acceptance
of safety and health programs in the workplace.
5. Wherever possible, performance measures should relate to the goals of the
Government Performance and Results Act (GPRA) and OSHA’s Strategic
Management Plan and should gauge whether OSPs are effective strategies,
whether they utilize resources efficiently, and whether they contribute to
the goals and priorities OSHA has set.

E. EVALUATION

1. Once meaningful performance measures are in place, OSHA and its
partners must conduct annual evaluations to identify strengths and
weaknesses of the OSP strategies and progress in meeting OSP goals.
2. Ideally, the evaluation is a collaborative effort of the primary partners.
Minimally, the evaluation should be completed by someone with
knowledge of the OSP’s strategies who can verify the completion of
applicable requirements and recognize areas needing improvement.
3. A new format for the Annual Evaluation Report has been developed to
standardize the process and ensure consistency in the data collected.
Evaluators will use the report format provided in Appendix C, which
contains the minimum data that must be supplied. The evaluation should
provide pertinent information needed to determine whether the OSP should

A-4

ELEMENT

REQUIREMENTS
be modified to better meet its goals, be discontinued, or be expanded from a
Local or Regional to a National OSP. Additional information may be
provided to adequately assess the OSP. The first written evaluation must be
sent to DCSP within two months of the first anniversary of the OSP
signing; subsequent evaluations are due annually thereafter.
4. For the construction industry, OSPs that require individual contractors to
qualify after the agreement is signed must submit a full evaluation one year
after the first partner qualifies. However, if more than 18 months has
passed with no participating contractors, the OSP must submit a modified
evaluation, including the reasons for its lack of partners and what is being
done to address the issue.

F. DEFINE
BENEFITS

1. Benefits provided must be commensurate with participating partners’ efforts
to provide safe and healthful working conditions in accordance with their
obligations under the Act and their degree of success. The benefits for the
OSP should be linked to goals and performance measures that are mutually
agreeable to OSHA and OSP partners.

2. It is essential that OSP developers (both OSHA personnel and potential
partners) understand the Agency’s policy concerning enforcement at
partnering sites. OSP developers may not offer routine OSP-wide deferral
or deletion from programmed inspections.

3. Any enforcement benefits not established in this directive or in another
enforcement policy must be described in detail in the proposed OSP
agreement and be reviewed by the Directorate of Enforcement Programs
and/or Directorate of Construction, the Directorate of Cooperative and State
Programs, and the National Solicitor.

G. DEFINE
VERIFICATION
PROCEDURES

OSHA will verify that OSP participants are upholding their responsibilities
under the OSP agreement. Below is a description of the types of verification
that should be considered:
1. Offsite Verification: OSHA reviews OSP data, reports, etc. without actual
entry into the partner’s worksite. The OSP written agreement should
identify verification procedures including:
•

•
•

Any offsite verification activities that OSHA will perform. These may
include, for example, OSHA review of the Annual Partnership
Evaluation Report, OSHA Form 300 data, quarterly progress reports,
etc.
The frequency of any offsite verification.
The written format for documenting offsite verification.

A-5

ELEMENT

REQUIREMENTS
•

Who will be responsible for performing verification activities and
collecting data.

2. Onsite Non-enforcement Verification: Non-enforcement interactions may
be conducted with partners to discuss and review their worksite and their
progress within the OSP. Non-enforcement verifications can be tailored
specifically to meet the needs of the individual OSP, but often work best in
a format consisting of presentation given by the partner on OSP initiatives
and a worksite review by OSHA. To take maximum advantage of the time
onsite, OSHA may request, and review, documents prior to arrival at the
partner’s worksite. During such visits, if OSHA personnel identify serious
hazards that site management refuses to correct, OSHA should make a
referral for an enforcement inspection.
The OSP written agreement should identify onsite non-enforcement
verification procedures including:
•
•

•

The scope of the non-enforcement onsite verification.
The minimum number or percentage of worksites that will receive
OSHA onsite non-enforcement verification, as determined by the
OSHA originating office based on its analysis and understanding of the
partner’s safety and health management system.
How employees and/or employee representatives will be involved in all
onsite non-enforcement verification.

2. Onsite Enforcement Inspections: These inspections include the potential
for issuing citations and assessing penalties for violations. These
inspections may be combined with other programmed and unprogrammed
inspections, for example, a Site Specific Targeting inspection or a
complaint inspection.

A-6

ELEMENT

REQUIREMENTS

H. DEFINE
MANAGEMENT
AND
OPERATION OF
THE OSP

1. A systematic approach to the management and operation of an OSP will
help ensure that partners accomplish the activities critical to OSP success
and fulfill their agreed-upon responsibilities.
2. Leveraging of resources is critical in the day-to-day management and
operation of an OSP. In order to assure maximum leveraging and
participant involvement, the roles and responsibilities of each partner must
be specified in the agreement, including a statement of the contribution that
each partner will make.
3. In some cases, the approved agreement will specify a steering committee
composed of representatives of the employers and the employees
participating in the OSP. Another possibility is that the agreement assigns
responsibility to an individual, for example, the safety and health director
of the industry group partnering with OSHA.
4. At non-union worksites, OSHA recommends employers involve employees
at the outset, if feasible. Evidence of employee involvement in and
commitment to an OSP is highly desirable.
5. If an OSP includes unionized worksites, it is desirable that affected unions
be supportive of and involved in the OSP. The level of union involvement
(local, international, or both) will depend on the scope and nature of the
OSP.
6. All OSPs must have a designated OSHA “Primary Contact” that advocates
participation and continuous improvement, and articulates and promotes the
goals and actions set out in the agreement.

I. EMPLOYEE
AND EMPLOYER
RIGHTS

1. The OSP agreement must contain the following statement:

J. SPECIFY OSP
TERM

1. The proposed agreement must specify the expected life of the OSP and any
conditions under which the program will end, such as:

“This partnership does not preclude employees and/or employers from
exercising any right provided under the OSH Act (or, for federal employees, 29
CFR 1960), nor does it abrogate any responsibility to comply with rules and
regulations adopted pursuant to the Act.”

•
•
•

“Sunset provision” that specifies the date when the agreement is
automatically terminated.
Termination if a primary party unilaterally withdraws.
Closure when the goals of the OSP have been met.

A-7

ELEMENT

REQUIREMENTS
•

Termination when the OSP is failing to meet requirements, for
example, failing to provide required annual evaluation data.

2. Typically, the term of an OSP agreement is in the range of three to five
years. This timeframe is sufficient for accomplishing basic OSP goals.
Standard term language for the proposed agreement may be:
For Multiple Signatories:
This agreement will terminate on ________, which is three years from the
date of the signing. If any signatory of this agreement wishes to terminate
their participation prior to the established termination date, written notice
of the intent to withdraw must be provided to all other signatories.
If OSHA chooses to withdraw its participation in the partnership, the entire
agreement is terminated. Any signatory may also propose modification or
amendment of the agreement.
For a Single Signatory:
This agreement will terminate on ________, which is three years from the
date of the signing. If either OSHA or (insert name of the partner) wishes
to withdraw their participation prior to the established termination date, the
agreement will terminate upon receiving a written notice of the intent to
withdraw from either signatory.
For Non-Signatory Participants:
For non-signatory participants of the strategic partnership, OSHA may
terminate the participant’s involvement at any time with written notice.
Additionally, the participant may withdraw their participation from the
strategic partnership at any time with a written notice of the intent to
withdraw to OSHA.
K. PROVIDE
SIGNATURES

1. OSHA representatives and primary parties will sign and date the OSP
agreement to ensure commitment to the OSP requirements and other
provisions.
2. A draft signature page, with signatories clearly identified by name, title,
and organization, should be submitted with the detailed proposed
agreement as part of the approval process.

A-8

APPENDIX B
PERFORMANCE MEASURES
To effectively measure progress, performance measures derived from program goals and
objectives must be established. This process is a critical success factor for meeting stated
objectives. Establishing well-defined performance measures enables the assessment of the
OSP’s success at achieving the desired improvements to the workplace safety and health
management system participating sites. In addition, good measures form the basis for an
objective and systematic analysis of the results, impact, or effects of the OSP. Several steps are
involved in establishing performance measures, including selecting meaningful performance
measures, establishing baseline data, and collecting data to measure progress. Each of these
steps is discussed in this section.
SELECTING PERFORMANCE MEASURES
Preferably in the initial agreement, or at a minimum at the outset of the OSP, the partners must
identify the specific measures or indicators that will be tracked to assess progress toward
achieving the OSP goals. Participants in an OSP should analyze their agreement’s goals and
determine the most useful performance measures to track progress. The selected measures
should be reasonable and not overly burdensome so that participants have the logistical and
administrative capacity to track the data. To develop the most effective performance measures,
feedback from all participants should be obtained prior to making decisions. The views and
opinions of the individuals directly responsible for collecting data and tracking the measures may
serve as an invaluable technical resource for developing the most suitable OSP strategies.
Attributes of Good Performance Measures
Good performance measures for an OSP should be balanced to address all of the key goals of the
agreement. OSP performance measures should be meaningful and focused to include useful and
relevant metrics. Measurements that are data-rich but lack insight have very limited value for
developing prudent solutions. The measures should provide substantive information concerning
the status of the specific strategic focus of the OSP. For example, voluminous monthly reports
on illnesses are irrelevant if the OSP goal is elimination of fatalities. Other attributes of good
performance measures include:
•

•
•

Measurements should be valid and reliable. Validity speaks to the accuracy of a
measurement. Reliability means the data can be replicated. For example, if the
number of employee injuries is being tracked, a valid result is a number that is
accurate within a narrow range. A reliable result is one that can be repeated if the
measurement is recalculated.
Measures should be flexible, considering a variety of sources and means.
Measures should be practical, that is, time- and cost-effective to obtain.

B-1

Types of Performance Measures
Performance measures, for OSPP purposes, are quantitative and qualitative data used to evaluate
an OSP’s effectiveness. A mandatory quantitative measure for all OSPs is the workplace injury
and illness rates. The Partnership Evaluation Report found in Appendix C contains the
minimum data that must be tracked and reported on an annual basis. Development of
performance measures linked to these quantitative evaluation criteria is recommended. Below is
a non-exhaustive list of some other quantitative and qualitative performance measures that may
be useful to assess progress of an OSP agreement:
•
•
•
•
•
•
•
•
•
•
•
•

Number of job safety analyses conducted
Exposure assessment data
Number of employee complaints
Breadth of training delivered
Level of employee knowledge before, immediately after, and 6 months after training
Number of worksite audits
Number of hazards identified and abated
Number of root cause analyses conducted
Improved employee productivity
Increased employee involvement
Number of safe actions demonstrated in the workplace
Enhanced communication between management and employees

The table below provides several examples of performance measures tied to OSP goals and
strategies:

Goal
1) Identify and communicate an
effective process to develop and
implement successful ergonomic
programs and guidelines

Strategy
a) Develop a written process to
address ergonomic hazards in the
workplace.

Measures/Products
i) Number of sites where
ergonomic process has been
effectively implemented
ii) Number of training
courses/people trained in process
iii) Awareness survey of
employees

B-2

Goal
2) Reduce the incidence and
severity of MSD’s at participating
facilities

Strategy
b) Develop an ergonomic
protocol to assist in assessing
compliance with General Duty
Clause requirements.

Measures/Products
iv) Baseline of MSD cases
v) MSD cases involving day(s) of
restricted work activity
vi) MSD cases involving day(s)
away from work
vii) The number of MSD-related
surgeries
vii) An annual comparison of these
incidence and severity criteria to
the baseline numbers.

3) Increase the number of sites
eligible for and participating in the
VPP

c) Use the VPP report format to
assess baseline status of sites

viii) Number of sites applying for
VPP

d) Develop annual strategies to
address deficiencies noted in
baseline and subsequent annual
evaluations

ix) Number of sites accepted for
participation

ESTABLISHING A BASELINE
Once performance measures have been selected, baseline data must be established. To
effectively measure progress and improvement, baseline data is established at the beginning of a
process for comparison with new data. If historical data is available, it can be used as the
baseline. The baseline is usually derived from the most recent one-year period, or a shorter time
frame, if available. If no data is available, industry averages can be used. Otherwise, data will
need to be collected to establish the initial baseline information. For example, if an OSP goal is
to reduce the number of employees exposed to silica, useful baseline information would include
the average number of documented workplace exposures for a specified period of time or the
information available in OSHA’s Integrated Management Information System (IMIS) on
exposure rates for the industry. The baseline data will serve as a starting point from which OSP
results will be gauged.
COLLECTING DATA
Data must be collected and then analyzed for each performance measure to determine if and how
well goals are being met. Data collection should be based on pre-determined definitions. These
definitions need to be universally understood by all OSP participants. Data collected within a
common framework of understanding can be easily compared and analyzed, allowing subsequent
evaluations to be consistent.
B-3

Partnership ID #

APPENDIX C
OSHA Strategic Partnership Program
Annual Partnership Evaluation Report

Cover Sheet
Partnership Name

Purpose of Partnership

Goals of Partnership
Goal

Strategy

Measure

Anticipated Outcomes

Strategic Management Plan Target Areas (check one)
Construction
Amputations in Manufacturing
General Industry
Strategic Management Plan Areas of Emphasis (check all applicable)
Amputations in Construction
Oil and Gas Field Services
Blast Furnaces and Basic Steel Products
Preserve Fruits and Vegetables
Blood Lead Levels
Public Warehousing and Storage
Concrete, Gypsum and Plaster Products
Ship/Boat Building and Repair
Ergo/Musculoskeletal
Silica-Related Disease
Landscaping/Horticultural Services
C-1

Partnership ID #

Section 1
Date of Evaluation Report
Evaluation Period
Start Date

General Partnership Information

End Date

Evaluation OSHA Contact Person
Originating Office
Partnership Coverage
# Active Employers

# Active Employees

Industry Coverage (note range or specific SIC and NAICS for each partner )
Partner
SIC

Section 2

NAICS

Activities Performed

Note whether an activity was provided for by the OSP and whether it was performed
Required
Performed
a. Training
b. Consultation Visits
c. Safety and Health Management Systems
Reviewed/Developed
d. Technical Assistance
e. VPP-Focused Activities
f. OSHA Enforcement Inspections
g. Offsite Verifications
h. Onsite Non-Enforcement Interactions
i. Participant Self-Inspections
j. Other Activities

2a. Training (if performed, provide the following totals)
Training sessions conducted by OSHA staff
Training sessions conducted by non-OSHA staff
Employees trained
Training hours provided to employees
Supervisors/managers trained
Training hours provided to supervisors/managers
C-2

Partnership ID #

Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2b. Consultation Visits (if performed, provide the following total)
Consultation visits to partner sites
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2c. Safety and Health Management Systems (if performed, provide the
following total)
Systems implemented or improved using the 1989 Guidelines as a model
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2d. Technical Assistance (if performed, note type and by whom)
Provided by
OSHA Staff

Provided by
Partners

Provided
by Other
Party

Conference/Seminar Participation
Interpretation/Explanation of Standards or OSHA
Policy
Abatement Assistance
Speeches
Other (specify)
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

C-3

Partnership ID #

2e. VPP-Focused Activities (if performed, provide the following totals)
Partners/participants actively seeking VPP participation
Applications submitted
VPP participants
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2f. OSHA Enforcement Activity (if performed, provide the following totals for
any programmed, unprogrammed, and verification-related inspections)
OSHA enforcement inspections conducted
OSHA enforcement inspections in compliance
OSHA enforcement inspections with violations cited
Average number of citations classified as Serious, Repeat, and Willful
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2g. Offsite Verification (if performed provide the following total)
Offsite verifications performed
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2h. Onsite Non-Enforcement Verification (if performed provide the following total)
Onsite non-enforcement verifications performed
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

C-4

Partnership ID #

2i. Participant Self-Inspections (if performed provide the following totals)
Self-inspections performed
Hazards and/or violations identified and corrected/abated
Comments/Explanations (briefly describe activities, or explain if activity provided for but not
performed)

2j. Other Activities (briefly describe other activities performed)

Section 3

Year
2000
2001
2002

Hours

Illness and Injury InformationA

Total Cases

Total
Three-Year Rate (2000-2002)
BLS National Average for 2001
Baseline
Comments

A

Sample Chart – not required format
C-5

TCIR

# of Days Away from
Work Restricted and
Transferred Activity
Cases

DART

Partnership ID #

Section 4

Partnership Plans, Benefits, and Recommendations

Changes and Challenges (check all applicable)
Changes

Challenges

Management Structure
Participants
Data Collection
Employee Involvement
OSHA Enforcement Inspections
Partnership Outreach
Training
Other (specify)
Comments

Plans to Improve (check all applicable)
Improvements
Meet more often
Improve data collection
Conduct more training
Change goals
Comments

Partnership Benefits (check all applicable)
Increased safety and health awareness
Improved relationship with OSHA
Improved relationship with employers
Improved relationship with employees or unions
Increased number of participants
Other (specify)
Comments

C-6

N/A

Partnership ID #

Status Recommendation (check one)
Partnership Completed
Continue/Renew
Continue with the following provisions:

Terminate (provide explanation)

C-7

APPENDIX D
RECORDS AND INFORMATION MANAGEMENT
ACTION

WHEN

Establish and maintain primary OSP
file
Establish a National file for each OSP

At signing or before

Provide adequate notification of
proposed OSP for review of the draft
agreement
Prepare and submit PRA information

Process PRA information for submittal
to OMB
Notify DCSP of anticipated signing
date
Maintain advance signing “tickler” and
distribute
Provide electronic copy of agreement
and fax/scan of signature page to
DCSP

Upon receipt of
signed agreement or
other pertinent
documentation
As soon as working
draft has been
developed
At least four to six
weeks prior to
signing
Upon receipt from
Originating
Office/Directorate
Four weeks prior to
anticipated signing,
when possible
Ongoing, at least
monthly
Upon signing

D-1

BY
Originating
Office/Directorate
DCSP

Originating
Office/Directorate, with
assistance from DCSP
when appropriate
Originating
Office/Directorate
DCSP

Originating
Office/Directorate
DCSP
Originating
Office/Directorate

ACTION
Prepare and issue Press Release (with
consent of partners)

Maintain open and closed partnerships
in the OSPP spreadsheet and/or
database, as well as other related
activities and information
Update OSHA OSP web page, to
include OSP summaries, highlights,
and results

WHEN
Upon signing of
agreement, and
thereafter when
noteworthy events
occur
Ongoing

BY
Originating
Office/Directorate
through appropriate
OSHA Office of
Communications
DCSP with support from
Originating
Office/Directorate

Ongoing

DCSP with support from
Originating
Office/Directorate and
the Directorate of
Information Technology
Originating
Office/Directorate

Prepare OSP Annual Evaluation Report Within 60 days of
and submit to DCSP
first year
anniversary, then
annually thereafter.
Craft timely summaries of OSP success
and impact, and submit to DCSP

Ongoing

Originating
Office/Directorate

Prepare reports highlighting OSPP
impact and activity, and share with
stakeholders and other affected parties
When requests are received from a
member of the public for disclosure
under the Freedom of Information Act
for information submitted to OSHA
by a partnership participant that may
constitute confidential commercial
information, OSHA will provide the
partnership participant with prompt,
written notice of the request and afford
the partnership participant a reasonable
period to object to the disclosure, as
provided in DOL regulations at 29
CFR §70.26

Ongoing

DCSP

Upon receipt of
request

Originating
Office/Directorate

D-2

APPENDIX E
EFFECTIVE COMMUNICATION PROCESS
FOR
NATIONAL OSHA STRATEGIC PARTNERSHIPS

A key success factor for the OSHA Strategic Partnership Program is ensuring effective
communication processes are in place between all affected parties in the development,
implementation, and management of the OSHA Strategic Partnership (OSP). This is especially
true for National-level partnership agreements. Effective communication is required to ensure
that National Office Directorates and Regional Offices can adequately plan and make joint
decisions on important issues such as resource requirements. The matrix below outlines the
communication process for developing National partnerships agreements.

ACTION

BY WHOM

Begin discussions with potential
partners

Any National Office
Directorate

Notify Directorate of Cooperative
and State Programs via email of any
new partnership under
consideration
Verbally announce the potential
OSP (“heads-up”)

Originating National
Office Directorate

Prepare, and share via email, an
OSP Executive Summary Report
with the appropriate Regions and
National Office Directorates

Originating National
Office Directorate

(See Appendix E-1 for the
suggested OSP Executive Summary
format)
Share critical concerns via email
with the originating National Office
Directorate, with cc to DCSP
Review and discuss concerns with
the Office of the Assistant
Secretary for decision

Originating National
Office Directorate

National Office
Directors and/or
Regional
Administrators
Originating National
Office Directorate;
DAS and/or AS
E-1

WHEN
When OSHA is approached by or
approaches one or more potential
partners
When potential partners appear
serious about moving forward with
a formal OSP agreement
At the next scheduled Executive
Staff meeting and Regional
Administrators’ (RA) conference
call, with periodic updates as
appropriate
As soon after the “heads-up”
announcement as possible; at a
minimum, six weeks prior to an
anticipated partnership signing.
Exception if the Assistant Secretary
(AS) or Deputy Assistant Secretary
(DAS) give the OSP priority
Within one week of receipt of the
OSP Executive Summary Report

Within two weeks of receipt of
National Office Directors’ and/or
RAs’ concerns

ACTION
For “go” OSPs, continue work with
partners to draft the final OSP
agreement
Share final draft partnership
agreement with appropriate NO
Directors, RAs, and the Office of
the Solicitor (SOL) for final
comment
Incorporate the final comments
from the National Office Directors,
RAs and/or SOL* into the final
OSP agreement

BY WHOM

WHEN

Originating National
Office Directorate

Per timeline worked out with
potential partners

Originating National
Office Directorate

Minimum of three weeks prior to
partnership signing

Originating National
Office Directorate

Exception if OSP is placed on AS
or DAS fast track
Prior to partnership signing

* When issues raised during the review process cannot be resolved between the originating
National Office Directorate and another interested party within OSHA, the matter will be
forwarded to the appropriate DAS and/or AS for decision.

E-2

APPENDIX E-1
EXECUTIVE SUMMARY REPORT FORMAT
The following information is recommended for inclusion in the Executive Summary Report:
•

Identify all potential partners

•

Provide brief background information:
-

•

What is the origin of the OSP?

Briefly explain the partnership rationale:
-

Number of fatalities, serious injuries, or illnesses
Conditions appropriate for strategic partnership
Expected focus

•

Briefly describe OSP goals and expected outcomes

•

Estimate number of employers/employees potentially impacted by the OSP

•

Indicate the expected duration of the OSP and possible start date (e.g., three years; OSP to
launch in January 2006)

•

Identify the affected Regions and OSP coverage (e.g., four sites in Regions I, II, and IV)

•

Estimate the potential field resources required for the OSP:
-

•

Compliance Assistance Specialists’ participation at partner conferences
Periodic offsite technical assistance
Number and type of verifications (per Region/year)

Include appropriate attachments:
-

Draft OSP agreement
Historical data/information on each partner (if available)

E-3

APPENDIX F
PAPERWORK REDUCTION ACT REQUIREMENTS
To comply with the Paperwork Reduction Act (PRA) of 1995, OSHA must document the public
reporting burden imposed by the information collection requirements of an OSHA Strategic
Partnership Program (OSPP) and must inform participants of that burden.
The Office of Management and Budget (OMB) has granted OSHA a generic approval to collect
information for all OSP agreements. The approval includes procedures to obtain OMB
authorization for each OSP. This document defines the process required to meet the terms of the
generic approval. Responsibilities associated with the process are as follows:
Originating Office or Directorate.
1. The OSHA OSP Primary Contact, during development of the OSP, will provide all
prospective partners with the following written narrative:
OMB Control Number 1218-0244
Expiration Date: [update with new date]
The public reporting burden for this partnership’s collection of information is estimated at
(enter estimate) per participant, per year. If you have any comments regarding this
collection of information, including suggestions for reducing the burden or revising the
burden estimate, please direct them to:
Occupational Safety and Health Administration
Attention: Director, Office of Partnerships and Recognition
Directorate of Cooperative and State Programs, Room N3700
200 Constitution Avenue, NW
Washington, DC 20210
Partners are not required to respond to this collection of information unless they have been
advised in writing of the currently valid OMB Control Number for the OSHA Strategic
Partnership Program.
2. For each OSP, the Originating Office or Directorate will submit an OSPP-PRA Information
Form to the Directorate of Cooperative and State Programs prior (preferably four weeks) to
signing (see Appendix F-1, OSPP-PRA Information Form).
3. Although only one submission is normally required, additional information or revisions may
be needed if:
•

OMB requests additional information regarding the OSP prior to approval, or

•

The OSP experiences a substantial change in participants or participants’ burden
F-1

hours, in which case an updated OSPP-PRA Information Form must be submitted.
Directorate of Cooperative and State Programs (DCSP).
1. In cooperation with the originating Office or Directorate, DCSP will review and revise, as
needed, the OSPP-PRA Information Form, and enter the information into the OSPP database.
2. Summarize all PRA information and submit to the Directorate of Standards and Guidance.
3. For each new OSP, complete and submit an OSPP Supplemental Information Sheet to the
Directorate of Standards and Guidance.
Directorate of Standards and Guidance.
1. In cooperation with DCSP, the Directorate of Standards and Guidance will review and revise,
as needed, the OSPP Supplemental Information Sheet.
2. Submit the OSPP Supplemental Information Sheet to the Department’s Office of the
Assistant Secretary for Administration and Management, for processing and submittal to
OMB.
OMB has 10 working days to provide OSHA with comment regarding an OSP’s information
collection activity. If OMB does not provide a response within the 10-day comment period,
the OSP is deemed approved for the purposes of the PRA.

F-2

APPENDIX F-1
SAMPLE OSPP-PRA INFORMATION FORM
To meet the requirements of the Paperwork Reduction Act and obtain OMB approval, OSHA
needs the following information for each OSP. This information must be submitted to the DCSP
prior to signing a new OSP agreement (preferably 4 weeks prior).
Ref #
Part I – General Information
Date
Originating OSHA Office
Submitted
Submitted By
Phone
Partnership Name
OSHA Primary Contact
Partnership Summary (this section will also be used on the web and for weekly RA and Exec Staff updates and
should cover key partners and goals)

Part II – Identification of Data
Primary (non-OSHA) Information Collector:
Information Collected (check all applicable)
Illness and injury data
Self audits/evaluations
Monitoring results
Accident/near-miss investigations
Data related to safety and health management
systems (and elements)
Workers’ compensation
Other (list) -

Fatality Data
Equipment inspection/certification
Experience Modification Rates (EMR)
Hazards identified and abated
Logistical (i.e. site information, project/process
descriptions, etc.)

Part III – Determination of Burden Hours
Estimated
Number of
Total
Participants

X

Average
Yearly Burden
Hours per
Participant*

=

Total Yearly
Burden Hours
for
Partnership

* Average yearly burden hours per participant may be calculated for each specific partnership based on
feedback from partners and prior experience with similar agreements or
You may select to use the estimated average listed in the OSPP Supporting Statement for the Collection of
Information, September 2002 of 11 hours. This estimate is based on an analysis of existing OSHA Strategic
Partnerships.
F-3

PRA INFORMATION FORM FIELD CLARIFICATION
Date

Date the form was submitted to DCSP.

Originating
OSHA Office

Name and location of the OSHA office primarily involved in the development and management
of the OSP. This may be a National, Regional, or Area Office.

Submitted by/
Phone

Name and contact information of the OSHA person submitting the PRA form to DCSP.

Partnership
Name

Official OSP name as it will appear on the signed OSP agreement.

OSHA Primary
Contact

Name of OSHA employee who will have primary responsibility for the OSP.

Partnership
Summary

Brief description of the OSP, including key partners, goals of partnership, and description of
worksite/process. This section will also be used on the web and for weekly RA and Exec Staff
updates.

Primary
Information
Collector

The partner or association that will have primary responsibility for gathering partnership
measurement data for assessing partnership impact and success. This will normally be the
primary employer, such as the prime contractor at a construction site.

Information
Collected

Type of information that will be gathered to assess impact of the partnership on workplace
safety and health. The information collected should reflect the goals and measures established
in the partnership agreement.

Estimated
Number of
Participants

Total number of OSP participants who are expected to submit information in support of the
OSP. For partnerships with multiple participants, the number could be based on the likely
number of participants among a trade group/association total membership, number of
subcontractors expected to work on a partnership site, etc.

Average Yearly
Burden Hours
per Participant

Option 1 – Calculate average burden hours for each participant based on feedback from
partners and prior experience with similar agreements. Do not include time spent collecting,
maintaining, or preparing information otherwise required by law or normal business practice.
Example #1 OSHA requires all firms with 10+ employees to maintain an OSHA 300
log. This is not included in calculating burden hours.
Example #2: The OSP requires that all participants use their OSHA 300 log to
conduct a trend analysis, prepare a report of findings, and submit the log and the report
to OSHA on an annual basis. Time spent conducting the trend analysis, producing the
report, and submitting both to OSHA are included when calculating burden hours.
Option 2 - Use the estimated average listed in the OSPP Supporting Statement for the
Collection of Information, September 2002 of 11 hours. This estimate was based on an
analysis of existing OSHA Strategic Partnerships.

Total Yearly
Burden Hours
for Partnership

Multiply the Estimated Number of Participants by the Average Yearly Burden Hours.

F-4

APPENDIX G
GUIDANCE ON EMPLOYEE INVOLVEMENT
Experience has shown that employee involvement is an essential component of any
effective safety and health management system. Any OSHA Strategic Partnership (OSP)
agreement that requires implementation of a safety and health management system must
have partnering employers commit to include employee involvement in their management
system. During any verification activity, and during OSHA inspections, the Agency will
consider the degree and quality of employee involvement. Employee involvement should
also be considered during the periodic worksite self-evaluations that are integral to an
effective safety and health management system. To ensure the quality of involvement,
appropriate safety and health training may be necessary prior to involving employees in
many safety and health activities. Employee involvement may include, but is not limited
to:
•

Conducting worksite inspections, safety and health audits, job hazard analyses,
and other types of hazard identification.

•

Developing and using a system for reporting hazards.

•

Developing and revising the worksite’s safety and health rules and safe work
practices.

•

Participating on workplace teams charged with identifying root causes of
accidents, incidents, or breakdowns.

•

Implementing controls to eliminate or reduce hazard exposure.

•

Assisting in job hazard analyses.

•

Making presentations at safety and health meetings.

•

Participating on safety and health committees, joint labor-management
committees, and other advisory or specific purpose committees, if otherwise
lawful and appropriate.

•

Delivering safety and health training to current and newly hired employees.

•

Participating in safety and health program reviews.

G-1