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Directives - Table of Contents

• Record Type:

Instruction

• Directive Number:

CSP 03-02-002

• Title:

OSHA Strategic Partnership Program for
Worker Safety and Health

• Information Date:

12/09/2004

• Standard Number:

1960

OSHA INSTRUCTION

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:

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 web site. 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

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.

TABLE OF CONTENTS

Abstract

Purpose

Scope

Cancellation

Significant
Changes

References

Action
Required

Federal
Program Change

Definitions

Background

Distinguishing
OSPs From Other OSHA Programs/Activities

Program
Roles and Responsibilities

OSPP
Requirements

OSHA
Verification

OSPP
Benefits

Appendices:

Appendix
A — OSHA Strategic Partnership Agreements, Provisions for
Developing Core Elements

Appendix
B — Performance Measures

Appendix
C — OSPP Annual Partnership Evaluation Report

Appendix
D — Records and Information Management

Appendix
E — Effective Communication Process for National OSHA Strategic
Partnerships

Appendix
F — Paperwork Reduction Act Requirements

Appendix
G — Guidance on Employee
Involvement

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.

Scope. This instruction applies
OSHA-wide.

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

Significant Changes.

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.

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

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.

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

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

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.

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.

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.

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

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

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

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

Site-Specific Targeting 2004, CPL 04-02 (CPL 02), April 19,
2004.

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

OSHA Strategic Management Plan 2003 - 2008.

Action Required.

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.

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.

Information Offices. Regional Administrators (RAs) will
ensure that the information contained herein is transmitted to all
State Plan Designees and OSHA Consultation Projects.

Federal Program
Change.

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.

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.

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.

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

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.

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.

Distinguishing
OSPs from Other OSHA Programs/Activities.

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.

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.

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.

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

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.

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

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.

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

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

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.

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

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

Coordinating outreach efforts with the Office of
Communications.

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

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

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.

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:

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

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

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).

Identifying OSHA staff to act as a Primary Contact for
individual OSPs to coordinate overall OSPP activity within the
Directorate or Office (see responsibilities below in Section
XI.C).

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

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).

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

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:

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

Maintaining documents in the OSP working file.

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

Keeping the Regional OSP Managers apprised of OSP
developments.

Responding to requests for information from
DCSP.

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

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.

Ensuring that DCSP, and others within OSHA as appropriate, are
informed of significant events at OSP sites, e.g.,
fatalities.

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

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

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

OSPP Requirements.

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.

Components of the OSP Agreement.

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.

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.

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 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.

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.

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).

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).

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.

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).

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).

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 partner will provide to the effort.

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."

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).

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:

Clearly delineated roles and responsibilities of the
partners.

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.

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

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).

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.

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

Completion of an annual evaluation and timely submission to
DCSP.

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

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.

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.

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.

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.

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.

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

Consulting Affected Parties: OSP developers should
consult with appropriate OSHA Offices and Directorates before
submitting an OSP proposed agreement for approval.

OSPP Outreach and Promotion.

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.

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.

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

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.

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.

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:

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.

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

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.

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.

OSHA Non-Enforcement Benefits.

Outreach, technical assistance and training. Examples of these
include:

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.

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.

Seminars, workshops, and other speaking events.

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.

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.

OSHA Enforcement Benefits.

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).

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.

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.

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.

Deletion from Programmed Inspection List.

Non-Construction

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.

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

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

4 inspections

26 - 99 sites

6 inspections

100 or more sites

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.

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.

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

4 inspections

26 - 99 sites

6 inspections

100 or more sites

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.

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.

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.

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.

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 well- functioning and ultimately successful
OSPs. All OSPs must address these elements, and discuss them in a proposed
written OSP agreement.

ELEMENT

REQUIREMENTS

A. IDENTIFY PARTNERS

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.

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.

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.

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.

B. STATE PURPOSE/SCOPE

The purpose and scope must clearly describe what the OSP will
accomplish and to what extent.

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.

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.

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.

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.

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

C. DEFINE GOALS/STRATEGIES

The OSP must identify the major goal(s) of the
agreement.

Well-defined goals support the purpose and define the expected
outcome(s) of the OSP.

The strategies should describe the approach for reaching the
goals. Effective strategies will define the plan or key steps
necessary for attaining the goal.

The OSP agreement must provide information on the specific
tasks/actions or initiatives that will be performed to achieve the
stated goals. Well- defined strategies state concretely what will
be accomplished, by whom, how, and in what period of time.

For each specific task/action or initiative, provide details
on the responsible party, the necessary resources, and expected
time frames for task completion.

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.

D. DEFINE PERFORMANCE MEASURES

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.

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 participant- aggregate
level.

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 OSP- sponsored training.

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.

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

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.

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.

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 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.

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

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.

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.

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:

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.

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

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.

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.

H. DEFINE MANAGEMENT AND OPERATION OF THE OSP

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.

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.

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.

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.

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.

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

The OSP agreement must contain the following statement:

"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."

J. SPECIFY OSP TERM

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

"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.

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

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

OSHA representatives and primary parties will sign and date
the OSP agreement to ensure commitment to the OSP requirements and
other provisions.

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.

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.

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

Strategy

Measures/Products

Identify and communicate an effective process to develop and
implement successful ergonomic programs and guidelines.

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

Number of sites where ergonomic process has been effectively
implemented.

Number of training courses/people trained in process.

Awareness survey of employees.

Reduce the incidence and severity of MSD's at participating
facilities.

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

Baseline of MSD cases.

MSD cases involving day(s) of restricted work
activity.

MSD cases involving day(s) away from work.

The number of MSD-related surgeries.

An annual comparison of these incidence and severity criteria
to the baseline numbers.

Increase the number of sites eligible for and participating in
the VPP.

Use the VPP report format to assess baseline status of
sites.

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

Number of sites applying for VPP.

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.

APPENDIX C

OSHA Strategic Partnership
Program
Annual Partnership Evaluation Report

[ Download 151Kb
Word (version 2000 and higher) file ]

Partnership
ID#

Cover
Sheet

Partnership Name

Purpose of
Partnership

Goal 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

Section 1 - General Partnership
Information

Date of Evaluation
Report

Evaluation
Period:

Start Date

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

NAICS

Section 2 - 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 Inspection

g. Offsite Verifications

h. Onsite Non-Enforcement Interactions

i. Participant Self-Inspections

j. Other Activities

2a. Training (if
performed, provide the following totals)

Training session conducted by OSHA staff

Training session conducted by non-OSHA staff

Employees trained

Training hours provided to employees

Supervisors/managers trained

Training hours provided to supervisors/managers

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)

2e. VPP-Focused
Activities (if performed, provide the following total)

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 inspection 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)

2i. Participant
Self-Inspections (if performed, provide the following total)

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 - Illness and Injury
Information A

Year

Hours

Total Cases

TCIR

# of Days Away from
Work Restricted and Transferred Activity Cases

DART

2000

2001

2002

Total

Three-Year Rate
(2000-2002)

BLS National Average for
2001

Baseline

Comments

A Sample Chart - not required
format

Section 4 - Partnership Plans,
Benefits, and Recommendations

Changes and Challenges
(check all applicable)

Changes

Challenges

Management Structure

Participants

Data Collection

Employee Involvement

OSHA Enforcement Inspection

Partnership Outreach

Training

Other (Specify)

Comments

Plans to Improve (check
all applicable)

Improvements

N/A

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

Status Recommendations
(check one)

Partnership Completed

Continue/Renew

Continue with the following provisions:

Terminate (provide explanation)

APPENDIX D

RECORDS AND INFORMATION
MANAGEMENT

ACTION

WHEN

BY

Establish and maintain primary OSP file

At signing or before

Originating Office/Directorate

Establish a National file for each OSP

Upon receipt of signed agreement or other
pertinent documentation

DCSP

Provide adequate notification of proposed OSP for
review of the draft agreement

As soon as working draft has been developed

Originating Office/Directorate, with assistance
from DCSP when appropriate

Prepare and submit PRA information

At least four to six weeks prior to signing

Originating Office/Directorate

Process PRA information for submittal to OMB

Upon receipt from Originating
Office/Directorate

DCSP

Notify DCSP of anticipated signing date signing,

Four weeks prior to anticipated when possible

Originating Office/Directorate

Maintain advance signing "tickler" and
distribute

Ongoing, at least monthly

DCSP

Provide electronic copy of agreement and fax/scan
of signature page to DCSP

Upon signing

Originating Office/Directorate

Prepare and issue Press Release (with consent of
partners)

Upon signing of agreement, and thereafter when
noteworthy events occur

Originating Office/Directorate through appropriate
OSHA Office of Communications

Maintain open and closed partnerships in the OSPP
spreadsheet and/or database, as well as other related activities and
information

Ongoing

DCSP with support from Originating
Office/Directorate

Update OSHA OSP web page, to include OSP
summaries, highlights, and results

Ongoing

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

Prepare OSP Annual Evaluation Report and submit to
DCSP

Within 60 days of first year anniversary, then
annually thereafter.

Originating Office/Directorate

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

Ongoing

DCSP

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

Upon receipt of request

Originating
Office/Directorate

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

WHEN

Begin discussions with potential partners

Any National Office Directorate

When OSHA is approached by or approaches one or
more potential partners

Notify Directorate of Cooperative and State
Programs via email of any new partnership under consideration

Originating National Office Directorate

When potential partners appear serious about
moving forward with a formal OSP agreement

Verbally announce the potential OSP
("heads-up")

Originating National Office Directorate

At the next scheduled Executive Staff meeting and
Regional Administrators' (RA) conference call, with periodic updates
as appropriate

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

(See Appendix E-1 for the suggested OSP
Executive Summary format)

Originating National Office Directorate

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

Share critical concerns via email with the
originating National Office Directorate, with cc to DCSP

National Office Directors and/or Regional
Administrators

Within one week of receipt of the OSP Executive
Summary Report

Review and discuss concerns with the Office of the
Assistant Secretary for decision

Originating National Office Directorate; DAS
and/or AS

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

For "go" OSPs, continue work with partners to
draft the final OSP agreement

Originating National Office Directorate

Per timeline worked out with potential
partners

Share final draft partnership agreement with
appropriate NO Directors, RAs, and the Office of the Solicitor (SOL)
for final comment

Originating National Office Directorate

Minimum of three weeks prior to partnership
signing

Exception if OSP is placed on AS or DAS fast
track

Incorporate the final comments from the National
Office Directors, RAs and/or SOL* into the final OSP agreement

Originating National Office Directorate

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.

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)

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.

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.

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).

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 hours, in which case an updated OSPP-PRA
Information Form must be submitted.

Directorate of Cooperative and State Programs
(DCSP).

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.

Summarize all PRA information and submit to the Directorate of
Standards and Guidance.

For each new OSP, complete and submit an OSPP Supplemental
Information Sheet to the Directorate of Standards and Guidance.

Directorate of Standards and
Guidance.

In cooperation with DCSP, the Directorate of Standards and Guidance
will review and revise, as needed, the OSPP Supplemental Information
Sheet.

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.

APPENDIX
F-1

SAMPLE OSPP-PRA INFORMATION
FORM

[ Download 49Kb
Word (version 2000 and higher) file ]

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 Submitted

Originating OSHA
Office

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

Fatality Data

Self audits/evaluations

Equipment Inspection/certification

Monitoring results

Experience Modification Rates (EMR)

Accident/near-miss investigations

Hazards identified and abated

Data related to safety and health management
systems (and elements)

Logistical (i.e., site information,
project/process descriptions, etc.)

Workers' Compensation

Other (list) -

Part III --
Determination of Burden Hours

Estimated Number of Total Participants

×

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.

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.

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.

Directives
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