OSHA Directive-OSPP_CSP_03-02-003

OSHA Strategic Partnership Program (OSSP) for Worker Safety and Health

OSHA Directive-OSPP_CSP_03-02-003

OMB: 1218-0244

Document [pdf]
Download: pdf | pdf
DIRECTIVE NUMBER: CSP 03-02-003
SUBJECT:

EFFECTIVE DATE: November 06, 2013

OSHA Strategic Partnership Program for Worker Safety and Health

ABSTRACT
Purpose:

This instruction describes and implements revisions to the 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 USC 651
OSHA Instruction CPL 02-00-150, Field Operations Manual (FOM),
April 22, 2011
CSP 03-02-002, OSHA Strategic Partnership Program for Worker Safety
and Health, December 9, 2004 (effective February 10, 2005)
CPL 02-13-01, Site-Specific Targeting 2012 (SST-12), Effective, January
4, 2013
DOL Strategic Plan (2011 to 2016)

Cancellations:

This Instruction cancels OSHA Instruction CSP 03-02-002, OSHA
Strategic Partnership Program for Worker Safety and Health, effective
February 10, 2005
OSPP Policy Memorandum #1: Removal and Clarification of OSPP
Benefits that Impact the Agency’s Enforcement Program, dated July 27,
2012
Memorandum, Dated June 1, 2006, “Clarification of Verification and
Exemption Policies for OSPP Construction Participants”
i

State Impact:

This instruction describes a Federal Program Change for which State
adoption is not required.

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

David Michaels, PhD MPH
Assistant Secretary

ii

Executive Summary
This instruction describes and implements revisions to the 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
A.

OSP agreements signed or renewed after July 27, 2012 may not contain reference
to “enforcement incentives.” New or renewed OSP agreements may not include
deferrals and deletions from routine programmed inspections outside the scope of
those provided to any employer who receives an enforcement inspection.

B.

The term “benefits” is changed to “incentives.”

C.

OSHA removed language allowing for an additional 10% good faith penalty
reduction for OSP employers who have established safety and health management
systems (SHMS). This policy was amended in October 2010 pursuant to a revised
penalty policy issued by then-Acting Assistant Secretary Jordan Barab.

D.

OSHA provided clarification for the use of the “phone & fax” procedures to
handle some investigations. Area Offices may not expand the scope of the “phone
& fax” investigation process beyond what is allowed by reference in the Field
Operations Manual (FOM).

E.

OSHA added language on SHMS and worker involvement. These are two new
required elements of all OSP agreements. With the addition of these two
elements, the number of required core elements for all OSP agreements increased
from eleven to thirteen

F.

Removes the requirement for approval of Regional OSPs by the Office of the
Assistant Secretary. An OSP developed at the Regional Office level, whether it
covers a geographical area within one Region or in multiple Regions, is reviewed
by the appropriate National Office Directorate(s) and by the Director of the
Directorate of Cooperative and State Programs (DCSP), with consultation from
the national Office of the Solicitor as needed.

G.

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 OSP and must inform participants of that burden. In the past
the reporting requirements were much more rigorous. In 2012, the Office of
Management and Budget (OMB) granted OSHA a generic approval to collect
iii

information for all OSP agreements. This information is no longer required to be
submitted to OMB individually for each OSP.

OSPs active on or before July 27, 2012 need not amend their agreements. OSPs established or
renewed after that date must meet the Directive requirements at the time of OSP approval or
renewal.
This instruction becomes effective on the day of issue.

iv

Contents
Purpose ...............................................................................................................................................................1
Scope...................................................................................................................................................................1
References ...........................................................................................................................................................1
Cancellations .......................................................................................................................................................2
Action Offices .....................................................................................................................................................2
Responsible Office ...........................................................................................................................................2
Action Offices...................................................................................................................................................3
Information Offices ..........................................................................................................................................3
State Plan Impact ................................................................................................................................................3
Significant Changes ............................................................................................................................................3
Definitions...........................................................................................................................................................4
Background .........................................................................................................................................................5
Distinguishing OSPs from Other OSHA Programs/Activities ............................................................................6
Enforcement Initiatives .....................................................................................................................................6
OSHA Cooperative Programs...........................................................................................................................6
Other Cooperative Initiatives/Activities ...........................................................................................................6
Voluntary Protection Programs (VPP) and Safety and Health Achievement Recognition Program (SHARP)6
Program Roles and Responsibilities ....................................................................................................................7
Directorate of Cooperative and State Programs (DCSP) ..................................................................................7
National Office Directorates, Regional Offices, and Area Offices ...................................................................8
OSHA Primary Contact ....................................................................................................................................8
The Partners ......................................................................................................................................................9
OSPP Requirements ..........................................................................................................................................10
Amended Policy .............................................................................................................................................10
Required Core Elements of the OSP Agreement
Identification of Partners ............................................................................................................................11
1.
2.
Purpose/Scope ............................................................................................................................................11
3.
Goals/Strategies..........................................................................................................................................11
4.
Safety and Health Management System: ....................................................................................................11
5.
Worker Involvement ..................................................................................................................................11
6.
Performance Measures ...............................................................................................................................12
7.
Annual Evaluation ......................................................................................................................................12
8.
OSHA Verifications ...................................................................................................................................12
9.
Incentives ...................................................................................................................................................12
10. OSP Management and Operation ...............................................................................................................12
11. Worker and Employer Rights .....................................................................................................................12
12. OSP Term...................................................................................................................................................13
13. Signatures ...................................................................................................................................................13
C. OSP Management and Operation ...................................................................................................................13
D. Performance of the OSHA Verifications of the OSP Partner .........................................................................14
E. OSP Approval Requirements ..........................................................................................................................14
F.
Safety and Health Management Systems (SHMS) ..........................................................................................15
G. Worker Involvement and Worker Rights ........................................................................................................16
1.
Skills...........................................................................................................................................................16
2.
Union Worksites.........................................................................................................................................16
3.
Non-Union Worksites ................................................................................................................................16
4.
Involvement at the Worksite ......................................................................................................................16
5.
Examples of Worker Involvement ..............................................................................................................16
6.
Worker Rights ............................................................................................................................................17

I.
II.
III.
IV.
V.
A.
B.
C.
VI.
VII.
VIII.
IX.
X.
A.
B.
C.
D.
XI.
A.
B.
C.
D.
XII.
A.
B.

v

H. OSPP Outreach and Promotion ......................................................................................................................17
XIII. Verifications......................................................................................................................................................18
XIV. Incentives ..........................................................................................................................................................19
A. OSHA Non-Enforcement Incentives...............................................................................................................19
B. OSHA Enforcement Incentives.......................................................................................................................20
C. Programmed Inspection with a Limited Scope. Non-Construction ................................................................20
D. Programmed Inspection with a Limited Scope. Construction ........................................................................21
E. Non-OSHA Incentives ....................................................................................................................................21
F.
Other Incentives ..............................................................................................................................................21
APPENDICIES
A.
B.
C.
D.
E.

OSHA Strategic Partnership Agreements Required Core Elements ...............................................................22
Performance Measures....................................................................................................................................25
OSHA Strategic Partnership Program (OSPP) Annual Partnership Activities Report and Evaluation ...........35
Paperwork Reduction Act Requirements ........................................................................................................43
Guidance On Worker Involvement .................................................................................................................46

vi

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, workers,
and labor organizations to encourage, assist, and recognize their efforts to eliminate
serious hazards and to achieve a high level of worker safety and health. Experience has
validated the significant value of the OSPP’s collaborative approach, generated
considerable public interest and support, shown some notable success, and also 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 OSPs, as well as to 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.

References
A. Occupational Safety and Health Act of 1970, 29 USC 651
B. Basic Program Elements for Federal Employees OSHA, 29 CFR 1960
https://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARDS&p_i
d=11262
C. Safety and Health Program Management Guidelines; FRN 54:3904-3916, January 26,
1989,
https://www.osha.gov/pls/oshaweb/owadisp.show_document?p_id=12909&p_table=FEDE
RAL_REGISTER
D. CPL 02-13-01 (CPL 02), Site-Specific Targeting 2012 (SST-12), effective January 4,
2013
E. DOL Strategic Plan (2011 to 2016)
1

F.

Paperwork Reduction Act of 1995 (PRA OMB Control No. 1218-0244, June 2012

G. CPL 02-00-025I, Scheduling System for Programmed Inspections, January 4, 1995
http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=DIRECTIVES&p_id
=1594
H. Inspection Scheduling for Construction , July 14, 2006
http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=DIRECTIVES&p_id
=3409
I.

J.
IV.

V.

OSHA’s “focused inspection” policy, 1994 memo from then-Deputy Assistant Secretary
James Stanley
https://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=INTERPRETATIO
NS&p_id=21584
OSHA Instruction CPL 02-00-150, Field Operations Manual (FOM), April 22, 2011
Cancellations
A.

This Instruction cancels its predecessor, OSHA Instruction CSP 03-02-002,
OSHA Strategic Partnership Program for Worker Safety and Health, effective
February 10, 2005.

B.

OSPP Policy Memorandum #1: Removal and Clarification of OSPP Benefits that
Impact the Agency’s Enforcement Program dated July 27, 2012. This Directive
supersedes policy changes initiated by this memorandum.

C.

Memorandum, Dated June 1, 2006, “Clarification of Verification and Exemption
Policies for OSPP Construction Participants.” This Instruction supersedes policy
clarifications contained in this memorandum.

Action Offices
A.

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

2

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

VI.

State Plan Impact
This Instruction describes a Federal Program Change for which State Plan adoption is
encouraged, but not required. State Plan notice of intent is required. State Plans adopting
a partnership program are encouraged to use the OSPP elements described herein when
formulating their partnership program. If a State Plan adopts a partnership program that
differs from OSHA’s, the program must not negatively impact the State Plan’s
enforcement program in a manner that causes it to no longer be at least as effective as
OSHA’s enforcement program.
Within 60 days of the date of issuance of this Directive, State Plans must submit a notice
of intent indicating if the State Plan has or will adopt policies and procedures for a
partnership program, and if so, whether the State Plan’s policies and procedures are or
will be identical to or different from the federal program. If the State Plan indicates that it
will adopt a partnership program, either identically or different, adoption should occur
within 6 months. If adopting identically, the State Plan must provide the date of adoption
to OSHA within 60 days of adoption. If the State Plan adopts or maintains a partnership
program that differs from the federal program described in this instruction, the State Plan
must either post its different policies on its State Plan website and provide a link to
OSHA or provide OSHA with information on how the public may obtain a copy. This
action must occur within 60 days of the date of adoption. OSHA will post summary
information of the State Plan responses to this instruction on its website.

VII.

Significant Changes
A.

OSP agreements signed or renewed after July 27, 2012 may not contain reference to
“enforcement incentives.” New or renewed OSP agreements may not include deferrals
and deletions from routine programmed inspections outside the scope of those
provided to any employer who receives an enforcement inspection.
B.

The term “benefits” is changed to “incentives.”

C.

OSHA removed language allowing for an additional 10% good faith penalty
reduction for OSP employers who have established safety and health management
3

systems (SHMS). This policy was amended in October 2010 pursuant to a revised
penalty policy issued by then-Acting Assistant Secretary Jordan Barab.

VIII.

D.

OSHA provided clarification for the use of the “phone & fax” procedures to
handle some investigations. Area Offices may not expand the scope of the “phone
& fax” investigation process beyond what is allowed by reference in the Field
Operations Manual (FOM).

E.

OSHA added language on SHMS and worker involvement. These are two new
required elements of all OSP agreements. With the addition of these two
elements, the number of required core elements for all OSP agreements increased
from eleven to thirteen

F.

Removes the requirement for approval of Regional OSPs by the Office of the
Assistant Secretary. An OSP developed at the Regional Office level, whether it
covers a geographical area within one Region or in multiple Regions, is reviewed
by the appropriate National Office Directorate(s) and by the Director of the
Directorate of Cooperative and State Programs (DCSP), with consultation from
the national Office of the Solicitor as needed.

G.

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 OSP and must inform participants of that burden. In the past
the reporting requirements were much more rigorous. In 2012, the Office of
Management and Budget (OMB) granted OSHA a generic approval to collect
information for all OSP agreements. This information is no longer required to be
submitted to OMB individually for each OSP.

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 Activities Report and Evaluation, which contains the minimum data
necessary to evaluate the effectiveness of an OSP agreement (see Appendix C).

B.

OSHA Strategic Partnership (OSP). An OSP is an extended, voluntary,
cooperative relationship between OSHA and groups of employers (or a single
employer), workers, worker representatives, and/or other interested stakeholders
designed to encourage, assist, and recognize efforts to eliminate serious hazards.
OSPs are available to all private sector industries and government agencies where
OSHA has jurisdiction. OSPs may be designed to address all hazards at a
partner's worksite or one or more discrete hazards of particular concern. An OSP
4

can assist partners in the reduction of injuries and illnesses through the long-term
development of effective SHMS that address hazards in accord with the
Occupational Safety and Health Act of 1970 (the OSH 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.

IX.

C.

Safety and Health Management Systems (SHMS). Effective workplace SHMS are
self-sustaining systems encompassing four main areas: management leadership
and worker involvement; worksite analysis; hazard prevention and control; and
safety and health training.

D.

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 for
special emphasis programs.

Background
The OSPP is a federal initiative that seeks to reduce occupational fatalities, injuries, and
illnesses as well as to 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 OSH Act. The program was
created by OSHA on November 13, 1998, with the goal of encouraging, assisting, and
recognizing the efforts of partnering employers, workers, and stakeholders in their efforts
to eliminate serious hazards and to achieve a high level of worker safety and health. The
program was built on:
A.

Encouraging and promoting the lessons learned and successes of site-based,
cooperative programs, such as the OSHA On-site Consultation Program and the
Voluntary Protection Programs, to larger and diverse groups and businesses.

B.

Strategies for building relationships and managing individual OSPs and the
overall program effort.

C.

Development and continued improvement of the partners' workplace SHMS.

D.

Having 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:
1.

Help participants establish an effective SHMS.

2.

Train managers and workers on the hazards common to their industry,
5

recognition of actual hazards at their worksite, and ways to eliminate or
control these hazards.

E.

X.

3.

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

4.

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

5.

Promote an atmosphere that will encourage workers to exercise their
rights under the OSH Act.

Supporting the goals of the current DOL Strategic Plan, making the best use of
Agency resources, leveraging stakeholder resources, and impacting a large
number of workers.

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, On-site Consultation Program, and Alliances) are valuable and
desirable activities. The OSPP is designed to complement these programs and to
give private sector 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 participates in a number of other voluntary activities and many forms of
compliance assistance involving employers, workers, worker 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 taking part in safety and health forums with industry
representatives.

D.

Voluntary Protection Programs (VPP) and Safety and Health Achievement
6

Recognition Program (SHARP)
OSHA offers the VPP and SHARP to employers who qualify for these site-based
recognition programs.
XI.

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, correspondence, and other supporting
documentation as needed.

2.

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

3.

Maintaining and reporting statistics as well as analyzing results in light of
the OSP’s goals as well as the goals of OSHA’s Assistant Secretary, the
Secretary of Labor, and the Department’s current Strategic Plan.

4.

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

5.

Extracting lessons learned from OSPP experience and individual
evaluations, enabling OSHA to continuously improve the program.

6.

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

7.

Ensuring regular communication with and between Regional OSP
Coordinators 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, promote, and manage OSPs.

11.

Composing, reviewing, and maintaining all OSPP information on OSHA's
7

public web pages.
12.

B.

Playing a key role in developing strategies for program evolution, 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:

C.

1.

Working toward meeting goals set by the Assistant Secretary in the current
DOL Strategic Plan regarding OSPP 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.

4.

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).

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). Preparing the annual evaluation is a
collaborative effort between the originating party and the partners.

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 issuing
news releases.

OSHA Primary Contact
OSHA has a substantial stake in ensuring that each OSP operates efficiently and
8

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:

D.

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 Coordinators 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 the
Agency 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
informed of significant events at OSP sites, e.g., fatalities, catastrophes,
and whistleblower complaints.

7.

Ensuring that the OSP's written annual evaluation is 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 success.

The Partners
Each OSP partner plays a key role in implementing the OSPP, including the
following activities:
9

XII.

1.

Compiling their injury and illness data and providing it on a timely basis to
OSHA for OSP verification and the annual evaluation.

2.

Working with OSHA on any on-site OSP activities.

3.

Collaborating on the development of the OSP annual evaluation.

4.

Fulfilling the roles and responsibilities agreed to during the OSP development
and detailed in the OSP agreement.

OSPP Requirements
A.

Amended Policy
Employers who partner with OSHA in OSPs developed or renewed after July 27,
2012 will be eligible for any and all incentives available to any employer who is
inspected by OSHA. These incentives are detailed in the most current version of
OSHA’s Site-Specific Targeting (SST) Directive as well as in OSHA’s FOM.

B.

1.

For construction worksites, OSHA’s “focused inspection” policy remains
in effect (see 1994 memo signed by then-Deputy Assistant Secretary
James Stanley);

2.

For non-construction worksites, a national OSP agreement that includes
worker participation may include an incentive for limited scope
inspections where it can be clearly demonstrated to result in a more
effective partnership. Such an OSP must be approved by the Assistant
Secretary in advance of the OSP agreement’s development.

3.

Grace period for pre-existing OSPs. OSPs established before July 27,
2012 may maintain all their existing enforcement incentives until the
expiration/renewal date of the OSP.

4.

OSPs established after July 27, 2012 and any OSPs renewing their
agreements must meet the criteria in this Instruction at the time of
approval or renewal, respectively.

Required Core Elements of the OSP Agreement
All OSP agreements must be in writing. When OSHA approves an OSP and the
partners sign the agreement, the Regional Office will immediately provide a copy
of the final agreement, including the signature page, to DCSP. The Regional
10

Office will also 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 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 Required Core Elements
1.

Identification of Partners
The 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.

2.

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(s).

3.

Goals/Strategies
Identify the safety and health issues the OSP is intended to address and
measures to gauge success. 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.)

4.

Safety and Health Management System
Employers participating in OSP must have or agree to implement in the
near future an effective site-based SHMS. Experience has shown that
worker involvement is an essential component of any effective SHMS. A
partnering employer must commit to worker involvement in the OSP and
their SHMS. (See Appendix E for additional information.)

5.

Worker Involvement
Experience has shown that worker involvement is an essential component
of any effective SHMS. Partnering employers must commit to
incorporating a high level of worker involvement into their SHMS. (See
Appendix E for additional information.) The OSP agreement must detail
11

how workers and/or their representatives will be involved in the OSP.
6.

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.)

7.

Annual Evaluation
OSP agreements must provide details on conducting the annual evaluation
including identifying responsible parties that will gather data and ensure
accurate and timely completion of the report. The OSP annual evaluation
is a collaborative effort between OSHA and the partners. The Annual
Evaluation Template (Appendix C) is a standardized format designed to
improve efficiency, simplify the data collection process, and enhance
OSHA's ability to report results. Include measures collected and reported
by the OSP in the evaluation even if they are not listed in the template.

8.

OSHA Verifications
OSHA will verify that OSP participants are upholding their
responsibilities under the agreement.

9.

Incentives
OSHA incentives 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 incentives, if any, upon
which OSHA and the partners agree. Incentives offered by OSHA include
outreach, information, training, and technical assistance.

10.

OSP Management and Operation
The 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.

11.

Worker and Employer Rights
Standard language ensuring legal rights must be stated in all OSP
agreements: "This partnership does not preclude workers and/or employers
12

from exercising any right provided under the OSH Act (or, for federal
workers, 29 CFR 1960), nor does it abrogate any responsibility to comply
with the Act."
12.

OSP Term
The agreement must specify the expected duration of the OSP and any
conditions under which the OSP will be terminated. Typically, the term of
an OSP agreement is three to five years. (See Appendix A for examples of
standard termination statements.)

13.

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. If all OSP signatories are not
present at the signing ceremony, the original agreement can be circulated
via mail for signature. The OSHA official from the OSP originating office
is the last person to sign the agreement; the OSP becomes effective on that
date.

C.

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.

Effective communication and involvement of all affected parties.

3.

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.

4.

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

5.

Commitment to incorporating worker involvement in the management and
operation of their SHMS. (See Appendix E for additional information.)

13

6.

D.

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.

Performance of the OSHA Verifications of the OSP Partner
The Agency and OSP partner agree to conduct off-site verification, on-site nonenforcement verification, or on-site enforcement verification. The types of
verifications are defined in Appendix A, Section I. Well-defined verification
procedures (e.g., nature, frequency, and schedule) should be developed based on
the goals and performance measures. 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. The following criteria are
among those that should be evaluated to determine whether a partner is meeting
its obligations under the agreement.

E.

1.

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

2.

Collaboration in the development of the annual evaluation.

3.

Worker involvement in the management and operation of
their SHMS.

4.

Worker involvement in the OSP.

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

National Office Level
An OSP developed at the National Office level is reviewed by the
applicable National Office Directorate(s) -- for example, the Directorate of
Enforcement Programs (DEP) and the Directorate of Construction (DOC)
and by the DCSP Director. Approval is required from the Office of the
Assistant Secretary with consultation from the national Office of the
Solicitor.

14

2.

Regional Office Level
An OSP developed at the Regional Office level, whether it covers a
geographical area within one Region or multiple Regions, is reviewed by
the appropriate National Office Directorate(s) and by the DCSP Director,
with consultation from the national Office of the Solicitor as needed.

3.

Area Office Level:
An OSP developed at the Area Office level is reviewed and approved by
the Regional Administrator 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 ten (10) business days advance notice prior to any approval decision.
In addition to a copy of the OSP agreement, the Solicitor will be provided
a copy of this Instruction to assist in the review of the draft OSP.

5.

OSP Signing Notice
Any Office or Directorate within OSHA originating an OSP should
provide DCSP advance notice (preferably four weeks) of the anticipated
OSP signing.

6.

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

F.

Safety and Health Management Systems (SHMS)
1.

Effective workplace SHMS are self-sustaining systems that encompass
management leadership, worker involvement, worksite analysis, hazard
prevention and control, safety and health training, and evaluation.

2.

Employers participating in OSPs must have now or agree to implement in
the near future effective site-based SHMS. These programs should be
based on OSHA's 1989 Safety and Health Program Management
Guidelines whenever feasible. Any alternative SHMS that differs
significantly from OSHA's 1989 Guidelines must be carefully considered
and thoroughly described in the Partnership proposal.
15

G.

Worker Involvement and Worker Rights
1.

Skills
Workers can bring valuable skills and perspective to the development
stage of a partnership. Worker involvement in the OSP development is
encouraged. Partners should make efforts to incorporate worker
involvement in the OSP development process as early as possible. Worker
involvement in the day-to-day implementation of worksite SHMS and
other OSP activities is required.

2.

Union Worksites
For an OSP that includes the participation of unionized worksites, all
affected unions must be supportive for the partnership to go forward. The
level at which the union is involved, i.e., local, international, or both, will
depend on the scope and nature of the partnership. When workers are
represented by labor organizations, union representatives at either the local
or international level must be signatories to the OSP agreement or,
alternatively, must indicate their willingness for the partnership to proceed
but waive their opportunity to be signatory.

3.

Non-Union Worksites
For non-union worksites, involving workers at the outset in the
development of the partnership is encouraged. Evidence of worker
involvement is required.

4.

Involvement at the Worksite
Partnering employers must commit to incorporating a high level of worker
involvement into the OSP and their SHMS. The degree and quality of
such involvement must be considered during any onsite inspections and as
part of the periodic worksite safety and health program evaluations
expected of all participating sites.

5.

Examples of Worker Involvement
Worker involvement may include, but is not limited to:
a.

participating on safety and health committees, joint labormanagement committees, and other advisory or specific purpose
committees, if otherwise lawful and appropriate;
16

6.

b.

participating in site inspections, safety and health audits, job
hazard analyses, and other types of hazard identification;

c.

developing and using a system for reporting hazards;

d.

developing and revising the site's safety and health rules and safe
work practices;

e.

participating on workplace teams charged with identifying root
causes of accidents, incidents, or breakdowns;

f.

participating in the development and implementation of controls to
eliminate or reduce hazard exposure;

g.

presenting OSP information at safety and health meetings;

h.

delivering training to current and newly-hired workers; and

i.

participating in SHMS reviews.

j.

Participating in OSP conference calls/meetings.

Worker Rights
OSPs must explicitly safeguard workers' exercise of their rights under the
OSH Act and OSHA regulations and policy.

H.

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 news release at
the startup of each OSP and may issue subsequent news releases to inform
the public of noteworthy events and achievements.

3.

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

4.

The Office of Communications, in coordination with the appropriate
National Office Directorates, will issue news releases and other types of
17

announcements to highlight OSPs originating in the National Office.

XIII.

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.

Verifications
A.

To ensure that employers are upholding their responsibilities under a Partnership,
verification procedures -- protocols -- must be written into all OSP agreements
and must subsequently be implemented. These protocols must specify:
1.

The number or percentage of employers who will receive OSHA
verifications, as determined by the originating office based on its analysis
of the particular situation.

2.

The type and scope of the verifications. The three types of verification are
off-site verification, on-site non-enforcement verification, or on-site
enforcement verification. Verification definitions and details are located
in Appendix A, Section I.

3.

Assurance that citations will be issued and penalties assessed for
violations of standards, regulations, or the general duty clause found
during on-site enforcement verification inspections. An employer's SHMS
will not in itself be basis for citation except pursuant to CFR 1926.20,
1926.21, or other specific standards that mandate safety and health
programs.

4.

The manner in which workers and/or worker representatives will be
involved in verifications. At a minimum, the verification protocols must
afford workers all statutory rights pertaining to participation in
inspections.

B.

OSPs may use their participants or private consultants to conduct worksite
assessments. Such assessments, however, do not take the place of required OSHA
verifications. The OSP can also use OSHA’s On-site Consultation Program (as
appropriate) as an additional option to conduct worksite assessments.

C.

All OSPs must stipulate that partnering employers remain subject to OSHA
inspections and investigations in accord with established agency procedures.
18

XIV.

D.

It may not be necessary for OSHA to conduct a programmed inspection of a
partnering employer if the Agency has conducted a comprehensive, on-site
enforcement verification inspection in accord with the approved protocols of the
partnership within the last 12 months. The deletion Activity Code O#, which is
described in paragraph B.1.b. (1)(b)6 d of OSHA Instruction CPL 02-00-025I,
Scheduling System for Programmed Inspections, issued January 4, 1995, shall be
used to delete an establishment from the targeting list.

E.

For inspections of construction OSP sites as well as some national nonconstruction OSPs, certain programmed inspections may be affected by focused
inspection provisions offered as an OSHA incentive and detailed in a Partnership's
approved verification protocols (see XII.A. above).

F.

If a partnering employer appears on a Special Emphasis Program (SEP) list, i.e.,
an NEP or LEP list, the inspection will focus on the hazards identified as targets
of the SEP, if applicable, as well as any hazards identified as targets of the OSP
effort. It is anticipated that, in most instances, the hazards that are the focus of an
SEP will parallel or closely relate to the hazards identified as most serious by an
OSP.

G.

If a partnering employer is targeted for inspection under a programmed inspection
plan that calls for comprehensive inspections, the inspection will be conducted in
accord with established agency procedures, will be comprehensive, and will not
be affected by focused inspection provisions except as provided for in Section
XII.A.

Incentives
A.

OSHA Non-Enforcement Incentives
Each OSP will list the types of assistance OSHA can offer, including:
1.

Outreach, technical assistance, and training.

2.

Free on-site 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.

3.

OSHA personnel may be available to OSP participants for a variety of onsite and off-site activities such as SHMS review and assistance to develop
or improve them, OSP verifications, and guidance in conducting audits
and evaluations.
19

B.

C.

4.

Seminars, workshops, and other speaking events.

5.

Availability of informational materials such as safety and health brochures,
pamphlets, and electronic tools.

6.

OSHA National and Regional offices are also potential sources for
technical assistance -- for example, the OSHA Health Response Team and
technical experts within the Agency, such as the Directorate of
Construction.

7.

Partner recognition such as certificates and news releases issued by
OSHA, recognition on OSHA's Web page, worksite banners, letters, and
plaques are encouraged. Other types of recognition may be offered by the
OSP developers and detailed in the OSP agreement.

OSHA Enforcement Incentives
1.

OSPs may use any and all enforcement incentives allowed to any
employer who receives an enforcement inspection. These incentives are
detailed in the FOM.

2.

Note concerning OSHA Incentives and Programmed Inspections: Within
the context of OSPs, the term "programmed inspection" refers to
traditional enforcement inspections as described in the FOM and in the
SST Directive, i.e., inspection of workplaces that are selected according to
national scheduling plans for safety and for health or special emphasis
programs. Exemptions from routine programmed inspections are not
provided because an employer participates in an OSP. Only active VPP
and SHARP sites are eligible for this incentive.

3.

New OSPs or those renewed after July 27, 2012 may not include any
programmed inspection deferral or deletion provisions outside the scope of
those provided to an employer through OSHA’s current SST Directive and
FOM. Only active VPP and SHARP sites are eligible for this incentive.

Programmed Inspection with a Limited Scope. Non-Construction
1.

For non-construction worksites partnering in Regional or Area Office level
OSPs, OSHA does not offer a limited scope inspection to an establishment
operated by an OSPP participating employer.

2.

A National OSP agreement that includes worker participation may include
a limited scope inspection where it can be clearly demonstrated to result in
20

a more effective partnership. Any proposed National OSP for nonconstruction worksites with a provision for a limited scope inspection
must be approved by the Assistant Secretary in advance of the OSP
agreement’s development.
D.

Programmed Inspection with a Limited Scope. Construction
For construction worksites, OSHA’s “focused inspection” policy remains in effect
(see 1994 memo signed by then-Deputy Assistant Secretary James Stanley). This
provision is available only where the partner has effective safety and health
programs fully compliant with 29 CFR 1926.20 and 29 CFR 1926.21, the
effectiveness of these programs is confirmed during the on-site enforcement
inspections, and the partner demonstrates adequate control over safety and health
for the entire worksite, including work performed by all subcontractors.

E.

Non-OSHA Incentives
OSP developers should consider incentives other than those that partners and
stakeholders can bring to the OSP effort. Some examples include:

F.

1.

An employer group or labor organization may offer workers safety and
health training.

2.

An insurance company may offer reductions in workers' compensation
premiums to employers meeting specific SHMS criteria.

Other Incentives
Any incentives not discussed in this section must be described in detail in the
proposed OSP agreement and reviewed and approved DEP and/or the DOC,
DCSP, and the national Office of the Solicitor. Partnership-developed incentive
programs may not provide disincentives to workers for reporting injuries and
illnesses and/or actively engaging in safety and health processes.

21

APPENDIX A
OSHA STRATEGIC PARTNERSHIP AGREEMENTS
REQUIRED 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 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’s. However, OSHA has learned
from experience that there are core elements critical for creating well-functioning and ultimately
successful OSPs. All OSPs must address these elements and discuss them in the written OSP
agreement.
Required Elements:
A.

IDENTIFICATION OF PARTNERS
1.

During early development discussions, OSP developers should identify all
appropriate partners and seek to involve other 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 healthcare and emergency service
providers, professional associations, and other interested stakeholders.

3.

OSPs normally involve one or more employers and their workers and/or
their representatives and other interested stakeholders.

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.

5.

Workers can bring valuable skills and perspective to the development and
operation of the OSP. Their involvement is recommended in the initial
development of the OSP agreement. Worker involvement in the day-today implementation of worksite SHMS and other OSP activities is
required.
22

6.

B.

C.

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

PURPOSE/SCOPE
1.

The Purpose/Scope of the OSP must be determined during the
development stage of the OSP. The OSP agreement must clearly detail
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 an OSP to
produce effective solutions. The result should identify how the OSP can
most effectively 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 not only rely on statements from the OSP participants
and anecdotal experience, but also examine data from various industry
sources that can objectively characterize the safety and health issue to be
addressed by the OSP.

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 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. For each
specific task/action or initiative, provide details on the responsible party,
the necessary resources, and expected time frames for task completion.
23

5.

D.

E.

An example of a broad goal for an OSP could be: to reduce worker injuries
and illnesses. Strategies to achieve this goal could be: implement an
effective SHMS; eliminate/control a serious hazard endangering workers.
The specific initiatives for each strategy could include tasks/actions such
as: perform workplace surveys; conduct worker training; or develop a
hazard communication program.

SAFETY AND HEALTH MANAGEMENT SYSTEMS
1.

Employers participating in an OSP must have or agree to implement in the
near future an effective site-based SHMS.

2.

SHMS is a method of preventing worker fatalities, injuries, and illnesses
through the ongoing planning, implementation, integration, and control of
four interdependent elements: Management Leadership and Worker
Involvement; Worksite Analysis; Hazard Prevention and Control; and Safety
and Health Training.

3.

A safe and healthful workplace depends on the active participation of workers,
individually and through their representatives, at every level of safety and
health activity.

4.

Experience has shown that worker involvement is an essential component of
any effective SHMS. Partnering employers must commit to incorporating a
high level of worker involvement into their SHMS. (See Appendix E for
additional information.)

5.

The basic structure of the partners’ SHMS should be patterned after OSHA
Safety and Health Program Management Guidelines, FRN 54:3904-3916,
January 26, 1989; and/or 29 CFR 1960, Basic Program Elements for Federal
Workers,

WORKER INVOLVEMENT
1.

Workers bring valuable skills and perspective to the development and
operation of the OSP. Their involvement is required to be integral to the
operation of the OSP. They should also take part in discussions during the
development of the OSP agreement.

2.

The OSP agreement must detail how workers and/or their representatives will
be involved in the OSP

24

F.

G.

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. Baseline measures, or at the very least what these measures
will be and their sources, should be included in the agreement. The OSP
must track changes at either the employer or the participant level.

3.

Examples of other quantitative performance measures include workers'
compensation rate comparisons, workers' compensation costs, number of
workplace inspections performed and response time for correcting
identified hazards, and survey results of worker knowledge before and
after OSP-sponsored training.

4.

Qualitative performance measures may also be used to assess OSP
effectiveness. Although less tangible, these measures are important to the
success of the OSP. Examples of qualitative outcomes include improved
worker morale, increased worker understanding of safety and health
requirements, and better attitudes or cultural acceptance of SHMS in the
workplace.

5.

Wherever possible, performance measures should relate to the current
DOL Strategic Plan and should gauge whether the OSP is an effective
strategy, whether it uses resources efficiently, and whether it contributes to
the goals and priorities OSHA has set.

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.

The evaluation is a collaborative effort of the primary partners and OSHA.
It is incumbent upon the partners to provide OSHA with the necessary
data and assistance in developing the annual evaluation. Minimally, the
evaluation should be completed by someone with knowledge of the OSP's
strategies who can verify the completion of applicable requirements and
25

recognize areas needing improvement.

H.

3.

The format for the OSPP Annual Partnership Activities Report and
Evaluation has been developed to standardize the process and ensure
consistency in the data collected. Evaluators use the report
format/template 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 OSP to a National OSP. Additional information, measures, and
results may be provided to adequately assess the OSP. The evaluation
must be sent to DCSP within two months after each anniversary of the
OSP signing.

4.

Association-based OSPs that require individual employers to qualify after
the OSP agreement is signed must submit a full evaluation one year after
the first employer qualifies. However, if more than 18 months has passed
since the agreement was signed and there are no participating employers, a
modified evaluation must be submitted, including the reasons for the
OSP’s lack of employers and what is being done to address the issue.

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 and defined in the OSP:
1.

Off-site Verification: OSHA reviews OSP data, reports, etc. without
actual entry into the partner's worksite(s). The OSP agreement should
identify verification procedures including:
a.

Any off-site verification activities that OSHA will perform. These
may include, for example, OSHA review of the Annual Partnership
Evaluation Report, OSHA Form 300 data, and quarterly progress
reports.

b.

The frequency of any off-site verification.

c.

The written format for documenting off-site verification.

d.

Who is responsible for performing verification activities, collecting
and evaluating data, and providing reports to the appropriate
parties.
26

2.

3.

I.

On-site Non-enforcement Verification: Non-enforcement verifications
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. An effective
format is a 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 on-site non-enforcement verification procedures including:
a.

The scope of the non-enforcement on-site verification.

b.

The minimum number or percentage of worksites that will receive
OSHA on-site non-enforcement verification, as determined by the
OSHA originating office based on its analysis and understanding of
the partner's SHMS.

c.

How workers and/or worker representatives will be involved in all
on-site non-enforcement verification.

On-site Enforcement Verification: 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, an SST or complaint inspection.

INCENTIVES
1.

Incentives provided must be commensurate with participating partners'
efforts to provide safe and healthful working conditions in accord with
their obligations under the Act and their degree of success. The incentives
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.

3.

Any incentives not established in this Directive or in another enforcement
policy must be described in detail in the proposed OSP agreement and
reviewed and approved by DEP and/or DOC, DCSP, and the national
Office of the Solicitor. Partnership-developed incentive programs may not
27

provide disincentives to workers for reporting injuries and illnesses and/or
actively engaging in safety and health processes.
J.

K.

OSP MANAGEMENT AND OPERATION
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. 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 OSP agreement will specify a steering committee (or
partnership management team) composed of representatives from OSHA
and from the employers and the workers participating in the OSP. Another
possibility is that the agreement assigns responsibility for OSP
management and operation to an individual, for example the safety and
health director of the industry group partnering with OSHA.

4.

OSHA recommends employers involve workers at the outset of the OSP’s
development. Evidence of worker involvement in an OSP is required.

5.

If an OSP includes unionized worksites, it is desirable that affected unions
are actively involved in the OSP. The level of union involvement (local,
international, or both) will depend on the scope and nature of the OSP.

6.

The OSP must have a designated OSHA "Primary Contact" who advocates
participation and continuous improvement and articulates and promotes
the goals and actions set out in the agreement.

WORKER AND EMPLOYER RIGHTS

The OSP agreement must contain the following statement: "This partnership does not
preclude workers and/or employers from exercising any right provided under the OSH
Act (or, for federal workers, 29 CFR 1960), nor does it abrogate any responsibility to
comply with rules and regulations adopted pursuant to the Act."

L.

OSP TERM
1.

The proposed agreement must specify the expected duration of the OSP
28

and any conditions under which the program will end, such as:

2.

a.

"Sunset provision" that specifies the date when the agreement is
automatically terminated.

b.

Termination if a primary party unilaterally withdraws.

c.

Closure when the goals of the OSP have been met.

d.

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 three to five years. This
timeframe is sufficient for accomplishing basic OSP goals. Standard term
language for the proposed agreement may be:
a.

For Multiple Signatories:
•

•

b.

For a Single Signatory:
•

c.

This agreement will terminate on ________, (or at the
completion of construction; use only for a construction
OSP) which is three years from the date of the signing. If
any signatory of this agreement wishes to terminate its
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.

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 its
participation prior to the established termination date, the
agreement will terminate upon receiving written notice of
the intent to withdraw from either signatory.

For Non-Signatory Participants:
•

For non-signatory participants of the OSP, OSHA may
terminate the participant's involvement at any time with
written notice. Additionally, the participant may withdraw
29

its participation from the OSP at any time with written
notice to OSHA of the intent to withdraw.
M.

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.

If all OSP signatories are not present at the signing ceremony, the original
agreement can be circulated via mail for signature. The OSHA official
from the OSP originating office is the last person to sign the agreement.
The OSP becomes effective on that date.

3.

A draft signature page, with signatories clearly identified by name, title,
and organization, should be submitted with the draft OSP agreement as
part of the approval process.

30

APPENDIX B
PERFORMANCE MEASURES

To measure progress effectively, performance measures derived from OSP goals and objectives
must be established. It is also essential to establish baseline measures during the OSP
development. These processes are critical success factors for meeting the OSP’s stated
objectives. Establishing well-defined performance measures enables the assessment of the
OSP’s success at achieving the desired improvements to the workplace SHMS at 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,
collecting data to measure progress, and evaluating the significance of this data. Each of these
steps is discussed in this section.
A.

Selecting Performance Measures

During the development of the OSP 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.
B.

Attributes of Good Performance Measures
1.

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 limited value for
developing effective 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.

2.

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 worker 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.
31

C.

3.

Measures should be flexible, considering a variety of sources and means.

4.

Measures should be practical, and time- and cost-effective to achieve.

Types of Performance Measures
1.

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.
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:
a.

Number of job safety analyses conducted

b.

Exposure assessment data

c.

Number of worker complaints

d.

Breadth of training delivered

e.

Level of worker knowledge before, immediately after, and 6
months after training

f.

Number of worksite audits

g.

Number of hazards identified and abated

h.

Number of root cause analyses conducted

i.

Improved worker productivity

j.

Increased worker involvement

k.

Number of safe actions demonstrated in the workplace

l.

Enhanced communication between management and workers

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

32

Goal
1.

2.

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

Reduce the incidence and
severity of MSDs at
participating facilities

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

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

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 workers

i.

Baseline of MSD cases

ii.

MSD cases involving day(s) of
restricted work activity

iii.

MSD cases involving day(s)
away from work

iv.

Number of MSD-related
surgeries

v.

Annual comparison of the
incidence and severity criteria to
the baseline numbers

D. Establishing a Baseline
Baseline data must be established once the goals and performance measures have been
established. To measure progress and improvement effectively, 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
workers 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) or in the OSHA
Information System (OIS) on exposure rates for the industry. The baseline data will serve
as a starting point from which OSP results will be gauged.

33

E.

Collecting Data
Data must be collected and analyzed for each performance measure to determine
if and how well goals are being met. Data collection should be based on predetermined definitions. These definitions need to be 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.

34

APPENDIX C
OSHA Strategic Partnership Program (OSPP) Annual Partnership
Activities Report and Evaluation
Month/Day/Year – Month/Day/Year
OSHA Strategic Partnership (OSP) Name

Text Box

Purpose of OSP

Text Box

Partnership Goals
Goal

Strategy

Measure

35

Anticipated Outcomes

Text Box

Strategic Plan Target Areas (check one)
Construction

Non-Construction

Areas of Emphasis (check all applicable)
Amputations (Construction or General
Industry)

Recordkeeping

Combustible Dust

Ship/Boat Building and Repair

Ergonomics/Musculoskeletal Disorders

Silica

Hazardous Chemical Exposures (Chromium,
Lead)

Agriculture/Migrant Workers

Healthcare Industry Hazards

Diverse Workforce/Limited English Proficiency

Oil and Gas Field Services

Temporary Service Workers

Public Warehousing and Storage

Youth Workers

Federal Agency

Process Safety Management

Trenching/Excavation

Section 1 General Partnership Information
Date of Evaluation Report
Evaluation Period
Start Date

End Date

Evaluation Contact Person
Originating Office
Partnership Coverage
# Active Employers

# Active Workers

Text Box

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

SIC

Partner

36

NAICS

Text Box

Section 2 Activities Performed

Note whether an activity was required by the OSP and whether it was performed
a. Training

Required

Performed

Yes/No

Yes/No

b. Consultation Visits
c. Safety and Health Management Systems
Reviewed/Developed
d. Technical Assistance
e. OSHA Enforcement Verifications (OSHA will provide)
f. Off-site Verifications
g. On-site Non-Enforcement Verifications
h. Participant Self-Inspections
i. Field Sampling; Industrial Hygiene Monitoring
j. Other Activities

2a. Training (if performed, provide the totals)
Training sessions conducted by OSHA staff
Training sessions conducted by non-OSHA staff
Workers trained
Training hours provided to workers
Supervisors/managers trained
Training hours provided to supervisors/managers
Comments/Explanations (briefly describe activities, or explain if activity is required but
not performed)

Text Box

37

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

Text Box

2c. Safety and Health Management Systems (if performed, provide the following total)
Number of systems implemented or improved using OSHA’s 1989 Guidelines for
Safety and Health Management Programs as a model
Comments/Explanations (briefly describe activities, or explain if activity is required but
not performed)

Text Box

2d. Technical Assistance (if performed, provide total for each type, and provider)
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 (please specify)
Comments/Explanations (briefly describe activities, or explain if activity is required but
not performed)

Text Box

2e. OSHA Enforcement Activity (if performed), provide the totals for any programmed,
unprogrammed, and verification-related inspections)
OSHA enforcement inspections conducted
OSHA enforcement inspections in compliance

OSHA enforcement inspections with violations cited

38

Number of citations classified as Serious, Repeat, and/or Willful
Comments/Explanations (briefly describe activities, or explain if activity is required but
not performed)
Text Box

2f. Off-site Verification (if performed, provide the total)
Comments Explanations (briefly describe activities or explain if activity is required but
not performed)
Text Box

2g. On-Site Non-Enforcement Verification (if performed provide the total)
Onsite Non-enforcement Verifications Performed
Comments/Explanations (briefly describe activities, of explain if activity is required but
not performed)
Text Box

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

Text Box

39

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

Text Box.

Section 3 Illness and Injury Information

Year

Hours

Total Cases

TCIR

# of Days Away
from Work
Restricted and
Transferred
Activity Cases

DART

Total
Five-Year Rate
BLS Average for CY: (most current)
SIC:

NAICS

Comments

Please use this text box to provide comparative and evaluative comments about the injury and illness rate
experiences of the employer.
Text Box

40

Section 4 Partnership Evaluation and Recommendations
In the section below please provide narrative regarding each question.
1. Changes and Challenges: During the evaluation period what
observations were made regarding the issues faced by the partnership
that need to be further evaluated to determine if changes to the
structure, implementation or operation of the OSP are necessary going
into the next evaluation period? Please address any areas where
changes were made to the OSP or where challenges or impediments to
reaching the goals were observed. The following is a list of information
to be considered for this question: management structure, participants,
data collection, worker involvement, OSHA enforcement inspections,
OSP outreach, and training. Please do not limit your responses to
those items if other areas need to be addressed.
Text Box

2. Plans to Improve: During the evaluation period what observations

were made regarding areas in which the OSP needs to improve in order
to increase the chances of reaching and/or exceeding the OSP goals?
The following is a list of information to be considered for this question:
need to meet more often, need to improve data collection, need to
conduct more training, and need to change the OSP goals. Please do
not limit your responses to those items if other areas need to be
addressed.

Text Box

3. During the evaluation period what observations were made regarding

how the partners are benefiting from their participation in the OSP?
Additionally, how does OSHA’s participation enhance the ability of the
partners to reach the OSP goals? The following is a list of information
to be considered for this question: increased safety and health
awareness, improved relationship with OSHA, improved relationship
with employers, and improved relationship with the workers or unions.
Please do not limit your responses to those items if other areas need
to be addressed

Text Box
41

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

Text Box

Terminate (provide explanation)

42

APPENDIX D
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. This Directive describes
and implements the 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).

•

All OSP agreements must be in writing. 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 the Directorate of
Cooperative and State Programs (DCSP). The originating office also will provide
a courtesy copy to other affected OSHA 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 OSP agreement must contain the
following core elements:
•

Identification of Partners

•

Purpose and Scope

•

Goals and Strategies

•

Safety and Health Management Systems

•

Worker Involvement

•

Performance Measures

•

Evaluation

43

•

Verification Procedures

•

Incentives

•

OSHA Verification Reports

•

OSP Management and Operation

•

Worker and Employer Rights

•

OSP Term

•

Signatures

Each OSP agreement details measures/data to be collected by the partners and reported to OSHA
for the purposes of annual OSP evaluations. As designated in the OSP agreement, the
responsible parties gather and submit their data to OSHA using the OSPP Annual Evaluation
Report contained in Appendix C of CSP XX-XX-XXX The information provided varies based
on the partnership-specific goals and the individual strategies set forth by the OSP itself. The
following is a listing of elements most frequently required to be submitted to OSHA by the
partners:
•

Injury and Illness Data

•

Self-Audits/Evaluations

•

Monitoring results

•

Accident/Near-Miss Investigations

•

Workers’ Compensation

•

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

•

List of companies participating in the OSP

•

Fatality Data

•

Equipment Inspection/Certification

•

Experience Modification Rates (EMR)

•

Hazards identified and abated
44

•

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

•

Training Information (number of training sessions conducted, number of hours
of training conducted, number of workers trained, number of supervisors
trained)

Originating Office or Directorate.
The OSHA OSP Primary Contact, during development of the OSP, will provide all prospective
partners with the following written narrative:
OSHA Strategic Partnerships are part of OSHA’s available voluntary cooperative programs. As
per the Paperwork Reduction Act of 1995 (PRA OMB CONTROL NO. 1218-0244, expires
December 31, 2015), the public reporting burden for this partnership's collection of information
is estimated at 22 hours 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
200 Constitution Avenue, NW - Room N3700
Washington, DC 20210

45

APPENDIX E
GUIDANCE ON WORKER INVOLVEMENT
Experience has shown that worker involvement is an essential component of any effective
SHMS. A partnering employer must commit to worker involvement in their SHMS.
During any verification activity and during OSHA inspections, the Agency will consider the
degree and quality of worker involvement. Worker involvement should also be considered
during the periodic worksite self-evaluations that are integral to an effective SHMS. To ensure
the quality of involvement, appropriate safety and health training may be necessary prior to
involving workers in many safety and health activities. Worker 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 workers.

•

Participating in safety and health program reviews.

46


File Typeapplication/pdf
AuthorOSHA_User
File Modified2015-07-02
File Created2013-11-08

© 2024 OMB.report | Privacy Policy