CSP 02-00-005 Consultation Policies & Procedures Manual

CSP_02-00-005.pdf

Occupational Safety and Health Onsite Consultation Agreements (29 CFR Part 1908)

CSP 02-00-005 Consultation Policies & Procedures Manual

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U.S. DEPARTMENT OF LABOR

Occupational Safety and Health Administration

DIRECTIVE NUMBER: CSP 02-00-005
SUBJECT: Consultation Policies and Procedures Manual
DIRECTORATE: Directorate of Cooperative and State Programs
SIGNATURE DATE: September 6, 2023
EFFECTIVE DATE: September 29, 2023
ABSTRACT
Purpose:

This Instruction describes and implements the policies and procedures
governing the administration and operation of the Occupational Safety
and Health Administration (OSHA) On-Site Consultation Program.

Scope:

OSHA-wide.

References:

See Chapter 1, Section III.

Cancellations:

OSHA Instruction CSP 02-00-004, Consultation Policies and Procedures
Manual, March 19, 2021.

State Impact:

Notice of Intent and Equivalency Required. See Chapter 1, Section V.

Action Offices:

National, Regional, and Area Offices.

Originating Office:

Directorate of Cooperative and State Programs.

Contact:

Directorate of Cooperative and State Programs
Office of Small Business Assistance
Frances Perkins Building, Room N3660
200 Constitution Avenue, NW
Washington, DC 20210

By and Under the Authority of

Douglas L. Parker
Assistant Secretary

Executive Summary
This Instruction cancels and replaces OSHA Instruction CSP 02-00-003, Consultation Policies and
Procedures Manual, issued November 19, 2015, and its supplemental notices. It outlines the
overall policy framework for administering and managing the OSHA On-Site Consultation
Program, updates and clarifies the criteria and requirements for participation in the Safety and
Health Achievement Recognition Program (SHARP) and Pre-SHARP, and the requirements of the
monitoring and evaluation system for On-Site Consultation programs.
Significant Changes
A.

Added Chapter 10, Process Safety Management (PSM) of Highly Hazardous
Chemicals, to specify policy and procedures for evaluating processes covered by
the PSM of Highly Hazardous Chemicals standard, 29 CFR 1910.119 or 29 CFR
1926.64.

Added the following PSM assessment tools:
1.

Appendix L-1, On-Site Consultation Program PSM Evaluation Worksheet,
and optional assessment tables:
a.

Table C-1, Hazards of Highly Hazardous Chemicals (HHCs) Used at
the Establishment (Optional);

Table C-2, Relief System Design and Design Basis Used at the
Establishment (Optional);

Table D, Assessment of the Employer’s Written Schedule for
Implementing Process Hazard Analysis Recommendations
(Optional);

Table E, Review of Equipment Inspection Records (Optional); and

Table M: Workers Training Review (Optional).

Appendix L-2, PSM of Highly Hazardous Chemicals Interim Year Safety
and Health Achievement Recognition Program (SHARP) Site SelfEvaluation Template.

Appendix L-3, Determining the Applicability of the PSM Standard to an
Establishment.

Appendix L-4, PSM Evaluation Tips.

Table of Contents

Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Chapter 6
Chapter 7
Chapter 8

Introduction .................................................................................................................. 1
OSHA Cooperative Programs ...................................................................................... 20
Promoting and Managing Consultation Services ........................................................ 23
Consultation Visit-Related Requirements ................................................................... 40
Training and Education Consultation Visits ................................................................ 62
Documenting Consultation Services ........................................................................... 67
Relationship to Enforcement ...................................................................................... 72
OSHA Safety and Health Achievement Recognition Program (SHARP), Pre-SHARP, and
SHARP Pilots .............................................................................................................. 84
Chapter 9 Monitoring of On-Site Consultation Programs ......................................................... 106
Chapter 10 Process Safety Management of Highly Hazardous Chemicals ................................ 121
Appendix A Sample Letter to Employers Receiving Low Priority .............................................. 135
Appendix B Sample List of Hazards ............................................................................................ 136
Appendix C Annual Rate Calculation Method............................................................................ 138
Appendix D Alternative Rate Calculation Methods ................................................................... 140
Appendix E Interim-Year SHARP Site Self-Evaluation Template ................................................ 143
Appendix F Occupational Safety and Health Program Action Plan Template ........................... 145
Appendix G Mandated Activities Report for Consultation (MARC) ........................................... 150
Appendix H Consultation Visit Case File Organization............................................................... 151
Appendix I Checklist for On-Site Review of Consultation Programs.......................................... 156
Appendix J Safety and Health Program Assessment Worksheet (OSHA Form 33).................... 160
Appendix K Consultant Function – Competency Statements and Consultant Qualifications ... 168
Appendix L-1: On-Site Consultation Program PSM Evaluation Worksheet ................................ 176
Appendix L-2: Process Safety Management (PSM) of Highly Hazardous Chemicals Interim Year
Safety and Health Achievement Recognition Program (SHARP) Site Self-Evaluation
Template.................................................................................................................. 206
Appendix L-3: Determining the Applicability of the Process Safety Management Standard to an
Establishment .......................................................................................................... 208
Appendix L-4: Process Safety Management Evaluation Tips ...................................................... 210
Appendix M Incident Investigation Reporting Template (SHARP and Pre-SHARP
Establishments) ....................................................................................................... 226
Appendix N Employers' Incentive Programs.............................................................................. 230
Appendix O Guidance for Clarifying the Status of Enforcement Inspections at Establishments
................................................................................................................................. 231

Chapter 1
Introduction
I.

Purpose. This Instruction describes and implements the policies and procedures
governing the administration and operation of the Occupational Safety and Health
Administration (OSHA) On-Site Consultation Program.

II.

Scope. This Instruction applies to On-Site Consultation Cooperative Agreement
programs under Section 21(d) of the Occupational Safety and Health Act of 1970 (OSH
Act), established by 29 Code of Federal Regulations (CFR) 1908; and Consultation
programs under the authority of a State Plan approved under Section 18 of the OSH Act
and funded under Section 23(g).
This Instruction specifies the policies and procedures for all 21(d) Cooperative
Agreement programs established by 29 CFR 1908 for the private sector.
Consultation programs funded under Section 23(g) of the OSH Act, which provide
consultative services to private sector employers, must be "at least as effective" (ALAE)
as the Section 21(d) Cooperative Agreement programs established by 29 CFR Part 1908
(29 CFR 1908.1(a)) and described by this Instruction.
All State Plans are required to administer state and local government On-Site
Consultation programs, funded under Section 23(g) of the OSH Act, that adhere to the
requirements of this Instruction, or an approved, state-specific, ALAE alternative to this
Instruction as specified in the State Plan Policies and Procedures Manual, OSHA
Instruction CSP 01-00-005, May 6, 2020.

III.

References.
A.

Consultation Agreements, 29 CFR Part 1908.

Fiscal Year 2021 On-Site Consultation Cooperative Agreement Application
Instructions, OSHA Notice CSP 02-20-02, June 18, 2020 (or current version).

Occupational Injury and Illness Recording and Reporting Requirements – North
American Industry Classification System (NAICS) Update and Reporting Revisions,
79 Federal Register 56129 (September 18, 2014).

Occupational Safety and Health Act of 1970, 29 USC § 651 et seq.
1

OSHA Alliance Program, OSHA Instruction CSP 04-01-003, March 4, 2020 (or
current version).

OSHA Field Operations Manual, OSHA Instruction CPL 02-00-164, April 14, 2020
(or current version).

OSHA Information System User Guide – Consultation Module Release 1.9.15,
Version 1, June 1, 2018 (or current version).

OSHA Strategic Partnership Program for Worker Safety and Health, OSHA
Instruction CSP 03-02-003, November 6, 2013 (or current version).

Recommended Practices for Anti-Retaliation Programs, OSHA Publication 3905,
January 2017.

Recommended Practices for Safety and Health Programs, OSHA Publication
3885, October 2016.

Reporting Fatalities, Hospitalizations, Amputations, and Losses of an Eye as a
Result of Work-Related Incidents to OSHA, 29 CFR 1904.39.

Safety and Health Program Management Guidelines; Issuance of Voluntary
Guidelines, 54 Federal Register 3904 (January 16, 1989).

Scheduling System for Programmed Inspections, OSHA Instruction CPL 02-00025, January 4, 1995 (or current version).

Severe Violator Enforcement Program (SVEP), OSHA Instruction CPL 02-00-149,
June 18, 2010 (or current version).

State Plan Policies and Procedures Manual, OSHA Instruction CSP 01-00-005,
May 6, 2020 (or current version).

Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards, 2 CFR Part 200.

Voluntary Protection Programs Policies and Procedures Manual, OSHA
Instruction CSP 03-01-005, January 30, 2020 (or current version).

Whistleblower Investigations Manual, OSHA Instruction CPL 02-03-007, January
28, 2016 (or current version).

IV.

Cancellations. This Instruction supersedes OSHA Instruction CSP 02-00-004,
Consultation Policies and Procedures Manual, March 19, 2021.

State Plan Impact. 29 CFR Part 1908 contains requirements for Cooperative
Agreements between states and the Federal Occupational Safety and Health
Administration under sections 21(c) of the Occupational Safety and Health Act of 1970
(29 U.S.C. 651 et seq.) and section 21(d), the Occupational Safety and Health
Administration Compliance Assistance Authorization Act of 1998 (which amends the
Occupational Safety and Health Act,) under which OSHA will utilize state personnel to
provide consultative services to employers.
A.

Federal Program Change - Notice of Intent and Equivalency Required. This
Instruction describes a Federal Program Change, which revises and updates the
policies and procedures of the OSHA On-Site Consultation Program (29 CFR
1908.1).
1.

State Plans operating private sector and state and local government
Consultation programs funded under Section 23(g) of the OSH Act.
a.

State Plans operating Section 23(g) Consultation programs (state
and local government programs, and private sector programs
funded under Section 23(g) of the OSH Act) are required to submit
a notice of intent to adopt within 60 days of the issuance of this
Instruction and must indicate whether their policies and
procedures will be identical or different from this Instruction.
These State Plans must complete adoption within six months of
the issuance of this Instruction.
If adopting identically, the State Plan operating a Section 23(g)
Consultation program must provide the date of adoption to OSHA
within 60 days of adoption. If the State Plan adopts or maintains
policies that differ from this Instruction, the State Plan must
either post the different policies on its State Plan website and
provide a link to OSHA or provide OSHA with an electronic copy of
the policies. This action must occur within 60 days of the date of
adoption.

State Plans operating private sector Section 23(g) Consultation programs
must be ALAE as Section 21(d) Consultation Cooperative Agreement
3

programs and must ensure their programs are ALAE as the requirements
of this Instruction. (29 CFR 1908.1(a) and State Plan Policies and
Procedures Manual, OSHA Instruction CSP 01-00-005.)

All State Plans are required to administer state and local government
Section 23(g) Consultation programs that adhere to the requirements of
this Instruction, or an approved, state-specific, ALAE alternative to this
Instruction. (State Plan Policies and Procedures Manual, OSHA
Instruction CSP 01-00-005.)

State Plans administering state and local government Section 23(g)
Consultation programs may establish an achievement recognition
program for state and local governments but are not required to do so.
(State Plan Policies and Procedures Manual, OSHA Instruction CSP 01-00005, Chapter 5, Section II.C.)

State Plans administering private sector Section 23(g) Consultation
programs must offer achievement recognition programs to private sector
employers that are ALAE as the programs described in Chapter 8 of this
Instruction.

State Plans Operating Private Sector Consultation Programs Funded Under
Section 21(d) of the OSH Act.
1.

All State Plans operating private sector 21(d) Consultation Cooperative
Agreement programs (Consultation programs funded under Section 21(d)
of the OSH Act) must comply with the requirements of this Instruction in
accordance with 29 CFR 1908.10 and the On-Site Cooperative Agreement
between the state and OSHA (29 CFR 1908.1).
The On-Site Consultation Cooperative Agreement between the state and
OSHA specifies that the On-Site Consultation program operated under
the agreement shall conform fully to the requirements in 29 CFR Part
1908, all related formal directives issued by the Assistant Secretary, and
the appendices attached to the agreement. The requirements of this
Instruction are effective as of the date of issuance for State Plans
operating private sector Consultation programs funded under Section
21(d) of the OSH Act.

OSHA will permit State Plans operating private sector 21(d) Consultation
Cooperative Agreement programs to make minor modifications to this
Instruction which align with the intent of 29 CFR Part 1908.
4

Prior to implementation, a State Plan that intends to make modifications
to this Instruction, shall provide the respective Regional Administrator
(RA) with a list of all proposed modifications and a copy of the proposed
modified directive for review and approval. The RA shall review the
modified directive in consultation with the OSHA Directorate of
Cooperative and State Programs (DCSP).
3.

VI.

21(d) Consultation Cooperative Agreement programs must offer
achievement recognition programs to private sector employers, as
described in Chapter 8 of this Instruction.

Enforcement Policies. State Plans shall establish enforcement policies applicable
to the safety and health issues covered by the State Plan which are ALAE as the
enforcement policies established by 29 CFR Part 1908 (29 CFR 1908.1(c)),
including the following:
1.

Maintain the definition of a consultation visit in-progress and its effect on
enforcement inspection scheduling as provided in 29 CFR 1908.7(b)(2)
(29 CFR 1908.7(b)).

Maintain the requirement not to schedule a compliance inspection in
response to a complaint based upon a posted List of Hazards at an
establishment, unless the employer fails to meet its obligations described
in 29 CFR 1908.6(f), or fails to provide interim protection for exposed
employees (29 CFR 1908.6(e)(8)).

Assure employer confidentiality as described in 29 CFR 1908.6(g)(2), 29
CFR 1908.6(h), and 29 CFR 1908.7(a)(3).

Assure limitations on the disclosure of the consultant’s Written Report to
the Employer (29 CFR 1908.6(g)(2)).

Defer programmed inspections for employers approved to participate in
achievement recognition programs (29 CFR 1908.7(b)(4)(i)(A)&(B);
Chapter 8 of this Instruction).

Significant Changes
A.

Added Chapter 10, Process Safety Management (PSM) of Highly Hazardous
Chemicals, to specify policy and procedures for evaluating processes covered by
5

the PSM of Highly Hazardous Chemicals standard, 29 CFR 1910.119 or 29 CFR
1926.64.
B.

Added the following PSM assessment tools:
1.

VII.

Appendix L-1, On-Site Consultation Program PSM Evaluation Worksheet,
and optional assessment tables:
a.

Table C-1, Hazards of Highly Hazardous Chemicals (HHCs) Used at
the Establishment (Optional);

Table C-2, Relief System Design and Design Basis Used at the
Establishment (Optional);

Table D, Assessment of the Employer’s Written Schedule for
Implementing Process Hazard Analysis Recommendations
(Optional);

Table E: Review of Equipment Inspection Records (Optional); and

Table M: Workers Training Review (Optional).

Appendix L-2, PSM of Highly Hazardous Chemicals Interim Year Safety
and Health Achievement Recognition Program (SHARP) Site SelfEvaluation Template.

Appendix L-3, Determining the Applicability of the PSM Standard to an
Establishment.

Appendix L-4, PSM Evaluation Tips.

Action Information
A.

OSHA National Office.
1.

Directorate of Cooperative and State Programs. DCSP’s Office of Small
Business Assistance (OSBA), in consultation with the Assistant Secretary,
is responsible for the administrative oversight of the OSHA On-Site
Consultation Program. OSBA is responsible for establishing the policies
and procedures governing the operation, monitoring, and evaluation of
the On-Site Consultation Program. The Consultation Policies and
6

Procedures Manual (CPPM) is the Consultation Program's principal policy
guidance document. OSBA is also responsible for providing program
support to OSHA Regions and the states.

Directorate of Enforcement Programs. The Directorate of Enforcement
Programs (DEP) is responsible for the nationwide enforcement of
occupational safety and health standards. DEP is responsible for
developing the annual programmed (enforcement) inspection schedule,
establishing inspection priorities and selection criteria, and responding to
complaints, fatalities, catastrophes, and other critical inspections as
determined by the Assistant Secretary.

Directorate of Administrative Programs. The Directorate of
Administrative Programs (DAP), Office of Technology Assistance, is
responsible for the development and administration of the OSHA
Information System (OIS). In addition, through the Office of Financial
Management, Division of Grants Management, DAP is responsible for the
day-to-day financial management of the On-Site Consultation Program
and the review of the financial aspects of the Cooperative Agreements
between the states and OSHA.

Directorate of Construction. The Directorate of Construction (DOC)
serves as OSHA's principal source for standards, regulations, policy,
programs, and assistance to OSHA, other federal Agencies, the
construction industry, and the general public with respect to
occupational safety and health in the construction industry.

Directorate of Whistleblower Protection Programs. The Directorate of
Whistleblower Protection Programs (DWPP) is responsible for the
nationwide enforcement of Section 11(c) of the OSH Act and the antiretaliation provisions of more than 20 other federal statutes. DWPP
maintains the policies and procedures for investigating complaints under
these statutes, providing technical support for the OSHA field and
developing compliance assistance resources.

Regional Offices. Regional Administrators (RAs) are responsible for monitoring
and evaluating the Consultation programs within their respective Regions. RAs
are responsible for preparing and submitting individual Regional Annual
Consultation Evaluation Reports (RACER) for all states (i.e., OSHA and State Plan
jurisdiction), funded under Section 21(d) of the OSH Act. RAs also conduct
financial reviews of all On-Site Consultation Cooperative Agreements.
Consultation programs funded under Section 23(g) of the OSH Act must be
7

assessed through the Federal Annual Monitoring and Evaluation (FAME) process.
Communication is an essential component of OSHA’s relationship with the
states. Therefore, RAs are responsible for maintaining effective communication
with Consultation programs in their respective Regions.
C.

VIII.

States. The states are responsible for operating and maintaining Consultation
programs that effectively meet the objectives of the OSHA On-Site Consultation
Program in accordance with 29 CFR Part 1908. The states are also responsible
for submitting annual On-Site Consultation Cooperative Agreement Applications
to OSHA and developing the Consultation Annual Program Plan (CAPP) submitted
with the agreement, in accordance with their respective OSHA or State Plan
Strategic Plan. Consultation programs are required to conduct self-evaluations
annually by means of the Consultation Annual Program Report (CAPR) in
accordance with the monitoring and evaluation methods established in Chapter
9.

Definitions.
A.

Achievement Recognition Program. An OSHA On-Site Consultation Program
initiative which recognizes the achievements of small business employers who,
at a particular establishment, operate an exemplary safety and health program
that results in the immediate and long-term prevention of job-related injuries
and illnesses (29 CFR 1908.2). SHARP and Pre-SHARP are discussed in detail in
Chapter 8.

Action Plan. The written plan, developed by the consultant with the employer,
and approved by the Consultation Program Manager (CPM). The mutually
agreed upon written plan developed by a SHARP employer, which describes the
site-specific steps that the employer will take to ensure continuous improvement
of its safety and health program. Alternatively, the plan outlines the site-specific
goals and time frames that will qualify the employer participating in Pre-SHARP
for SHARP participation.

Assistant Secretary. The United States Assistant Secretary of Labor for
Occupational Safety and Health.

Catastrophe. Catastrophe is the hospitalization of three or more employees
resulting from a work-related incident or exposure; in general, from an injury or
illness caused by a workplace hazard.

Closed Case Date (Safety and/or Health Closed Case Date). The date (entered in
the OSHA Information System (OIS)) on which the consultation visit in-progress
status for an establishment is concluded.

Closing Conference. Held at the conclusion of the consultation visit, the closing
conference is conducted on-site by the consultant with the employer and an
employee representative(s), either jointly or separately, to review the hazards
identified during the consultation visit and discuss other pertinent issues related
to employee safety and health. See Chapter 4 for additional information.

Compliance Assistance Activities. Cover certain types of consultation services
provided away from an employer's workplace such as technical advice provided
through telephone conversations and videoconferences; electronic and printed
correspondence, such as email and fax; speeches and presentations to
stakeholders; off-site technical training not related to a consultation visit (see
Chapter 5); and marketing to employers, such as targeted mailings and door-todoor promotions.

Compliance Assistance Authorization Act. This is Public Law 105-197 which
codified the OSHA On-Site Consultation Program by amending Section 21 of the
OSH Act.

Compliance Officer. An OSHA or State Plan compliance safety or health officer.

Consultant. A state employee who provides consultation services under a 21(d)
Cooperative Agreement (29 CFR 1908.2).

Consultation Annual Program Plan. The Consultation Annual Program Plan
(CAPP) forms part of the On-Site Consultation Cooperative Agreement for all
Consultation programs funded under Section 21(d) of the OSH Act. The CAPP is
updated, submitted each fiscal year, and subject to negotiation and approval by
OSHA. Upon approval, this plan forms the basis for the monitoring and
evaluation of a Consultation program’s performance during a fiscal year.

Consultation Program Manager. The person who directs the day-to-day
activities of a Consultation program.

Consultation Services. All activities related to the provision of consultative
assistance under 29 CFR Part 1908, including off-site consultation and on-site
consultation.

Consultation Visit. A consultation visit can be classified as follows:
9

Initial. A hazard assessment of a workplace conducted by a consultant(s)
for the safety and/or health discipline. An initial consultation visit must
consist of an on-site opening conference, an examination of relevant
aspects of the safety and health program relating to the scope of the
consultation visit, a walkthrough of the workplace, and an on-site closing
conference.

Training and Education. A consultation visit that is conducted to provide
training and education to employers and their employees in hazard
identification and correction or in safety and health program
development or improvement.

Follow-up. A consultation visit conducted to verify the correction of
previously identified hazards, assist the employer with the safety and
health program, and/or provide other types of assistance, as specified in
Chapter 3.

Consultation Visit In-Progress. A consultation visit shall be considered inprogress in regard to the working conditions, hazards, or situations covered by
the consultation visit from the beginning of the opening conference through the
end of the hazard correction due dates and any extensions (29 CFR 1908.7(b)(1)).

Cooperative Agreement. The legal instrument which enables the states to
collaborate with OSHA to provide On-Site Consultation services in accordance
with 29 CFR Part 1908.

Days Away, Restricted, or Transferred (DART). A rate that represents the total
non-fatal injuries and illnesses resulting in days away from work, restricted work
activity, and/or job transfer per 100 full-time employees for a calendar year.

Education. Planned and organized activity by a consultant to convey information
to employers and employees to enable them to establish and maintain safe and
healthful working conditions at their workplaces.

Employee. A person employed by an employer that is engaged in a business
affecting commerce.

Employee Representative. The authorized representative of employees at an
establishment where there is a recognized labor organization representing
employees. Alternatively, the non-management employee designated by
employees at the establishment as their authorized representative.
10

Employer. A person engaged in a business affecting commerce who has
employees. This does not include the United States or any state or political
subdivision of a state.
Note: As used in this Instruction, the word “employer” (or “employer’s
representative”) also refers to the person(s) authorized to enter into an
agreement for consultation services and who also has the authority to ensure
the employer meets its obligations pursuant to that agreement.

Establishment. An establishment is a single physical location where business is
conducted or where services or industrial operations are performed.
For activities where employees do not work at a single physical location, such as
construction; transportation; communications, electric, gas and sanitary services;
and similar operations, the establishment is represented by main or branch
offices, terminals, stations, etc. that either supervise such activities or are the
base from which personnel carry out these activities (see 29 CFR 1904.46). In
these instances, for the purposes of the On-Site Consultation program, the
specific location or address where consultation services were provided will be
identified in OIS as the employer’s or establishment’s address.
Note: Normally, one business location has only one establishment. Under
limited conditions, the employer may consider two or more separate businesses
that share a single location to be separate establishments only as specified in 29
CFR 1904.46(1)(i) through (iv).

Fatality. Fatality is an employee death resulting from a work-related incident or
exposure; in general, from an injury or an illness caused by or related to a
workplace hazard.

Federal Working Days. For the purposes of this Instruction, federal working days
means Mondays through Fridays and excludes Saturdays, Sundays, and federal
holidays.

Hazard Assessment. This is the collection of information on hazards, observation
of work processes, methods, procedures, employee activities, employee
interviews, and advice on hazard control or elimination, as appropriate,
conducted within the scope of the consultation visit requested by the employer.

Hazard Correction. The elimination or control of a workplace hazard in
accordance with the requirements of applicable OSHA or State Plan statutes,
regulations, or standards.

AA.

High-Hazard Business or Operation. A business or operation on the OSHA HighHazard List; an Alternative High-Hazard List approved by the respective RA; or
any National, State, or Local Emphasis Program list.

BB.

Imminent Danger. Conditions or practices in any place of employment which are
such that a danger exists which could reasonably be expected to cause death or
serious physical harm immediately or before the imminence of such danger can
be eliminated through procedures otherwise provided by the OSH Act. (29 USC
662(a) and 29 CFR 1908.6(f)(1)).

CC.

List of Hazards (Serious). This list consists of all serious hazards (and any
imminent danger hazard) identified by the consultant, and the hazard correction
due dates mutually agreed upon by the employer and the consultant. The
unedited List of Hazards is the official document that must be posted by the
employer.

DD.

List of Hazards (Serious and Other-than-Serious). This list consists of serious,
other-than-serious, and imminent danger hazards, and regulatory violations
identified by the consultant. It includes the hazard correction due dates
mutually agreed to by the employer and the consultant. This list is used when
assessing establishments for SHARP or Pre-SHARP eligibility and by State Plans
that require the verification of hazard correction for all hazard classifications.
The unedited List of Hazards is an official document that must be posted by the
employer.

EE.

Occupational Safety and Health Act. The Occupational Safety and Health (OSH)
Act of 1970. 29 USC § 651 et seq.

FF.

Occupational Safety and Health Administration. The federal Occupational Safety
and Health Administration (OSHA), an Agency of the United States Department
of Labor that implements the OSH Act of 1970, including overseeing State Plans.
With the OSH Act, the United States Congress created OSHA to ensure safe and
healthful working conditions for working men and women by setting and
enforcing standards and by providing training, outreach, education, and
assistance.

GG.

Occupational Safety and Health Administration Information System (OIS). An
OSHA web-based data collection system used by the On-Site Consultation
12

Program. Reference to OIS in this Instruction includes both the OIS modules and
the systems used by states with interfaces.
HH.

Off-site Consultation. The provision of consultative assistance on occupational
safety and health issues away from an employer's establishment by such means
as telephone and correspondence, and at locations other than the employer's
establishment, such as the Consultation program offices. It may, under limited
conditions specified by the Assistant Secretary, include training and education.
(29 CFR 1908.2).

II.

On-site Consultation. The provision of consultative assistance on an employer's
occupational safety and health program and on specific workplace hazards
through a consultation visit to an employer's establishment. It includes a
Written Report to the Employer (when applicable) on the findings and
recommendations resulting from the consultation visit. It may include training
and education needed to address hazards, or potential hazards, at the
establishment. (29 CFR 1908.2).

JJ.

Other-than-Serious Hazard. Any condition or practice which would be classified
as an other-than-serious violation of applicable OSHA or State Plan statutes,
regulations, or standards, based on criteria contained in the current OSHA Field
Operations Manual or the State Plan equivalent (as applicable).

KK.

Programmed Inspection. OSHA establishment inspections which are scheduled
based upon objective or neutral criteria. These inspections do not include
imminent danger, fatality/catastrophe, formal complaints, and other critical
inspections as determined by the Assistant Secretary.

LL.

Programmed Inspection Schedule. OSHA inspections scheduled in accordance
with criteria contained in the current OSHA Field Operations Manual or
approved State Plan equivalent.

MM.

Protection Plan of Action. The interim plan developed by the employer and
consultant during a consultation visit to protect employees from a serious or
imminent danger hazard that requires a complex hazard correction solution(s)
that may take more than 90 calendar days to implement.

NN.

Safety and Health Program. Refers to a comprehensive, employer-implemented,
site-specific system to protect employee safety and health, through a
collaboration between management and employees, to identify and resolve
issues before they can result in an incident, injury, or illness at an establishment;
13

as outlined in the Recommended Practices for Safety and Health Programs,
OSHA Publication 3385 (October 2016).

OO.

Safety and Health Program Assessment. A review of an employer's
existing safety and health program to identify elements considered
adequate and those in need of development or improvement, and the
consultant’s recommendations for correcting deficiencies or continuous
improvement, using the Safety and Health Program Assessment
Worksheet, OSHA Form 33.

Complete Safety and Health Program Review. This is a safety and health
program assessment that involves reviewing all 58 attributes of Form 33.
A complete safety and health program review is conducted when an
employer requests to participate in SHARP or Pre-SHARP or requests a
complete review of its safety and health program. See Chapter 4 for
additional information.

Scope of Consultation Visits.
1.

Full-service Consultation Visit. A consultation visit that provides a
complete, safety and/or health hazard assessment of all working
conditions, equipment, processes, and OSHA or State Plan mandated
programs such as a Hearing Conservation Program at all locations of the
establishment (wall-to-wall hazard assessment). There are three types of
full-service visits:
a.

Full-service safety: when one consultant conducts a consultation
visit in the safety discipline as defined above.

Full-service health: when one consultant conducts a consultation
visit in the health discipline as defined above.

Full-service both: when one consultant conducts a single
consultation visit for both safety and health disciplines as defined
above.

Limited-service Consultation Visit. A less complete safety and/or health
hazard assessment than that provided by a full-service consultation visit.
For instance, a limited-service consultation visit provides a focused
assessment of a particular work process; OSHA or State Plan mandated
program such as a Respiratory Protection Program; limited location
within the establishment; specific hazard or type of hazard; or a focused
14

assessment that is conducted of some aspects of one discipline (safety or
health), or some aspects of both disciplines at an establishment (safety
and health). There are three types of limited-service consultation visits:
a.

Limited-service safety: when one consultant conducts a
consultation visit in the safety discipline as defined above.

Limited-service heath: when one consultant conducts a
consultation visit in the health discipline as defined above.

Limited-service both: when one consultant conducts a single
consultation visit for both safety and health disciplines as defined
above.

PP.

Serious Hazard. Any condition or practice which would be classified as a serious
violation of applicable OSHA or State Plan statutes, regulations, or standards,
based on criteria contained in the current OSHA Field Operations Manual or
approved State Plan equivalent (as applicable), except that the element of
employer knowledge does not apply.

QQ.

Severe Injury. An amputation, in-patient hospitalization, or loss of an eye as a
result of a work-related incident.

RR.

Small Business. For the purposes of the OSHA On-Site Consultation Program, a
small business is defined as an employer having two hundred fifty (250) or fewer
employees at an establishment and no more than five hundred (500) employees
corporation-wide. The upper corporate size limit does not apply to individual
franchisees. When determining whether an establishment meets the size
requirement for a small business, the consultant is to count each individual
employed in the establishment in the most recent year (including full-time, parttime, seasonal, and temporary employees) as one employee.

SS.

Standard Element Paragraph (STEP). Descriptions of hazards available in OIS,
which are customized by a consultant in preparing the Written Report to the
Employer. Each STEP describes an unsafe condition(s) covered by a standard(s)
or the OSH Act, the potential effect of that condition(s) on employees, the
standard(s) referenced, and the recommended corrective action(s).

TT.

State. A state of the United States, the District of Columbia, and U.S. territories,
such as the Commonwealth of the Northern Mariana Islands (CNMI), Puerto
Rico, the Virgin Islands, or Guam.
15

UU.

State Designee. The state official designated by the Governor to be responsible
for entering into a Cooperative Agreement in accord with Section 21(d) of the
OSH Act. See “Designee” as defined in 29 CFR 1908.2.
Note: For the purposes of this Instruction, the State Designee is also the state
official designated by the Governor to perform the functions specified in this
Instruction.

VV.

State Plan. The state agency responsible under a Plan approved under Section
18 of the OSH Act for the enforcement of occupational safety and health
standards in that state.

WW. Total Recordable Case Rate. A rate that represents the total non-fatal injuries
and illnesses per 100 full-time employees for a calendar year.

IX.

XX.

Trade Secret. Information which is not generally known or reasonably
ascertainable, by which a business can obtain an economic advantage over
competitors or customers. See 18 USC 1905 and Section 15 of the OSH Act.

YY.

Training (Formal or Informal). The planned and organized activity of a consultant
to transfer knowledge, skills, techniques, and methodologies to employers and
their employees, that will assist them in establishing and maintaining safe and
healthful workplace conditions.

ZZ.

Willful Violation. A willful violation exists under the OSH Act where an employer
has demonstrated either an intentional disregard for the requirements of the Act
or a plain indifference to employee safety and health.

AAA.

Written Report to the Employer. The confidential report provided by the
Consultation program to the employer at the conclusion of an initial consultation
visit. It includes a documentation of all hazards identified, hazard correction
recommendations, hazard correction due dates, and an assessment of the safety
and health program. Refer to Chapter 6 for additional information.

Background. Section 21(c) of the OSH Act directs the Secretary of Labor to establish
programs for the education and training of employers and employees in the recognition,
avoidance, and prevention of unsafe and unhealthful working conditions in
employments covered by the OSH Act. Section 21(c) also directs the Secretary of Labor
to consult with and advise employers and employees, and organizations representing
employers and employees, as to effective means of preventing occupational injuries and
illnesses. The OSHA On-Site Consultation Program is one of the avenues through which
OSHA meets the requirements of Section 21(c) by offering consultation services to small
16

business employers at no cost. In addition, consultation services can be provided
without triggering the enforcement mechanisms of the OSH Act.

Federally funded On-Site Consultation programs were originally operated only by
State Plans. In response to the demand for On-Site Consultation programs in
states under the jurisdiction of OSHA, 29 CFR Part 1908 was first promulgated on
May 20, 1975 (40 Federal Register 21935), to authorize federal funding of
consultation services in those states.

29 CFR 1908 has been amended several times in the intervening years. It was
amended on August 16, 1977 (42 Federal Register 41386) to clarify a number of
provisions as well as to increase the level of federal funding to ninety (90)
percent, a level that was considered necessary to provide a strong incentive for
states to establish On-Site Consultation programs. 29 CFR 1908 was again
amended on June 19, 1984, to further clarify various provisions, and to grant
programmed inspection deferrals to employers who meet specific requirements
(49 Federal Register 25082).

The OSHA Compliance Assistance Authorization Act of 1998, Public Law 105-197,
codified the OSHA On-Site Consultation Program and amended Section 21 of the
OSH Act by adding a new subsection, (d). On October 26, 2000, 29 CFR Part 1908
was amended (65 Federal Register 64282) to ensure employees would be
allowed to participate in consultation visits and be informed of the results,
consultation visits would be conducted according to updated procedures, and
information obtained during consultation visits would be treated as confidential.

OSHA On-Site Consultation Program Operations.
A.

Consultation services are voluntary. Therefore, employers must contact the
Consultation program in their states to request consultation services and agree
to certain obligations before receiving services. Employers’ obligations include
correcting all serious and imminent danger hazards identified during a
consultation visit within a mutually agreed upon time frame. Employers’
obligations and rights are discussed in detail in Chapter 3.

The OSHA On-Site Consultation Program is designed to assist employers with
identifying and correcting hazards in the workplace, developing or improving
safety and health programs, as well as training and educating employers and
employees. These consultation services are provided by state On-Site
Consultation programs at no cost to employers. In general, Consultation
programs must give priority to small business employers in high-hazard
industries when scheduling consultation visits (29 CFR 1908.1(a)).
17

XI.

XII.

OSHA On-Site Consultation Program Administration.
A.

Partnership between OSHA and the States. Cooperative Programs, including
the On-Site Consultation Program, are an integral part of OSHA. These programs
complement enforcement efforts to promote safe and healthful working
conditions in American workplaces. OSHA and its state partners, in accordance
with the Government Performance and Results Act of 1993 (GPRA), as amended,
operate under Strategic Plans that identify specific performance goals to be
achieved by the Agency. The results of compliance assistance activities,
including Cooperative Programs such as the On-Site Consultation Program, are
thus included in the overall results of all OSHA activities.

Partnership between State Consultation Programs and OSHA. Annually, each
Consultation program funded under Section 21(d) of the OSH Act develops the
Consultation Annual Program Plan (CAPP), based on the strategic and annual
performance plan it supports. The CAPP is part of each Consultation program’s
On-Site Consultation Cooperative Agreement for a fiscal year and is subject to
negotiation and approval by OSHA. Upon approval, the CAPP forms the basis for
monitoring and evaluation of Consultation programs’ performance during the
fiscal year. The guidance for developing an acceptable CAPP is detailed in the
On-Site Consultation Cooperative Agreement Application Instructions for the
fiscal year.

Partnership between Consultation and Enforcement. Consultation programs’
efforts are linked to OSHA or State Plan strategic performance goals.
Consultation programs’ activities focus on addressing injuries, illnesses, and
fatalities in targeted industries identified in the relevant strategic and annual
performance plans. Consultation programs work as equal partners with
enforcement programs in implementing OSHA or State Plan strategic
performance plans through cooperative or voluntary interactions with
employers.

Consultation Programs Funded Under Section 21(d) of the OSH Act.
A.

In accordance with 29 CFR 1908.3(b)(1), the Assistant Secretary will reimburse
states ninety (90) percent of the costs incurred under a cooperative agreement
entered into pursuant to 29 CFR 1908. Approved training of consultation staff
operating under a cooperative agreement and specified out-of-state travel by
such staff will be fully reimbursed. In some cases, the state may choose to
“overmatch,” by providing more than the required matching funds, to allow that
state’s Consultation program to reach even more employers. These overmatch
18

funds are part of the Consultation program’s annual budget under the On-Site
Consultation Cooperative Agreement (2 CFR 200.306(b)) and are subject to the
same rules and regulations, including those set forth in this Instruction, as the 90
percent federal funding and required state matching funds.
B.

In general, Consultation programs must give priority to small business employers
in high-hazard industries when scheduling consultation visits (29 CFR 1908.1(a)).
Therefore, OSHA maintains that the size requirements for employer participation
in the Safety and Health Achievement Recognition Program (SHARP) or PreSHARP are: two hundred fifty (250) or fewer on-site employees, and no more
than five hundred (500) employees corporation-wide (see subparagraph VIII.RR
above). The upper corporate size limit does not apply to individual franchisees.
However, OSHA also recognizes that Consultation programs may choose to use
overmatch funds to offer SHARP participation to larger establishments.

Chapter 2
OSHA Cooperative Programs
I.

Cooperative Programs. The Occupational Safety and Health Administration (OSHA)
offers employers and organizations opportunities to work with the Agency through
cooperative programs, such as the On-Site Consultation Program, Voluntary Protection
Programs, OSHA Strategic Partnership Program, Alliance Program, and OSHA Challenge.
These cooperative programs offer a variety of services and benefits to participating
employers and organizations. State Plans have similar cooperative programs. Although
this Instruction’s subject matter is the OSHA On-Site Consultation Program described
below, an overview of other OSHA cooperative programs is essential for consultants’
awareness.

II.

On-Site Consultation Program. The OSHA On-Site Consultation Program offers no-cost
and confidential occupational safety and health services to small and medium-sized
businesses in all 50 states, the District of Columbia, and several U.S. territories, with
priority given to high-hazard establishments. Consultants from state agencies or
universities work with employers to identify workplace hazards and how to fix them,
provide advice for compliance with OSHA standards, train and educate employers and
employees, and assist in establishing and improving safety and health programs.
The On-Site Consultation Program also implements the OSHA achievement recognition
programs funded under Section 21(d) of the OSH Act – the Safety and Health
Achievement Recognition Program (SHARP) and Pre-SHARP. Achievement recognition
programs operating in State Plans may be known by other names.
A.

Safety and Health Achievement Recognition Program (SHARP). SHARP
recognizes small businesses that have used On-Site Consultation program
services and operate exemplary safety and health programs. Acceptance into
SHARP is an achievement that distinguishes a small business amongst its peers as
a model for workplace safety and health. Small businesses that meet SHARP
participation requirements are deferred from OSHA or State Plan programmed
inspection schedule for up to two (2) years upon initial approval, or for no more
than three (3) years for subsequent renewal periods. See Chapter 8 for
additional information.

Pre-SHARP. A small business that does not meet all the requirements for SHARP
participation but shows a reasonable promise of achieving agreed-upon
milestones and time frames for meeting SHARP participation requirements,
within the Pre-SHARP deferral period, may be approved to participate in Pre20

SHARP. The deferral time frame from OSHA or State Plan programmed
inspection schedule for small businesses approved to participate in Pre-SHARP
must not exceed a total of 18 months. See Chapter 8 for additional information.
III.

IV.

Voluntary Protection Programs (VPP). VPP recognize employers and employees in the
private industry, and federal agencies who have implemented effective safety and
health programs, and maintain injury and illness rates below the Bureau of Labor
Statistics averages for their respective industries. In VPP, management, labor, and OSHA
work cooperatively and proactively to prevent fatalities, injuries, and illnesses through a
system focused on hazard prevention and control, workplace analysis, training,
management commitment, and employee involvement. To participate, employers must
submit an application to OSHA and undergo a rigorous on-site evaluation by a team of
safety and health professionals. Union support is required for applicants represented by
a bargaining unit. VPP participants are re-evaluated every three to five years to remain
in the programs. Participants are exempt from OSHA programmed inspections while
they maintain their VPP status. OSHA approves qualified establishments for one of
three programs within VPP: Star, Merit, and Star Demonstration.
A.

Star Program. Recognition for employers and employees who demonstrate
exemplary achievement in the prevention and control of occupational safety and
health hazards; as well as the development, implementation, and continuous
improvement of their safety and health programs.

Merit Program. Recognition for employers and employees who have developed
and implemented good safety and health programs but who must take
additional steps to reach Star quality.

Star Demonstration Program. Recognition for employers and employees who
operate effective safety and health programs that differ from current VPP
requirements. This program enables OSHA to test the efficacy of different
approaches, to determine if they are as effective as the Star approach.

OSHA Strategic Partnership Program (OSPP). OSPP provides opportunities for OSHA to
partner with employers, employees, professional or trade associations, labor
organizations, and other interested stakeholders. Strategic Partnerships focus on
improving safety and health in major corporations, government agencies, large
construction projects, and private sector industries where OSHA has jurisdiction.
Strategic Partnerships are unique agreements designed to encourage, assist, and
recognize partner efforts to eliminate serious hazards and enhance workplace safety
and health practices. They are formalized through written agreements that last for a
specified period of time with the establishment of specific goals, strategies, and
performance measures to improve employee safety and health. The agreements may
21

address all hazards at partner worksites or one or more discrete hazards of particular
concern. Most Strategic Partnerships are based out of local OSHA Area or Regional
Offices. Consultation programs and other government agencies may also be signatories
to Strategic Partnerships.
V.

Alliance Program. Through the Alliance Program, OSHA works with groups committed
to employee safety and health to prevent workplace fatalities, injuries, and illnesses.
These groups include unions, consulates, trade or professional organizations,
businesses, faith- and community-based organizations, and educational institutions.
Consultation programs and other government agencies may also be signatories to OSHA
Alliances. OSHA and the groups work together to develop compliance assistance tools
and resources, share information with employees and employers, and educate them
about their rights and responsibilities. Alliance Program participants do not receive
exemptions from OSHA inspections or any other enforcement benefits.

VI.

OSHA Challenge. Through OSHA Challenge, OSHA provides participating employers and
employees an avenue to work with their designated Challenge Administrators to
develop and/or improve their safety and health programs through mentoring, training,
and progress tracking. Challenge Administrators, who are experienced in occupational
safety and health, guide participants through a three-stage process, from initial planning
and development to the implementation of an effective safety and health programs to
prevent fatalities, injuries, and illnesses. After the completion of each stage, OSHA will
provide Challenge participants with letters of recognition. Challenge participants do not
receive exemptions from OSHA programmed inspections.

Chapter 3
Promoting and Managing Consultation Services
I.

Promoting Requests. Consultation Program Managers (CPMs) must actively promote
consultation services to employers, especially those targeted in OSHA or the State Plan
Strategic Plan. The primary purpose of the promotion is to generate inquiries and
requests for consultative assistance from small business employers in high-hazard
industries, especially employers with a high incidence of serious injuries or illnesses.
Successful promotion will result in inquiries and requests for consultation visits from
establishments in the targeted industries. Consultation programs must record their
efforts in promoting and marketing consultation services in the OSHA Information
System (OIS) as Compliance Assistance Activities.
Recognizing that each Consultation program has unique circumstances, Consultation
programs should tailor their promotional activities to draw upon their experiences,
especially where positive results have been achieved. OSHA also encourages
Consultation programs to explore new promotional avenues to ensure that consultation
services are provided to those employers that will benefit the most. Consultation
programs with particularly effective promotional efforts are encouraged to share their
methods and strategies with others so the On-Site Consultation Program might benefit
from their successes.
A.

Examples of Promotional Activities.
1.

Broad-Based Media Campaigns. Consultation programs are encouraged
to promote the availability of consultation services through a variety of
methods and techniques, including broad-based mass media campaigns.

Off-Site Assistance. Off-site assistance may be used to promote
consultation services. For instance, in situations where off-site training
provides the most effective and efficient way to utilize consultation
resources to address a training need or safety and health topic common
to a number of employers or industries (e.g., effective implementation of
safety and health programs).

OSHA or State Plan Initiatives.
a.

CPMs are encouraged to work with the following to promote
consultation services to employers who may benefit from them:
23

OSHA and State Plan Enforcement Programs;

ii.

Alliance Program participants;

iii.

OSHA Strategic Partnership Program participants; and

iv.

Area Directors and their designated staff, including
Compliance Assistance Specialists.

When collaborating with Alliance/Partnership participants, the
CPM should not assume the role of leadership. If the CPM
identifies an organization that would be an excellent ally, a
recommendation should be made to the Regional Administrator
(RA) or State Designee explaining why he/she thinks pursuing an
alliance or partnership would be beneficial to OSHA. Consultation
programs in State Plans should follow procedures established by
their respective states.

Outreach Activities. Consultation programs may engage in outreach
activities, such as the following:
a.

Direct solicitation involving face-to-face contact is encouraged
with employers, business associations (e.g., Chamber of
Commerce), cooperative ventures, and other government
agencies (e.g., Small Business Development Centers (SBDCs)
and/or county or municipal governments). Other examples of
direct solicitation include door-to-door promotions, telephone
promotions, and mailings.

Public presentations (e.g., trade shows, associations’ meetings).

Radio talk shows.

Training seminars.

Roundtable discussions.

Safety and health conventions.

Participation in association and interagency
meetings/committees.
24

Publications.

Internet-based communications.

Cooperative Efforts. Consultation programs are encouraged to seek out
and establish working relationships with professional safety and health
organizations.
a.

Group Activities. Consultation programs may conduct activities
with any group when the primary intent and outcome is the
enhancement of safety and health in the workplace.

Leveraging Resources. OSHA encourages Consultation programs
to pool their resources with recognized safety and health
organizations to provide training or other outreach activities, with
the understanding that such cooperation does not constitute an
endorsement of a particular group.

Identifying Target Audiences. To promote consultation services effectively
within target audiences, Consultation programs should work closely with OSHA
or State Plan enforcement authorities to identify industries targeted in their
Strategic Plan and which are the subject of National or Local Emphasis Programs.
Recommended strategies include the following:
1.

Use state Workers' Compensation data whenever available.

Focus on industries in which significant occurrences such as fatalities,
catastrophes, severe injuries, or the issuance of major citations/penalties,
have recently taken place within a state.

Work with SBDCs and new employers attempting to establish a business.

Concentrate on industries in which newly published standards are likely
to have a major impact.

Use employer and employee organizations to help generate requests for
consultation services.

Design outreach activities targeted at employers identified in the
Consultation Annual Program Plan (CAPP) or the State Annual
Performance Plan.
25

II.

Evaluating Promotional Activities. Consultation programs must document,
track, and evaluate efforts to promote their services. Periodically, the impact of
their promotional activities in generating inquiries and requests for consultation
services from target audiences must be analyzed and assessed. The inability to
effectively promote consultation services to target audiences will be viewed as a
significant challenge warranting serious attention by OSHA and State Plan
monitors. Where promotion or outreach is ineffective, new strategies must be
developed and implemented to address shortcomings.

Communicating Program Information and Employer Obligations and Rights. In
response to any inquiry from the public regarding the Consultation program, and before
agreeing to an employer's request for a consultation visit, the CPM must ensure
consultation personnel clearly explain to the employer: pertinent Consultation program
information (sections II.A through F), and employers’ obligations (sections II.G through
K) and rights (section II.L). To help ensure all relevant information is properly
communicated to employers, Consultation programs are encouraged to provide a
checklist with all items to be reviewed with the employer.
A.

Consultation Programs are Independent of Enforcement. Consultation
programs are independent of OSHA or State Plan enforcement.

No-Cost Consultation Services. Consultation services are provided at no cost to
the employer and are supported by federal and state funds.

Employers’ Confidentiality. Consultation programs are prohibited from
disclosing the identity of employers requesting consultation services, and any
findings from consultation visits, with anyone other than the employer
requesting consultation services, unless the employer fails to take timely action
to eliminate employees’ exposure to an imminent danger hazard, or fails to
correct a serious or imminent danger hazard within the agreed upon timeframe.
In such instances, the Consultation program must share the information with the
appropriate enforcement authorities (see 29 CFR 1908.6(f)(1)&(4) and 29 CFR
1908.7(a)(3)).
Per 29 CFR 1908.6(g)(2), “States may also disclose information contained in the
consultant’s report to the extent required by 29 CFR 1910.1020 (Access to
Employee Exposure and Medical Records) or other applicable OSHA standards or
regulations.” Consultation programs must provide information regarding
employers who have requested consultation services to OSHA for program
administrative purposes. OSHA may use such information to administer the
consultation program and to evaluate state and federal performance under that
26

program, but shall, to the maximum extent permitted by law, treat information
which identifies specific employers as exempt from public disclosure (see 29 CFR
1908.6(h)(2)).
D.

No Citations or Penalties. Consultants do not issue citations or propose
penalties.

Determining the Scope of the Consultation Visit. The CPM must determine the
scope of the consultation visit based on the employer’s request (see Section IV.F
below for additional information).

Participation in a Recognition and Achievement Program. If an employer
satisfies all the conditions required to participate in an achievement recognition
program administered under Section 21(d) of the Occupational Safety and
Health Act, then upon approval to participate by the RA or State Designee, that
particular establishment may be deferred from OSHA or State Plan programmed
inspection schedule. Safety and Health Achievement Recognition Program
(SHARP) participants may be deferred from OSHA or State Plan programmed
inspection schedule for a period of up to two (2) years upon initial approval or up
to three (3) years for subsequent renewal periods. The deferral time frame for
Pre-SHARP participants must not exceed a total of eighteen (18) months. (See
Chapters 7 and 8.)

Employee Participation. Employee participation and employee interviews are
required for all consultation visits. See Chapter 4, subparagraph III.B.3 for
additional information.

Imminent Danger Situations. The employer must immediately eliminate
employees’ exposure to an imminent danger hazard (see 29 CFR 1908.6(f)(1)).
Failure to immediately remove employees from exposure to the hazard will
result in immediate referral to OSHA or State Plan enforcement. The employer
must correct (eliminate, control) an imminent danger hazard by the mutually
agreed upon hazard correction due date or any extensions, and provide the CPM
with documentation of the actions taken to correct the hazard (see Chapter 4,
Section IV). Failure to do so will result in referral to OSHA or State Plan
enforcement (see Chapter 7, Section IV).

Serious Hazard Correction. The employer must correct (eliminate, control) all
serious hazards in accordance with the mutually agreed upon hazard correction
due date(s) or any extensions, and provide the CPM with documentation of the
actions taken to correct the hazards (see Chapter 4, Section IV). Failure to do so
will result in referral to OSHA or State Plan enforcement (see Chapter 7, Section
27

IV). Consultants must remind employers that they may be cited for any otherthan-serious hazard and/or violations of regulatory standards identified during
an OSHA or State Plan enforcement inspection.
In addition to correcting serious and imminent danger hazards, employers
requesting to participate in SHARP or Pre-SHARP must also correct other-thanserious hazards and regulatory violations, and send verification of the correction
to the CPM by the mutually agreed upon hazard correction due dates.
J.

Enforcement Inspections Following Consultation Services. The following
conditions apply if an OSHA or State Plan enforcement inspection occurs after
consultation services have been provided at an establishment (see Chapter 7,
Section V for additional information).
1.

Employer’s Disclosure. If an enforcement inspection occurs after the
conclusion of the consultation visit, the employer is not required to
inform the compliance officer of the consultation visit or furnish a copy of
the Written Report, except to the extent that disclosure of information
contained is required by 29 CFR 1910.1020 (Access to Employee Exposure
and Medical Records) or other standards.

Employer's Good Faith. If the employer chooses to provide OSHA or
State Plan enforcement with a copy of the consultant's Written Report to
the Employer, it may be used by OSHA or State Plan enforcement to
determine the employer's "good faith" for purposes of adjusting any
proposed penalties and judging the extent to which an enforcement
inspection is required.

No Immunity from Citations in a Subsequent Enforcement Inspection.
Regardless of the consultant’s advice and the Written Report to the
Employer, in a subsequent OSHA or State Plan enforcement inspection, a
compliance officer is not precluded from finding hazardous conditions or
violations of standards, rules, or regulations for which citations would be
issued and penalties proposed.

Posting the List of Hazards (Serious). The employer must agree to post the
unedited List of Hazards (i.e., serious and any imminent danger hazards), for a
minimum of three (3) working days, or until the hazards are corrected,
whichever is later. Agreed-upon modifications or extensions of hazard
correction due dates must also be posted for a minimum of three (3) working
days or until the hazards are corrected, whichever is later. Previously corrected
hazards do not have to be included in a new list.
28

Posting must be in a prominent place where it is readily observable by all
employees. While in most instances, this will entail posting a hard copy of the
List of Hazards, posting by electronic means is acceptable in cases where
electronic transmission is the employer's normal means of providing notices to
employees and each employee is equipped with an electronic communication
device. Failure to post the List of Hazards will result in termination of the
consultation visit in-progress status (see Chapter 7, Section III).
L.

III.

Employers’ Rights. In addition to the obligations stated above, the employer
retains the following rights during and after a consultation visit:
1.

Modify the Scope or Terminate the Consultation Visit. The employer has
the right to modify the scope of the consultation visit or terminate
participation at any time, including termination of the hazard assessment
before its completion. The employer is responsible for correcting any
serious and imminent danger hazards identified up to the point of
termination. The employer's name and the findings of the consultation
visit will remain confidential, except as discussed in Section II.C of this
Chapter.

Request a Review of the Hazard Correction Schedule and Written Report
Findings. The employer has the right to disagree with the hazard
correction schedule and may within fifteen (15) working days of receipt
of the Written Report to the Employer, appeal to the CPM for
amendment of the hazard correction due date(s) or any other
substantive findings of the Written Report. Disagreement over or
amendment of the hazard correction schedule or Written Report findings
does not relieve the employer of the responsibility to correct any serious
and imminent danger hazards identified.

Request a Private Discussion with the Consultant. The employer has the
right to request a private meeting with the consultant to discuss matters
that he or she may wish not to discuss in the presence of the employee
representative.

Prioritizing and Scheduling Consultation Services. The CPM must schedule consultation
services according to a prioritizing method that focuses on the most serious deficiencies
or hazards first, as defined by the following criteria:

Imminent Danger Situations or Congressional Designation. First priority must
be given to small businesses that indicate an imminent danger situation or are in
industries (or indicate hazards) designated for higher priority by Congress.

Small Businesses in OSHA or State Plan Strategic Plan, National Emphasis
Program, Local Emphasis Program, or Other "Targeted Industries." Second
priority must be given to small businesses that are in a "targeted" industry as
defined by the OSHA or State Plan Strategic Plan, a National Emphasis Program, a
Local Emphasis Program, other targeting programs, or the OSHA Strategic
Partnership Program.

Referred by OSHA or State Plan to the Consultation Program. Third priority
must be given to small businesses for which OSHA or the State Plan directly
suggests requesting a consultation visit. Third priority scenarios include, but are
not limited to, small businesses receiving the OSHA Hazard Alert Letter (HAL); or
small businesses that choose to request consultation services as a condition of
an OSHA or State Plan Settlement Agreement, actions involving an OSHA or State
Plan Rapid Response Investigation (RRI), or Site Specific Targeting inspection plan
or its equivalent. Coding of these consultation visits must be conducted in
accordance with the applicable High-Hazard Type (North American Industry
Classification System (NAICS), Alternative, Hazardousness, or Non-High-Hazard).
Procedures to follow for referrals, including Severe Injury Reports, involving
SHARP or Pre-SHARP establishments, forwarded by OSHA or State Plans to
Consultation programs for evaluation and follow-up, are discussed in Chapter 7,
Section VI.C.

Small Businesses in High-Hazard Industries. Fourth priority must be given to
small businesses in high-hazard industries, as defined below, or that have the
highest incidence rates. Establishments and operations are defined as "highhazard" based on the following criteria:
1.

High Incidence Rates. An establishment is considered "high-hazard" for
priority consideration if that establishment's Days Away, Restricted, or
Transferred (DART) rate is above the Bureau of Labor Statistics (BLS)
national average for that industry. These requests shall be coded in OIS
as “Hazardousness” for the High-Hazard Type.

High-Hazard North American Industry Classification System Codes. An
establishment is considered high-hazard if it is in an industry with a NAICS
code in the OSHA-generated High-Hazard Listing (i.e., Annual OSHA High
Rate Industries Listing). These requests shall be coded in OIS as “NAICS”
for the High-Hazard Type.
30

Alternative High-Hazard Listing. If an establishment is not in the OSHAgenerated High-Hazard Listing, consultants may refer to an Alternative
High-Hazard Listing developed by the state and approved for use by the
RA. The RA will promptly submit the approved list to the OSHA
Directorate of Cooperative and State Programs. These requests shall be
coded in OIS as “Alternative” for the High-Hazard Type.

Secondary NAICS Codes. One or more hazardous work processes or work
areas (for example, bindery in a publishing house) may be located within
an establishment in an industry that is not in the high-hazard list. If such
a process or area is the focus of a consultation visit, a secondary NAICS
code for the process or area may be used to classify the establishment
and, therefore, the priority for receiving a consultation visit would be
classified as high-hazard. The secondary NAICS code must either be in
the OSHA-generated High-Hazard Listing or in the OSHA-approved
Alternative High-Hazard Listing for the state. These requests shall be
coded in OIS as “NAICS” for the High-Hazard Type when the secondary
NAICS code is in the OSHA Annual High Rate Industries Listing; or coded
in OIS as “Alternative” when the secondary NAICS code is in the approved
Alternative High-Hazard Listing for the state.

Hazardous Processes. An establishment may also be classified as "highhazard" based on the number of hazardous operations required to
complete a work process and which cannot be described by a secondary
NAICS code. These requests shall be coded in OIS as “Hazardousness” for
the High-Hazard Type. OSHA's criteria for hazardous processes include
the following:
a.

A substance in regular use at the establishment has a health code
of HE1-HE4 (carcinogen, chronic toxicity and acute toxicity)
located under Health Factors of the Chemical Sampling
Information website.

A substance in regular use at the establishment is explosive, or
working conditions or work processes in use at the establishment
pose an explosion hazard.

Small Businesses in Non-High-Hazard Industries. Fifth priority must be given to
small businesses that are not in a high-hazard industry, or that have lower
workplace incidence rates.
31

IV.

Mid-Size Businesses (including franchise operations). Sixth priority must be
given to mid-size businesses (including franchise operations) that employ 250 or
fewer employees at the establishment but more than 500 employees
corporation-wide.

Large-Size Businesses. The lowest priority must be given to businesses that
employ more than 250 employees at the establishment. Consultation services to
businesses in this size range will often be limited in scope but are allowed as
resources permit.

Managing Consultation Requests.
A.

Requests for Consultation Visits. The CPM must ensure that the following
criteria are met before providing consultation services:
1.

No on-site consultation service may be provided in the absence of a
request by the employer.

A request for on-site consultation services must always include a request
for a hazard assessment, unless an OSHA or State Plan enforcement
inspection or private consultant’s hazard assessment, in the past twelve
(12) months, provides an adequate foundation for conducting a
consultation visit.

If an employer requests a consultation visit for more than one
establishment under its control, each establishment must be addressed
as a distinct request.

Employers who cannot be promptly scheduled for a consultation visit
because of low scheduling priority or other program considerations must
be informed of their statutory responsibility to maintain a safe and
healthful workplace. See Sample Letter in Appendix A.

Construction Worksites.
a.

While assistance with safety and health programs may be
provided to subcontractors away from the worksite (i.e., off-site
assistance), a subcontractor’s request for on-site consultation
services may be accepted only with the approval of the general
contractor or the controlling employer at the worksite.
Additionally, the requesting subcontractor must be made aware
32

of the requirement to post the List of Hazards at the worksite (see
subparagraph II.K above).
b.

When a subcontractor requests a consultation visit, the general
contractor or controlling employer must accept responsibility for
ensuring the correction of all serious and imminent danger
hazards identified during the course of the consultation visit. This
responsibility includes hazards that were not created by the
general contractor and those that might not be under the
requesting subcontractor's control.

If a company's headquarters is in another state, CPMs may need
to cooperate across state lines.

The same scheduling priorities must be applied to requests from
construction worksites as for other employers requesting
consultative assistance.

Multi-Employer Consultation Visits.
a.

If a consultation visit on a multi-employer worksite is conducted
at the request of a general contractor or an employer who has
oversight or control over other employers at that worksite, it will
be counted only once. The general contractor must make the
subcontractors at the worksite aware that a consultation visit was
requested, and encourage the subcontractors to participate.
However, the general contractor who requested the consultation
visit has the responsibility to ensure all identified serious hazards
and any imminent danger hazard are corrected.

If individual employers request separate consultation visits to be
conducted with the consent of the general contractor, these may
be coded separately. These separate consultation visits will
require that the correct procedures, including opening and closing
conferences, a Written Report to the Employer, and other
required elements of a consultation visit as outlined elsewhere in
this Instruction are followed for each employer requesting a
consultation visit.

When consultation visits are conducted for multiple employers at
the same construction worksite, these requests can be
associated/linked in OIS.
33

Responding to Requests for Consultation Services. When responding to
requests for information or consultation visits from employers, consultation
personnel taking the request must first explain to the employer the information
outlined in Section II of this Chapter, "Communicating Program Information,
Employer Obligations and Rights." Additionally, consultation personnel will
complete the OSHA Consultation Request Activity in OIS.

Entering Employers’ Requests in OIS. Employers’ requests for consultation
services expire one year from the finalization date of the request in OIS. The
expiration date may be adjusted to another date for valid reasons by the CPM.
The reason for the adjustment must be entered in OIS.

Withdrawing Employers’ Requests in OIS. If an employer’s request for
consultation services is to be withdrawn, OIS will allow withdrawing the request,
if there are no consultation visits associated with it, or any associated
consultation visits are deleted. OIS will permit deleting a consultation visit if an
opening conference date is not associated with it.

Determining the Type of Consultation Visit. The CPM must determine the type
of consultation visit requested by the employer based on the following criteria:

A consultation
visit is:
Initial

Training and
Education

If its purpose is:
To provide a hazard assessment of a workplace. An initial consultation
visit is conducted by a consultant(s) for the safety and/or health
discipline. An initial consultation visit must consist of an on-site opening
conference, an examination of relevant aspects of the safety and health
program relating to the scope of the consultation visit, a walkthrough of
the workplace, and an on-site closing conference.
To provide training and education to employers and their employees in
safety and health programs and/or hazard identification and correction.
See Chapter 5 for additional information.

A consultation
visit is:
Follow-up

If its purpose is:
To verify the correction of previously identified hazards; assist the
employer with activities relating to the development, implementation
or improvement of a safety and health program; conduct follow-up
industrial hygiene sampling for health hazards that were evaluated
during an initial consultation visit; and if an employer is pursuing
approval to participate in SHARP or has an approved Action Plan for PreSHARP participation, consultants may conduct follow-up consultation
visits to verify the employer’s progress in meeting program
requirements and provide assistance.
Consultants are required to address new hazards observed during a
follow-up consultation visit (see Chapter 4, Section IV.A.2.c. for
additional information).
The CPM shall prioritize the performance of initial consultation visits, to
identify hazards and maximize the number of employees removed from
risk. To support this priority, follow-up consultation visits should
generally be no more than fifteen (15) percent of the Consultation
program’s total number of consultation visits.

Determining the Scope of the Consultation Visit. The CPM must determine the
scope of the consultation visit based on the employer's request (see Chapter 4,
Section III.B.5 for additional information). If the employer requests a limitedservice consultation visit, the Consultation program should strongly recommend
the benefits of a full-service consultation visit, covering both safety and health
disciplines, at the time of the request. Additionally, consultation personnel must
encourage employers to request a complete safety and health program review,
to assess and rate all 58 attributes of Form 33.

If the employer requests:
A complete safety and/or health hazard assessment of all
working conditions, equipment, processes and OSHA or State
Plan mandated programs, at all locations of the establishment
(wall to wall hazard assessment). Examples of OSHA or State
Plan mandated programs are the Hazard Communication
Program, Hearing Conservation Program, and Confined Space
Program.

Then the scope of the
consultation visit is:
Full-service:
• Full-service safety,
• Full-service health, or
•

Full-service both
(safety and health)

If the employer requests:
A less complete safety and/or health hazard assessment than
that provided by a full-service consultation visit. For instance, a
focused assessment of a particular work process; OSHA or State
Plan mandated program such as a Hearing Conservation
Program; limited location within the establishment; specific
hazard or type of hazard; or a focused assessment that is
conducted of some aspects of one discipline (i.e., safety or
health) or some aspects of both disciplines at an establishment.

Then the scope of the
consultation visit is:
Limited-service:
• Limited-service
safety,
• Limited-service
health, or
• Limited-service both
(safety and health)

Conducting Multiple Initial Consultation Visits in a Single 12-Month Period.
OSHA's current policy permits two initial consultation visits at a specific
establishment within a 12-month period. As noted previously, if the employer
requests a limited-service consultation visit, the Consultation program should
strongly recommend the benefits of a full-service consultation visit, covering
both safety and health, at the time of the request.
However, at the request of the Consultation program, the Regional
Administrator (RA) or State Designee may allow for additional limited-service
safety and/or health initial consultation visits within a 12-month period when
circumstances merit this assistance.
Examples of when exceptions may be appropriate:

General Industry
The CPM becomes aware of emerging hazardous situations
affecting a specific industry or work practice; extraordinary
safety and health issues are identified at the establishment;
and/or the employer requests sampling for health hazards that
were not evaluated during a previous initial consultation visit.
The consultant learns of non-routine, intermittent, high-hazard
processes and operations, or seasonal work practices that are
scheduled to be performed at a later date.

Example(s)
New chemical process,
new manufacturing
process, equipment not
present during the first
assessment.
Shutdown processes,
batch processing, special
order requests.

Construction Industry
The establishment has progressed to a new phase of
construction – (different from the construction phase during
the original initial consultation visit) which introduces
significantly different hazards; and/or the employer requests
sampling for health hazards that were not evaluated during a
previous initial consultation visit.
New equipment or tasks at the establishment introduce the
potential for an imminent danger or serious hazard to
employees.
1.

Example(s)
Earth work, foundation,
structural, rough-in,
utilities, or
interior/exterior finish,
new chemical process, etc.
Cranes, scaffolding,
trenches, etc.

Regional Administrator or State Designee Considerations.
a.

Exceptions to the policy of a maximum of two initial consultation
visits at a specific establishment within a 12-month period, must
address serious or imminent danger hazards. Review and/or
approval of such exceptions must be assessed on a case-by case
basis. RAs or State Designees may also review these requests
quarterly. CPMs who seek approval for an exception must
consider their current backlog and whether the employer
requesting assistance is conducting high-hazard activities.

The RA or State Designee will notify the CPM of the decision in a
timely manner.

Program Requirements Upon RA or State Designee Approval. CPMs will
use the same request number but use a new visit number in OIS.
Documentation of the justification for performing an additional initial
consultation visit, and the RA or State Designee approval must be added
to the employer's case file. See Appendix H, Consultation Visit Case File
Organization, for details regarding the structure and content of
consultation visit case files.

Determining Site-Specific Sensitive Issues. The CPM must evaluate the sitespecific information in the OIS Consultation Request Activity and determine any
special circumstances that the consultant must prepare for before entering the
establishment, including:
1.

Establishment’s Rules and Practices. The consultant must observe all
appropriate safety and health rules and practices put in place by the
employer, including requirements for safety clothing and other PPE.
37

Immunizations or Other Special Entrance Requirements. Immunizations
and other special entrance requirements must be observed. The CPM
must ensure that the consultant has the proper immunizations in such
situations.

Personal Security Clearance. Where personal security clearances are
required, the CPM must assign a consultant who has the proper
clearances or ensure that appropriate clearances are secured prior to the
consultation visit.

Trade Secrets and Classified Information. Any trade secret or classified
information and/or personal knowledge of such information by state personnel
must be handled in accordance with 29 CFR 1908.6(h). A trade secret, as
referenced in Section 15 of the OSH Act, includes information concerning or
related to processes, operations, style of work, or apparatus, or to the identity,
confidential statistical data, amount or source of any income, profits, losses, or
expenditures of any person, firm, partnership, corporation, or association. See
18 USC 1905. It is essential to the effective enforcement of the Act that
Consultation program personnel preserve the confidentiality of all information
and investigations which might reveal a trade secret.
1.

Restriction and Controls. When the employer identifies an operation or
condition as a trade secret, it shall be treated as such. Information
obtained in such areas, including all photographs, videotapes, and OSHA
documentation forms, shall be labeled:
"ADMINISTRATIVELY CONTROLLED INFORMATION"
"RESTRICTED TRADE INFORMATION"
a.

Under Section 15 of the OSH Act, all information reported to or
obtained by consultants in connection with the consultation visit
or other activity which contains or which might reveal a trade
secret shall be kept confidential. Such information shall not be
disclosed except to OSHA officials concerned with the
enforcement of the OSH Act or, when relevant, in any proceeding
under the OSH Act.

18 USC 1905 provides criminal penalties for federal employees
who disclose such information. These penalties include fines of
up to $1,000, imprisonment for up to one (1) year, and/or
removal from office or employment.
38

If the employer objects to the taking of photographs and/or
videotapes because trade secrets would or may be disclosed,
consultants should advise the employer of the protection against
such disclosure afforded by Section 15 of the OSH Act and 29 CFR
1903.9. If the employer still objects, consultants shall contact the
CPM.

Trade Secrets and Classification. Trade secrets shall not be labeled as
"Top Secret," "Secret," or "Confidential," nor shall these security
classification designations be used in conjunction with other words unless
the trade secrets are also classified by an agency of the U.S. Government
in the interest of national security.

Counting Consultation Visits. Initial consultation visits are to be counted within
OIS according to the number of consultants servicing a particular request for
consultative assistance.
1.

If a single consultant addresses both safety and health disciplines during
the initial consultation visit, it shall be entered into OIS as a single initial
“both” consultation visit.

If two consultants service a request, one of whom focuses on the safety
discipline and the other focuses on the health discipline, the consultation
visit shall be entered into OIS as two initial consultation visits.

Chapter 4
Consultation Visit-Related Requirements
I.

Preparation for a Consultation Visit. A consultation visit shall be made only after
appropriate preparation by the consultant. Before the consultation visit, the consultant
shall become familiar with as many factors concerning the establishment's operation as
possible. The consultant shall review all applicable codes and standards. In addition,
the Consultation Program Manager (CPM) shall ensure that all necessary technical and
personal protective equipment (PPE) is available and functioning properly (see 29 CFR
1908.6(a)).
A.

Research. Each consultant is to review and analyze the data collected from the
employer in the Occupational Safety and Health Administration (OSHA)
Information System (OIS), Consultation Request Activity Report. Prior to the
consultation visit, the consultant will identify and review the following
information:
1.

Case File(s). The consultant is to evaluate all available data for the
establishment, including:
a.
b.
c.
d.
e.

Case files of previous consultation visits at the establishment (if
applicable);
OSHA or State Plan inspection history for the establishment, by
conducting an Establishment Search on OSHA's public webpage or
State Plan equivalent source of information;
Typical hazards associated with the North American Industry
Classification System (NAICS) code for the establishment;
Hazardous chemicals and their quantities at the establishment;
and
Current and previous three (3) years’ injury and illness rates for
the establishment (or the rates for the period that the
establishment has been in operation, if less than 3 years), Log and
Summary of Work-Related Injuries and Illnesses (OSHA Forms 300
and 300A), and the Bureau of Labor Statistics (BLS) injury and
illness rates for the establishment’s NAICS code.

References. Technical reference materials about potential hazards and
industrial processes that may be encountered at the establishment, and
any relevant standards.
40

Sampling Methods. Appropriate sampling methods based on technical
sources (see subparagraph I.B.2 below), information from prior
consultation visits at the establishment in the OIS Consultation Request
Activity Report (if applicable), and any prior enforcement inspection
activity.

Severe Violator Enforcement Program (SVEP). The consultant will ask the
employer if the specific establishment (or location) is in the OSHA or
State Plan SVEP list or check the establishment’s status as part of the
research that is done prior to conducting a consultation visit. If the
consultant finds that the establishment is on the SVEP list, then in OIS at
the Request and Visit Level Emphasis tab, the consultant must select the
SVEP code from the National Emphasis Program drop down menu. See
Chapter 7, section V.D for additional information.

Hazard Assessment Materials and Equipment. The CPM is responsible for
ensuring that all materials and equipment required for an on-site hazard
assessment are available in good working condition to the consultant. The
consultant, however, is responsible for taking and using the equipment needed
for the consultation visit.
1.

Forms and Handouts. The consultant shall assemble all reports, forms,
and other materials in sufficient quantity to conduct the on-site hazard
assessment.

Sampling Equipment. The consultant shall select the necessary
equipment and use standard sampling and calibration methods outlined
in the OSHA Technical Manual, OSHA Directives, Wisconsin Occupational
Health Laboratory (WOHL) sampling guide, guides from State Plan
laboratories, manufacturer's recommendations, or other standard
calibration procedures and practices. All sampling equipment shall be
serviced and calibrated per the servicing guidelines of the Cincinnati
Technical Center and/or the recommendations of the manufacturer.

Consultant Safety and Health Considerations. All necessary PPE must be
made available to the consultant by the CPM. The consultant must use
the required PPE during a consultation visit. The CPM must ensure that
PPE is maintained in good working condition and that the consultant is
trained on the proper use and limitations. This requirement includes a
pre- consultation visit hazard review with the consultant, and the use of
appropriate control strategies to reduce exposure to anticipated hazards
in the workplace.
41

II.

Consultation Visit Confirmation. At the time of the employer’s request for a
consultation visit, the Consultation program must ask the employer whether any
OSHA or State Plan enforcement activity is “in-progress.” This includes whether
the employer has denied entry for OSHA or State Plan enforcement activity. If a
consultation visit is scheduled thirty (30) working days or more after the request
date, the requesting employer shall be contacted within five (5) working days of
the scheduled consultation visit to confirm the date. When confirming the
scheduled consultation visit, the Consultation program must again inquire about
any enforcement activity at the establishment. See Chapter 7, Section II.B for
additional information.

Deleting Consultation Visits. If a consultation visit needs to be deleted, OIS will
permit deleting it as long as an opening conference date is not associated with it.

The Safety and Health Program Assessment Worksheet (OSHA Form 33). OSHA
developed Form 33 as a tool to be used by all consultants nationwide.
A.

Definition. Form 33 is an evaluation tool developed by OSHA to assess
employers’ safety and health programs. Form 33 is used to assess the status of
an employer's existing safety and health program, identify any deficiencies and
adequacies, and provide recommendations for corrective actions or continuous
improvement. Additionally, Form 33 data can be used to provide information to
an employer on how the safety and health program at its establishment
compares to other establishments within the same industry.
Form 33 consists of 58 attributes (i.e., safety and health program characteristics
or assessment criteria) used to evaluate an establishment’s safety and health
program. The 58 attributes are distributed within the seven safety and health
program elements of Form 33 (i.e., Hazard Anticipation and Detection; Hazard
Prevention and Control; Planning and Evaluation; Administration and
Supervision; Safety and Health Training; Management Leadership; and Employee
Participation). Form 33 is located in Appendix J of this Instruction.

Form 33 Usage.
1.

Form 33 must be used by all 21(d) Consultation programs to conduct
safety and health program evaluations. States operating private sector
consultation under a 23(g) State Plan may use Form 33 after consultants
have taken the training offered by the OSHA Training Institute.

No attribute described in Form 33 may be modified or deleted.
42

Consultants may only use Form 33 to score (or rate) attributes when they
collect sufficient information or data from the workplace assessment to
do so (e.g., observations of physical conditions; industrial hygiene
surveys; potential safety or health hazards; observable behavior;
interviews of employees, supervisors, and managers; review of relevant
documents). For each attribute assessed, consultants must complete the
comments section of Form 33 by adding a summary of findings (i.e.,
adequacies and deficiencies) and recommendations for the employer.
The recommendations must be based on the findings (e.g., how to
correct identified deficiencies or continuous improvement measures).

Use of Form 33 is not required for consultation visits to construction
sites, but it must be used when conducting consultation visits to a
construction company’s headquarters or base location.

Form 33 Training.
1.

Consultants will not use Form 33 to assess employers safety and health
programs and incorporate their findings and recommendations in OIS
until after they have received formal training (i.e., OSHA 1500 Course,
Introduction to On-Site Consultation).

The application of Form 33 to assess safety and health programs requires
specialized knowledge on how to use the worksheet, including the
characteristics of attributes, the safety and health program elements the
attributes represent, the scoring (or rating) mechanism, and how to
evaluate attributes at establishments.

The accumulated data collected on all Form 33 worksheets by trained
and proficient consultants are used to advise employers and develop
OSHA policies. It is therefore imperative that the data collected in each
worksheet accurately reflects an employer's safety and health profile.

Form 33 Completion. Consultants must communicate the method of assessing a
safety and health program and the benefits to employers and employees, at the
time of the request for consultation services and during a consultation visit.
Consultants must encourage employers to request a complete safety and health
program review.
The following criteria must be followed when using Form 33:
43

All Industries (except the construction industry).

If:

Then:

(In these instances, the Consultation program will
select “program assistance” in OIS at the Request
Level, to indicate the employer requested a
Complete Safety and Health Program Review.)

The employer requests to participate
in SHARP or Pre-SHARP.

The employer requests a complete
review of its safety and health
program.
The employer does not request a
complete review of its safety and
health program.

The consultant must assess and score all 58
attributes of Form 33.

If the consultant obtains sufficient safety and
health information within the scope of the
consultation visit to assess and score attributes,
that portion of the worksheet should be
completed. See subparagraph II.G below for
additional information.
The consultant should encourage the employer to
develop a safety and health program to protect
employees.

Construction Industry. The completion of Form 33 for establishments in
the construction industry depends on whether the site is a business’s
headquarters or base or a construction site:
a.

If a construction company’s headquarters or base is being
evaluated, follow the same criteria in Section II.D.1 above for
Form 33 usage.

If a construction site is being evaluated, Form 33 is not required,
but the worksheet can be used as an evaluative tool, following the
same criteria in Section II.D.1 above.

Form 33 Comments. Completion of the comments section of Form 33 with
findings and recommendations is required for each attribute assessed (see
subparagraph II.B.3 above). Consultants use the comments section to provide a
rationale for the score (or rating) assigned to attributes by giving employers a
summary of their findings and recommendations for correcting deficiencies or
44

for continuous improvement. Comments also provide employers with
information that they can use to guide which area(s) to prioritize for action to
improve the overall safety and health profile of their establishments.
F.

Description of Scores. The scoring (or rating) method is based on the data
collected by the consultant and is described during training. Only those
attributes for which sufficient data has been collected during a consultation visit
may be scored. A summary of the descriptions of attribute scores follows:
1.

Zero means that no safety or health procedures/policies are present
related to the attribute. (No Activity).

One means that some safety or health procedures/policies are present
although major improvements are needed. (Little Activity).

Two means that considerable safety or health procedures/policies are
present with only minor improvements needed. (Most Activity
Completed).

Three means that no additional safety or health procedures/policies are
needed at this time. (No Additional Activity Needed).

Not evaluated (N/E) is the default value and means no information (or
not enough information) was collected to define a particular attribute.
When this is the case, no score can be determined, and the score remains
at the default value.

Consultants and CPMs should be aware that the data or information collected in
Form 33 in OIS is used to describe national norms for industries and affects
national policy decisions made by OSHA. Consequently, only factually based
scores (i.e., using sufficient data collected from workplace assessments) shall be
recorded/entered into Form 33 in OIS (see subparagraph II.B.3 above).
Consultants must not “guess” scores. Attributes must be scored using the
descriptions outlined above.
G.

Attributes to Score. It is critical for consultants to encourage employers to
request a complete safety and health program review and collect data on all
aspects of an employer's safety and health program whenever feasible.
1.

A complete safety and health program review must be conducted for
SHARP or Pre-SHARP assessments or if requested by the employer (all 58
attributes of Form 33 must be assessed and scored (or rated)).
45

For all other instances that do not involve a complete safety and health
program review, consultants are not limited to assess and score specific
attributes of Form 33. Therefore, they can score any attribute for which
they collect sufficient data. Basing attribute scores on the collection of
sufficient data during workplace assessments will facilitate providing
employers with relevant information to improve workplace safety and
health.

Consultants should obtain sufficient information to properly assess and
score a broad distribution of attributes and avoid the repetitive scoring of
the same attributes during every consultation visit. However, the CPM
may identify specific attributes for which sufficient information must
always be collected to assess and score.

Although there is no nationwide policy concerning the minimum number
of attributes to score on any single consultation visit, when the employer
does not request a complete safety and health program review or to
participate in SHARP/Pre-SHARP, Consultation programs may provide
additional guidance. For example, the CPM may identify a specific
number of attributes for which sufficient information must always be
collected to assess and score (see section II.B.3 above). A highperforming Consultation program will collect sufficient information to
assess and score an average of 8-12 attributes per consultation visit.

Documenting Safety and Health Program Assessment in OIS. Consultants will
document the evaluation of an employer’s safety and health program in
Appendix J (OSHA Form 33) of the Written Report, in OIS. Consultants will also
utilize the “Evaluation of Safety and Health Program” section of the Written
Report to the Employer to summarize or provide additional information about
the employer’s overall safety and health program (see Chapter 6, Section I.C.4
for additional information).
The information below provides detailed guidance for completing Form 33 in
OIS:
1.

When an employer requests for both safety and health consultation visits
with a complete safety and health program review and consultants of
different disciplines conduct an initial consultation visit to the same
establishment within 90 days of each other, a single Form 33,
representing the mutually agreed upon scores of both consultants, must
be sent to the employer. The consultant who completes the first “final”
46

consultation visit will fill out the Form 33 in OIS, incorporate findings and
recommendations for each attribute assessed in the comments section of
the worksheet, assign scores, and save it. The first consultant will
indicate in the Written Report to the Employer that a Form 33 is pending,
but will be submitted by the second consultant. The second consultant
(of the other discipline) will incorporate their additional findings and
recommendations for each attribute assessed in the comments section of
the Form 33, save the worksheet, and include it in the Written Report.
Both consultants may submit one Written Report with the completed
Form 33 for both safety and health consultation visits, if within 20 federal
working days after the closing conference for the first consultation visit,
when feasible (see section III.D).

III.

In the event there are different scores proposed by each consultant for
the same attribute, both consultants will discuss any inconsistencies,
mutually agree upon an appropriate score that reflects their combined
findings and recommendations, enter the score into Form 33, and submit
the Form 33 to the employer.

An employer may request a consultation visit in one discipline (i.e., safety
or health), with a complete safety and health program review, and later
request a second consultation visit in another discipline with a complete
safety and health program review. If the second consultant’s
consultation visit takes place more than 90 days after the first
consultant’s consultation visit, the second consultant will not be able to
incorporate findings and recommendations into the initial Form 33 in OIS.
A separate Form 33 must be completed with the second consultant’s
findings and recommendations.

Required Structure of a Consultation Visit. The consultation visit must proceed
according to the following sequence:
A.

Entry to the Workplace. Upon arrival at the establishment, the consultant must
introduce himself or herself and produce official state identification, which, at a
minimum, identifies the consultant's name, employer, and place of employment.

Opening Conference. The opening conference is necessary to establish a clear
understanding of the purpose of the consultation visit and its procedures.
1.

General Information.

The first phase of the consultation visit is the opening conference
with the employer or an authorized employer's representative.
The consultant must verify that the employer or a representative
has the authority to make safety and health decisions and is
authorized to implement necessary changes.

The opening conference provides an opportunity to gain the
employer's trust, allows the consultant to confirm the scope of
the request, inquire again from the employer about any
enforcement activity at the establishment, and review with the
employer the terms of the consultation visit.
If a consultation visit is limited in scope (i.e., limited-service), the
consultant must inform the employer that if a serious or imminent
danger hazard outside the agreed upon scope of the consultation
visit is identified in plain sight during the walkthrough, the
employer will also be responsible for correcting the hazard, and is
subject to referral to enforcement for failure to do so (see
Chapter 7, Section IV for additional information).

At the opening conference, the consultant shall explain the
necessity for employee participation during the walkthrough to
the employer and the employer must agree to permit such
contact in order for the consultation visit to proceed (see 29 CFR
1908.6(c)(1)).

The opening conference shall also be an opportunity for the
consultant to gather additional information about the hazards in
the workplace and the necessary PPE to protect the consultant
during the consultation visit.

Introductions. The consultant must identify himself or herself and any
other Consultation program personnel participating in the consultation
visit. The employer, other company representatives, and employees or
employee representative(s) must be identified and their names, titles,
and contact information recorded in the case file notes.

Employee Participation. Employee participation is required during all
consultation visits.
a.

The consultant shall retain the right to confer with individual
employees during the course of the consultation visit in order to
48

identify and judge the nature and extent of particular hazards
within the scope of the employer's request, and to evaluate the
employer's safety and health program (see 29 CFR 1908.6(c)(1)).
Consultants must inform employers that employees have the right
to raise safety concerns without retaliation per section 11(c) of
the OSH Act, which prohibits any person from discharging or in
any manner retaliating or discriminating against any employee for
exercising rights under the Act.
b.

Conferring with employees is an important tool for adequately
assessing hazards and the safety and health program at an
establishment. Therefore, the consultant must interview a
representative number of randomly selected employees at
different times during the consultation visit (e.g., opening
conference, walkthrough, training, closing conference).
Determining a representative number of employees to confer
with is dependent on multiple factors including, but not limited to
the following:
i.

the scope of the employer’s request for the consultation
visit;

ii.

observations made during the walkthrough;

iii.

the nature of the business and the complexity of the
operations or processes;

iv.

the number of employees at the workplace;

the number of work shifts;

vi.

the most hazardous areas of the workplace; and

vii.

the types of employee positions such as:
a.

Frontline Employees. Consultants will interview
employees involved in the actual processes or
production tasks at the workplace to properly
assess hazards and verify aspects of the safety and
health program (when conducting safety and
health program evaluations). Discussions may take
49

place at employees’ workstations if it does not
create a hazard or at another location in the
workplace.
Employee interviews should include questions
about training; documented/prescribed work
procedures versus actual work practices; and
hazards to which employees may be exposed in the
workplace, their knowledge of how to protect
themselves from those hazards, including, how to
properly use and maintain any required PPE.

Maintenance Employees. Interviews of
maintenance employees may include questions
about work practices and procedures, level of
adherence to the maintenance schedule (if any),
responsiveness to conducting repairs (e.g.,
availability of funds, timeliness of repairs), and
incidents involving equipment failure (if any).

Recordkeepers. The employee responsible for
keeping injury and illness records should be
interviewed; ideally, to ask follow-up questions
after the consultant has reviewed the records.
Questions may be used to assess the
recordkeeper’s understanding of the applicable
injury and illness standards and the correct
interpretation of the requirements, and to clarify
entries in the records.

In addition to employee participation described in subparagraphs
III.B.3.a&b above, requirements for the participation of employee
representatives vary according to whether the establishment has
a recognized employee representative, as explained in the table
below (see 29 CFR 1908.6(c)(2)(i)&(ii)).

If:
The establishment has a recognized
employee representative

Then:

An employee representative of affected employees must
be afforded an opportunity to participate in the opening
and closing conferences and to accompany the consultant
and the employer/employer's representative during the
physical inspection (i.e., walkthrough or hazard
assessment) of the workplace.
In the interest of time and clarity, the consultant is to
encourage joint opening and closing conferences. If there
is an objection to joint conferences, the consultant must
conduct separate conferences with the employer and the
employee representative.
The consultant may permit additional employees (such as
representatives of a joint safety and health committee, if
one exists at the establishment) to participate in the
walkthrough, where the consultant determines that such
additional representatives will further aid the
consultation visit (see 29 CFR 1908.6(c)(2)(i)).

The establishment has no recognized
employee representative

The consultant may confer privately with the employee
representative(s).
The consultant must confer with a reasonable number of
employees during the course of the consultation visit
concerning matters of occupational safety and health (see 29
CFR 1908.6(c)(2)(ii)).

Management Interviews. In addition to interviewing other employees,
consultants will also interview managers and supervisors.
a.

Managers. The consultant will interview a representative number
of managers (i.e., managers responsible for different processes or
operations within the scope of the consultation visit); for
example, to determine their effectiveness in overseeing any
assigned safety and health responsibilities. When evaluating the
safety and health program, interviews of managers are essential
to assess the depth of management leadership in the safety and
health program (e.g., management participation and
commitment).
51

Supervisors. The consultant will interview a representative
number of supervisors (i.e., supervisors responsible for different
processes or operations within the scope of the consultation
visit). Interviews of supervisors should cover topics such as safety
and health requirements for the workplace, established work
practices and procedures, and employee training (relevant to the
scope of the consultation visit). When evaluating the safety and
health program, interviews of supervisors should cover topics
such as safety and health goals and objectives, incentive program
implementation, performance management, and disciplinary
actions.

Scope of Consultation Visits. The scope of the consultation visit must be
discussed with the employer and any employee representatives of
affected employees based on the type of consultation visit that the
employer has requested.
a.

On an initial consultation visit requesting limited-service, the
consultant should strongly recommend the benefits of a fullservice consultation visit.

If the scope of a consultation visit is limited-service, the
consultant is required to document hazards within the scope of
the employer’s request and any hazards outside the scope if
found in plain sight during the walkthrough. If the scope of the
consultation visit is modified (as agreed to by the employer), then
the consultant must re-evaluate the use of Form 33 based on the
criteria outlined in Section II of this Chapter.

The CPM must determine whether the employer requests a
complete safety and health program review. The CPM must
ensure adequate time is allocated for the consultation visit, to
assess and rate all 58 attributes of Form 33 when necessary to do
so as described in Section II.D of this Chapter.

Employer's Obligations and Rights. The consultant must discuss the
employer’s obligations and rights as outlined in Chapter 3, Section II,
which the employer must agree to in order for the consultation visit to
continue.

Evaluating Employer's Injury and Illness Rates. If the employer did not
provide the Log and Summary of Work-Related Injuries and Illnesses (i.e.,
52

OSHA Forms 300 and 300A) before the consultation visit, the consultant
must review them at the opening conference and determine the
employer's injury and illness rates. The consultant must review the
employer's current and previous three (3) years’ OSHA Forms 300 and
300A (or review the logs for the period that the establishment has been
in operation, if less than 3 years). The consultant must calculate the
injury and illness rates, compare them to the BLS rates for the employer's
NAICS code, and inform the employer of the results. Consultants will also
assess rates for employers that fall below the threshold for keeping injury
and illness records and/or are in an industry exempt from keeping these
logs. In these cases, the consultant must make an effort to determine the
previous years' injury and illness rates using available employer
information and data, and record the data in OIS. Consultants shall
encourage employers that are not required to maintain OSHA Forms 300
and 300A to use these logs as tools for evaluating their safety and health
programs.
C.

Walkthrough of the Workplace. This phase of the consultation visit allows the
consultant to become familiar with the establishment. If a hazard is identified
(even if employee exposure is not observed), the consultant must document the
hazard and the corrective action required by the employer. During the
walkthrough of the workplace, the consultant must conduct the following
activities:
1.

Hazard Assessment. The consultant must inform the employer and the
employee representative of all identified hazards at the time they are
recorded. If an imminent danger hazard exists, exposed employees must
be informed, and the employer must remove them from exposure
immediately, pending correction of the hazard (see 29 CFR 1908.6(f)(1)).
If the employer refuses to immediately eliminate employees’ exposure to
an imminent danger hazard, the consultant must promptly terminate the
consultation visit and notify the CPM for referral to enforcement (see
Chapter 7, Section IV).

Documentation of Identified Hazards. The consultant must record all
facts pertinent to identified hazards in field notes to be included in the
case file. All field notes, observations, analyses, written documentation,
videotapes, photographs, sketches, and hazard descriptions are part of
the hazard assessment record and must be retained in the case file. The
consultant must document as much information as necessary to establish
the specific characteristics of each identified hazard. If the employer or
the employer's representative corrects the hazard "on the spot," the
53

consultant must document the hazard and the correction method in the
field notes and in OIS (i.e., Hazard Detail tab). Consultants are required
to include a narrative and/or picture(s) to support the verification of
hazard correction.

Recommendation of Interim Protection. The consultant must indicate in
the case file notes the nature of recommended interim protection
measures (see 29 CFR 1908.6(e)(8); subparagraph III.D.3 below) and the
dates they are expected to be replaced with the hazard correction
measures. Extensions to the hazard correction due dates must also be
documented in the case file and recorded in OIS.

Referrals for Technical Assistance. A consultant must promptly refer a
hazard identified outside his/her scope of expertise to another consultant
with that specific expertise. The consultant will inform the employer that
guidance will be provided after obtaining technical assistance. In the
interim, the employer must prevent employees from being exposed to
the hazard.

Closing Conference. Closing conferences must be conducted on-site with an
employer and employee representatives, jointly or separately, at the conclusion
of the initial consultation visit. Consultants must not delay conducting the
closing conference for any reason, such as to afford more time to complete the
Written Report, or wait for industrial hygiene sampling results. The date of the
closing conference must be entered into OIS.
At the closing conference, the consultant must discuss the following:
1.

Hazard Identification and Correction.
a.

The consultant must discuss the classification of all identified
hazards and possible methods of correction for all serious and
imminent danger hazards. The employer shall immediately
eliminate employees’ exposure to an imminent danger hazard
(see 29 CFR 1908.6(f)(1)), otherwise, the consultant shall promptly
notify the CPM for referral to enforcement (see Chapter 7, Section
IV).

The employer must start correcting hazards immediately and
must not wait to receive the Written Report to the Employer
before taking corrective action(s). The employer must send the
54

verification of hazard correction to the CPM by the mutually
agreed upon hazard correction due date(s).
c.

The employer must prominently post the unedited List of Hazards
(the original/modified list or the list generated following an
extension of the hazard correction due date(s)) upon receipt, in a
location where it can be readily observed by all affected
employees for a minimum of three (3) working days or until the
hazards are corrected, whichever is later. See Chapter 3, Section
II.K for additional information.

Consultants must remind employers that they may be cited for
any other-than-serious hazard and/or regulatory violation
identified during an OSHA or State Plan enforcement inspection.

Consultants must inform employers requesting to participate in
SHARP or Pre-SHARP that in addition to correcting all serious and
imminent danger hazards, they must also correct other-thanserious hazards and regulatory violations.

Refer to the OSHA Field Operations Manual (FOM), CPL 02-00-164, for
details regarding the classification of hazards.
2.

Hazard Correction Due Dates. The hazard correction due dates must be
discussed with the employer and mutually agreed upon during the
closing conference.
a.

The hazard correction due dates must be the shortest reasonable
period of time within which an employer can be expected to
correct a hazard.

Any dispute regarding a hazard correction due date needs to be
directed to the CPM for resolution.

The consultant must inform the employer that all serious and
imminent danger hazards must be corrected in accordance with
the mutually agreed upon hazard correction due dates or any
extensions. Failure to do so will result in referral to OSHA or State
Plan enforcement (see Chapter 7, Section IV).

Factors such as the potential risk posed by the hazard (i.e., the
probability of the hazard resulting in an incident and the potential
55

severity if an incident were to occur), availability and
effectiveness of interim protection measures, and an employer's
economic and work capability should be considered in
determining hazard correction due dates.
3.

Interim Protection. When a serious hazard(s) is identified and it is not
immediately corrected in the presence of the consultant, the employer
must provide effective interim protection measures for affected
employees at the establishment while the identified hazard(s) is being
corrected (see 29 CFR 1908.6(e)(8)). However, in instances in which only
a final resolution is appropriate, the removal of employees from
exposure to hazards will be considered an interim protection measure.
The consultant shall review and discuss the interim protection measures
with the employer during the closing conference to ensure that they are
feasible and will be effective in preventing employees from being
exposed to a hazard(s). The consultant must enter the interim protection
information into OIS using the Hazard Detail tab. The selection of interim
protection measures will be based on the following:

Interim protection must be selected according to a hierarchy of
controls that emphasizes engineering solutions first, if feasible,
followed by safe work practices, administrative controls, and
finally PPE.

Controls that may directly or indirectly introduce new hazards
must be avoided. Examples include exhausting contaminated air
into occupied work spaces or using hearing protection that makes
it difficult to hear backup alarms.

A combination of control options must be used when no single
method will fully protect employees.

Protection Plan of Action. In circumstances where a consultant
determines that an identified serious or imminent danger hazard(s)
requires a complex hazard correction solution(s) that may take more than
90 calendar days to implement, the Consultation program must require
the employer to submit a Protection Plan of Action. The consultant will
discuss the Protection Plan of Action with the employer during the
closing conference.

Circumstances that may require a Protection Plan of Action may
include, but are not limited to (1) extensive redesign
requirements, such as the installation of a ventilation system; (2)
factors delaying correction that are beyond the employer's
control; (3) or both.

The date for submitting the Protection Plan of Action will be
established by the CPM. A separate plan must be submitted for
each identified hazard. The employer will provide written
periodic progress reports on the status of the hazard correction
process to the CPM. The frequency of the reports shall be
determined by the CPM, but shall not be less than quarterly. This
multi-step process for a Protection Plan of Action can be tracked
in OIS.

The plan, where appropriate, must, provide the following
information for each hazard:
i.

Identify the hazard, outline the anticipated long-term
hazard correction procedures – steps to be taken by the
employer to correct a hazard, and the dates of such
actions (i.e., milestones or schedule for hazard correction);
and

ii.

Include information regarding how affected employees
will be protected from the hazard or hazardous condition
in the interim, until hazard correction is completed.

Comments on the Safety and Health Program. The consultant must
discuss findings (i.e., adequacies and deficiencies) for the employer's
safety and health program, and recommendations to resolve any
deficiencies identified or for continuous improvement.

Additional Consultation Visits. The consultant will discuss with the
employer the extent to which additional consultation visits may be
needed (e.g., for training, verification of hazard correction, employee
exposure monitoring). It is important for Consultation programs to work
with employers to address emerging hazards and relevant emphasis
programs. This work may include the consultant following up with
additional consultation visits.

Training and/or Follow-up. The consultant will develop a schedule with
the employer for training and/or follow-up consultation visits, as needed.

Communicating Health Sampling Results. When a health consultation
visit that involves industrial hygiene sampling is conducted, the
consultant will send the employer a report of the sampling results as
described in Chapter 6, subparagraph I.C.6, with the Written Report, or
addendum with an updated List of Hazards (if applicable). The consultant
must contact the employer to explain the sampling results. When the
sampling results indicate an overexposure, the consultant must discuss
with the employer any additional hazards identified and develop hazard
correction measures, including hazard correction due dates. The
consultant will document the communication in the case file. See
Chapter 6, Section I.A for additional information.
The consultant may determine that it is necessary to conduct a follow-up
consultation visit for additional sampling to further assess the health
hazard, provide additional assistance with hazard correction measures,
and/or to verify the effective control of the health hazard.

Transmitting the List of Hazards. The CPM must forward a List of Hazards, as
part of the Written Report, to the employer and the employee representative no
later than 20 federal working days after the closing conference date of the onsite hazard assessment. If there is a delay in producing the Written Report, a List
of Hazards must be sent to the employer and employee representative
separately, within a reasonable period of time (not greater than 20 federal
working days) after the closing conference date of the on-site hazard
assessment.
Post Consultation Visit Hazard Correction and Verification.

IV.
A.

Verifying Hazard Correction. Following the consultation visit, the employer
must provide the CPM with the documentation of the action(s) taken to correct
serious and imminent danger hazards that were not verified as corrected on-site
during the consultation visit, by the mutually agreed upon hazard correction due
date(s). Employers requesting to participate in SHARP or Pre-SHARP must
provide the CPM with the documentation of the action(s) taken to correct
serious, imminent danger, and other-than-serious hazards, and regulatory
violations, that were not verified as corrected on-site during the consultation
visit, by the mutually agreed upon hazard correction due date(s).

Tracking Hazard Correction. CPMs will implement procedures to track
employers’ verification of the correction of serious and imminent danger
hazards identified in the List of Hazards, and in the Protection Plan of
Action (if applicable). This is to facilitate the timely verification of hazard
correction by employers.
Verification Methods. The following are the recognized hazard correction
verification methods:
a.

On-Site Verification. When a consultant witnesses the correction
of a hazard during the consultation visit, the hazard correction will
be documented accordingly in the Written Report to the
Employer, OIS, and the case file. Consultants are required to
include a narrative and/or picture(s) to support the verification of
hazard correction.

Off-Site Verification for Serious or Imminent Danger Hazards.
When the consultant is unable to verify the employer’s correction
of a serious or imminent danger hazard at an establishment,
before the conclusion of a consultation visit, the consultant must
inform the employer that a written verification of hazard
correction must be provided to the Consultation program.

The written verification may be either faxed or sent via
postal or electronic mail to the Consultation program (and
include the employer’s name and the name and address of
the business).

ii.

The written verification from the employer must include: a
certification of the date the hazard(s) was corrected, as
well as a description and/or picture (s) of the corrective
method used. The employer may also include copies of
receipts for purchased equipment or services and any
other proof of hazard correction.

Follow-up Consultation Visits. In addition to the above methods,
Consultation programs may at their discretion conduct a followup consultation visit to an establishment to verify the correction
of hazards identified in the List of Hazards.
Consultants who identify new serious or imminent danger hazards
during a follow-up consultation visit will record these new hazards
59

in OIS using the visit activity number under which the new hazards
were identified. These hazards will be reported in a new List of
Hazards and included in the follow-up report to the employer.
These new hazards will be tracked for correction in OIS and in the
case file.
See Chapter 3, Section IV.E for additional information on Followup Consultation Visits.
B.

Extending Hazard Correction Due Dates. An employer may request, and the
CPM may grant, an extension of the time frame established for the correction of
serious and imminent danger hazards identified in the List of Hazards. This
extension shall only be granted when the employer has met all of the following
criteria (see 29 CFR 1908.6(f)(3)): (1) demonstrated that a good faith effort has
been made to correct the hazard within the established time frame, (2) shown
evidence that hazard correction has not been completed because of factors
beyond the employer's reasonable control, and (3) shown evidence that the
employer is taking all available interim steps to protect affected employees from
the hazard during the hazard correction period. Extensions to hazard correction
due date(s) will be approved by the CPM for the shortest reasonable period of
time. The CPM must ensure that all extensions of hazard correction due dates
are documented promptly and accurately in OIS to maintain accurate records.
1.

Requests for extensions must:
a.

Be in writing. If the extension was initially requested by phone, a
confirmation of the request must be received either via fax, postal
or electronic mail.

Include all the steps taken by the employer to correct the hazard
and the dates of such actions.

Include the date that hazard correction will be completed.

State the specific reason(s) why the hazard(s) has not been
corrected.

Describe the interim protection measures implemented by the
employer to prevent employees from being exposed to the
hazard.

Whenever an extension to a hazard correction due date(s) is granted, a
new List of Hazards must be prepared by the Consultation program
indicating the hazards granted an extension and the revised hazard
correction due dates. Employers must prominently post the new List of
Hazards for a minimum of three (3) working days or until the hazards are
corrected, whichever is later. Previously corrected hazards do not have
to be included in the new list. See Chapter 3, Section K.
For any hazard correction due date, whether initial or extended, of more
than 90 calendar days, the Consultation program must require the
employer to submit a Protection Plan of Action for each serious or
imminent danger hazard (see section III.D.4 above).

Hazard Correction Details in OIS. The consultant must record hazard correction
details in OIS, including subsequent extensions to hazard correction due dates.
For hazards to be identified as corrected in the Mandated Activities Report for
Consultation (MARC), the Safety/Health Case Close Date must also be entered
into OIS.

Chapter 5
Training and Education Consultation Visits
I.

Training and Education Services/Consultation Visits. Training and Education services
provide employers and their employees with Training and Education on safety and
health programs and/or hazard identification and correction. Training and Education
services may be provided during an initial consultation visit. Training and Education
services may also be provided if any of the following occurred within the past twelve
(12) months: the completion of a hazard assessment, such as an initial consultation visit;
an OSHA or State Plan enforcement inspection; or a private consultant’s hazard
assessment. The hazard assessment must provide adequate foundation for conducting
Training and Education services.
A.

Safety and Health Program Assistance. Employers may request additional
assistance with developing or improving a safety and health program during or
after the initial consultation visit. This assistance may be provided during a
Training and Education consultation visit, and must be documented by updating
the information in the Safety and Health Program Assessment Worksheet, OSHA
Form 33, in the OSHA Information System (OIS).

Training and Education. Consultants are to help employers determine their
training needs. Consultants may provide training on a variety of safety and
health topics; the development, implementation or improvement of a safety and
health program; the anticipation and identification/recognition of hazards; and
the control and/or elimination of hazards. This may include formal or informal
training, either during an initial consultation visit or a Training and Education
consultation visit.
1.

Formal Training. Formal training is typically conducted in a classroom or
another setting other than the floor of a workplace. This type of training
establishes a clear set of formal objectives for relaying training
information for a safety and health topic, including but not limited to
covering the main requirements of an OSHA standard, such as the Hazard
Communication Standard (HCS). Formal training can assist the employer
with meeting its training obligations, but ultimately, it is the responsibility
of the employer to ensure employees receive and understand all required
training, including training on site-specific hazards. Formal training
requires preparing a syllabus and training objectives beforehand, and the
use of an attendee roster. These must be maintained in the case file for
the consultation visit, to document the Formal Training. Formal training
may take place on-site or off-site:

On-site Training.
i.

If the on-site Training and Education consultation visit is
subsequent to a hazard assessment that was not
conducted by the Consultation program, the consultant
must have access to the hazard assessment report and be
able to confirm that any serious or imminent danger
hazards identified in the report were or are being
corrected. A copy of the hazard assessment report must
be included in the corresponding case file.
To enter into OIS a Training and Education consultation
visit, subsequent to a hazard assessment that was not
conducted by the Consultation program, the consultant
must indicate how the hazard assessment was conducted.
The consultant will select “Yes” in OIS for OSHA (or State
Plan) enforcement inspection conducted within the past
12 months, or a hazard assessment conducted by a third
party (i.e., private consultant) within the past 12 months.

ii.

If the on-site training is provided during a Training and
Education consultation visit, the consultant must also
conduct a brief walkthrough of the workplace to verify
hazard correction and review current conditions to
determine that no new hazardous conditions exist. If
additional serious or imminent danger hazards are noted
during the walkthrough, these hazards must be
documented in a corresponding initial consultation visit,
hazard correction due dates noted, entered into OIS, and
tracked to completion.

iii.

If an employer requests Formal Training for the same day
as an initial consultation visit, the Formal Training may be
counted as a separate Training and Education consultation
visit in limited situations where it is cost effective to do so.
In these instances, the consultant must be adequately
prepared to conduct the training. Additionally, a closing
conference for the initial consultation visit must be held
first, prior to conducting the training. The Consultation
program must send a separate letter to the employer
describing the training and retain all required

documentation in the case file see Section III of this
Chapter for additional information).
b.

Off-site Training. Off-site training is technical in nature and takes
place at a location other than the employer’s place of business. It
may be coded as either a Training and Education consultation visit
or a Compliance Assistance Activity, based on the following
criteria:
i.

If the off-site training is provided for employers that have
had an initial consultation visit, and is directly connected
to one or more hazards found during a consultation visit(s)
at their establishments, it is to be recorded in OIS as a
“Training and Education Visit.”

ii.

If the off-site training is not directly related to an
employer’s corresponding on-site consultation visit or the
employer has not had an initial consultation visit, it must
be recorded in OIS as a Compliance Assistance Activity. A
hazard assessment is not a prerequisite for providing this
consultation service.
Note: If off-site training is conducted for several
employers and is directly connected to a hazard found
during a consultation visit(s) at their establishments, it is
to be recorded in OIS as a Visit Activity for each employer
present.

II.

Informal Training. Informal training is performed without prior
preparation and is casual and incidental. The purpose of informal
training is to share information on hazard identification, evaluation, or
control, or impart knowledge to employees and employers. This typically
occurs on the floor of a workplace when hazards are identified or
questions are raised to the consultant. This training is not
comprehensive in nature, but clarifies the specific concerns raised by the
employer or employees during the consultation visit. Informal training is
most commonly performed during an initial consultation visit’s hazard
assessment. However, if this is performed during a Training and
Education consultation visit, this training must be entered in OIS as such.

Resources-Related Considerations.
A.

Economies of Scale. Off-site training leverages resources when one consultant
can address a common training need for multiple employers.
64

III.

IV.

Training Coordination. To avoid the duplication of effort and to ensure the most
efficient use of limited consultation resources, requests for off-site training must
be approved by the CPM, and should be coordinated with other employers who
are in need of similar or related training. Such assistance will be encouraged
when it is the best and most expedient response to the needs of the specific
employer and when it frees consultants to provide on-site assistance elsewhere.
More specifically, off-site training should be coordinated with the Regional
Administrator (RA) or State Designee, when appropriate, and provided where it
offers an effective and more efficient way to respond to the needs of a number
of high priority employers (e.g., high-hazard industries, high incident rates,
emphasis programs).

Over Reliance on Consultants by Employers. Consultants should always
encourage employers to develop their own training programs in order to reduce
reliance on consultants and to ensure that the training programs are readily
available for delivery to new employees and/or for annual employee refresher
training.

Training Documentation.
A.

During the Initial Consultation Visit. A description of the Training and Education
services provided during the initial consultation visit must be included in the
Written Report to the Employer. Training subjects must be entered into OIS
along with the number of employees trained for each subject.

Following the Initial Consultation Visit. Training and Education services
provided after the Written Report has been sent to the employer must be
followed up with a letter to the employer describing the training. A copy of the
letter, pre-approved syllabus, and roster of attendees must be placed in the case
file.

Training Log. All Training and Education services must be tracked by each
Consultation program. All Training and Education services conducted as part of a
consultation visit must be entered into OIS accurately, with the training topic(s)
and the number of people trained. Additionally, all off-site training conducted as
a Compliance Assistance Activity must be accurately entered into the
Compliance Assistance Module in OIS.

Recording Training Time. CPMs may choose to record training activities under
the Time Tracking Activity in OIS.

Trainer’s Qualifications.

Informal Training. To be qualified to provide informal training, the consultant
must have:
1.

Completed OSHA course 1500, Introduction to On-Site Consultation.

Subject-matter knowledge in the area of the training being offered.

Demonstrated the ability to conduct informal training before being
authorized to conduct it independently. That demonstration may involve
a mentoring process, where the consultant observes an experienced
consultant conduct informal training. Subsequently, the consultant will
demonstrate to the satisfaction of the CPM an understanding of the
principles of the informal training process. The CPM shall maintain
records, which will allow the RA to track who is authorized to conduct
training during the biennial on-site review of the Consultation program.

Formal Training. To be qualified to deliver formal training, the consultant must
meet all the requirements for providing informal training in addition to all of the
following:
1.

Be selected by the CPM to deliver formal training; and

Have a minimum of two years previous experience conducting formal
training for adults, or be trained as a trainer by an accredited institution.

Trainer’s Qualifications Waivers. Based on the consultant’s prior work history
and skill set, the RA has the discretion to waive the requirements listed above in
subparagraph IV.A (Trainer’s Qualifications: Informal Training) and/or IV.B
(Trainer’s Qualifications: Formal Training). To obtain this waiver, the CPM must
submit a written request to the RA.

Chapter 6
Documenting Consultation Services
I.

The Written Report to the Employer (Written Report). The Written Report to the
Employer must be prepared at the conclusion of any initial consultation visit.
Consultation visits other than initial consultation visits do not require a Written Report
but must be concluded with a letter to the employer summarizing the consultation
service(s) provided. The information contained in the Written Report is confidential and
shall only be disclosed to the employer for whom it was prepared, except as discussed in
Chapter 3, Section II.C. Any inappropriate disclosure would adversely affect the
operation of the Occupational Safety and Health Administration (OSHA) On-Site
Consultation Program and is prohibited.
A.

Timing of the Written Report. The Written Report must be sent to the employer
by the consultant as soon as possible but no later than 20 federal working days
after the closing conference, regardless of whether industrial hygiene sampling
results were received by the Consultation program (if applicable). See Chapter 4,
Section III.D.8 for additional information.
If sampling results are received after sending the Written Report, the consultant
will send the employer an addendum to the Written Report within five (5)
federal working days of receiving the results. The addendum will contain all the
information described in Section I.C.6 below, and an updated List of Hazards, if
applicable. The consultant must also update the Hazards Record in the OSHA
Information System (OIS), when applicable.

Responsibility for Preparing the Written Report. The consultant that conducted
the initial consultation visit is responsible for preparing the Written Report.

Required Elements of the Written Report. Consultation programs are
encouraged to use either the specific or generic Written Report template
provided by OSHA in OIS. However, Consultation programs using their own
template must include the following:
1.

Executive Summary. This section must include all of the following
information:
a.

A summary of the employer's request;

The scope of the services provided;

The name of the consultant(s) that conducted the consultation
visit;
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Items of importance discussed during the opening conference;

A description of the workplace and the working conditions;

A comparison of the establishment’s Days Away, Restricted, or
Transferred (DART) rate, and Total Recordable Case (TRC) rate to
the Bureau of Labor Statistics (BLS) rates for the industry; and

Items of importance discussed during the closing conference.

Employers’ Obligations and Rights. The Written Report must include the
information on employers’ obligations and rights, located in Chapter 3,
Section II.

List of Hazards Identified. This is an itemization of all the hazards
identified during the consultation visit including the classification of each
hazard, the recommended hazard correction methods (i.e., eliminate,
control) and interim protection measures, and for each serious or
imminent danger hazard, the hazard correction due date(s). See Chapter
4, Section III.D.1through 4 for additional information.
a.

The List of Hazards must accompany the Written Report. (See
Chapter 4, Section III.E for additional information). The consultant
must also send the employee representative a copy of the List of
Hazards and any modifications and/or extensions to hazard
correction due dates, using the contact information obtained
during the opening conference. The first page of the List of
Hazards must be printed on the Consultation program’s
letterhead. See Appendix B for a sample List of Hazards in the
preferred format.

If the employer or the employer’s representative corrects a
hazard “on the spot” during the walkthrough, the consultant must
document the hazard and the method used to correct the hazard
in the field notes and in OIS (i.e., Hazard Detail tab). Consultants
are required to include a narrative and/or picture(s) to support
the verification of hazard correction. Consultants must also
document the interim protection measures discussed with the
employer at the closing conference.

If a Standard Element Paragraph (STEP) is used to describe a
hazard (e.g., serious, imminent danger, other-than-serious), it
must be modified to address the specific conditions at the
employer's establishment.
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Evaluation of Safety and Health Programs. This section of the report
references the Safety and Health Program Assessment Worksheet (Form
33). In conjunction with the Form 33, the consultant may also use this
section to summarize or provide additional information about the
employer’s overall safety and health program.
If Consultation programs do not customize this section (as described in
the previous paragraph), the following language shall be utilized:

Recommended Practices for Safety and Health Programs
In 2016, OSHA updated the 1989 Safety and Health Program Management
Guidelines with the Recommended Practices for Safety and Health Programs, to
reflect changes in the economy, workplaces, and evolving safety and health
issues. The Recommended Practices for Safety and Health Programs is designed
to be used in a wide variety of small and medium-sized business settings. The
Recommended Practices present a step-by-step approach to implementing a
safety and health program, built around seven core elements that make up a
successful program.
The main goal of safety and health programs is to prevent workplace injuries,
illnesses, and deaths, as well as the suffering and financial hardship these events
can cause employees, their families, and employers. The Recommended
Practices use a proactive approach to managing workplace safety and health.
Traditional approaches are often reactive – that is, problems are addressed only
after an employee is injured or becomes sick, a new standard or regulation is
published, or an outside inspection finds a problem that must be fixed. The
Recommended Practices recognize that finding and fixing hazards before they
cause injury or illness is a far more effective approach.
The idea is to begin with a basic program and simple goals and grow from there.
If you focus on achieving goals, monitoring performance, and evaluating
outcomes, your workplace can progress along the path to higher levels of safety
and health achievement.
Employers will find that implementing the Recommended Practices also brings
other benefits. Effective safety and health programs help businesses:







Prevent workplace injuries and illnesses.
Improve compliance with laws and regulations.
Reduce costs, including significant reductions in workers' compensation
premiums.
Engage employees.
Enhance the social responsibility goals of businesses.
Increase productivity and enhance overall business operations.
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A study of small businesses who attained Safety and Health Achievement
Recognition Program (SHARP) status in Ohio found that workers’ compensation
claims fell dramatically after working with the Consultation program to adopt an
effective safety and health program with elements similar to the Recommended
Practices. The study revealed that the State experienced a fifty-two percent
(52%) decrease in the average number of claims, eighty percent (80%) decrease
in cost per claim, eighty-seven percent (87%) decrease in the average lost time
per claim, and eighty-eight percent (88%) decrease in claims per million dollars
of payroll.
For additional information and resources to help you build an effective safety
and health program visit osha.gov.
5.

Training Provided. A summary of informal training conducted during the
consultation visit must be included in the Written Report, with the
number of employees’ involved and topics covered. Formal training must
follow the guidelines specified in Chapter 5.

Sampling Data. When industrial hygiene sampling is conducted, the
consultant must include an explanation of the results in the Written
Report or addendum (e.g., exposure levels, exposure limits, any hazards
identified, recommended hazard correction measures, applicable OSHA
or State Plan standards). The Written Report (or addendum) should also
include information such as: sampling dates, duration, description of
operation, job classification of employee(s) and personal protective
equipment worn, types of sampling and analytical method(s) used (see
Chapter 4 subparagraph I.B.2), any variable or condition that may have
affected the results, exposure limits, and the results. If requested by the
employer, the consultant should provide a copy of the sampling sheets
and laboratory results. The consultant will use an appropriate template,
such as tables, forms, and charts or narrative format to display results.

Other Findings. In this section, the consultant must list and discuss any
other safety and health issues noted and conferred on during the
consultation visit, which go beyond minimum OSHA compliance.
Examples may include best practices, experience modification factor,
elements of a continuous improvement process (i.e., plan, do, check, act),
information on innovations in safety and health, ergonomics principles,
the use of leading versus lagging indicators, and preventative actions.
This section must be used by the consultant to assist the employer go
beyond the “find-it and fix-it” approach to employee safety and health, to
a more comprehensive safety and health program approach.

Safety and Health Program Assessment Worksheet (Form 33). When
required, Form 33 must be included as an appendix to the Written
Report. See Chapter 4 and Appendix J.

Cover Letter. Every Written Report must be sent with a cover letter, including
those sent electronically. Cover letter templates are provided by OSHA in OIS.
When serious or imminent danger hazards are observed, the CPM must ensure
that the cover letter transmitted with the Written Report includes the following
paragraph:
Accompanying this Written Report is a List of Hazards, which includes a
description of serious and any imminent danger hazard(s) as well as the
mutually agreed upon hazard correction due date(s). This List of Hazards must
be posted, unedited, in a prominent location where it is readily observable by
all employees for three (3) working days or until the hazard(s) is corrected,
whichever is later. If an extension to the hazard correction due date(s) is
approved, a new List of Hazards will be sent to the employer showing the
revised hazard correction due date(s). The new list must also be posted for a
minimum of three (3) working days or until the hazard(s) is corrected,
whichever is later.

II.

Case File. Case files must be maintained in a defined, uniform format, whether in a
format acceptable to the RA, or following the guidance in Appendix H of this Instruction.
Appendix H specifies that Consultation programs may organize case files in a different
manner than it describes, as long as all the contents listed in Appendix H are included in
a consistent and organized fashion.

Chapter 7
Relationship to Enforcement
I.

General. The OSHA On-Site Consultation Program is completely separate from OSHA or
State Plan enforcement efforts and does not issue citations or propose penalties.
However, the On-Site Consultation Program depends on an effective OSHA or State Plan
enforcement program to compel employers to achieve compliance.
A.

Consultation Visit Priority. A consultation visit in-progress has priority over
OSHA (or State Plan) compliance inspections pursuant to 29 CFR 1908.7(b)(1)
except in those instances specified in subparagraph V.A.2 below (see 29 CFR
1908.7(b)(2)(i) through (iv)).

Consultation Visit In-Progress. A consultation visit shall be considered inprogress in regards to the working conditions, hazards, or situations covered by
the consultation visit from the beginning of the opening conference through the
end of the hazard correction due dates and any extensions (see 29 CFR
1908.7(b)(1)).

Enforcement Inspection In-Progress.
1.

A consultation visit shall not take place while an OSHA or State Plan
enforcement inspection is in-progress at an establishment (see 29 CFR
1908.7(b)(3)).
a.

An enforcement inspection shall be deemed in-progress from the
time a compliance officer initially seeks entry to the establishment
to the end of the closing conference (for the enforcement
inspection).

Where entry is refused, an enforcement inspection shall also be
considered in-progress until one of the following occurs:
i.

The inspection is conducted;

ii.

The Regional Administrator (RA) or appropriate State Plan
enforcement official determines that a warrant to require
entry to the workplace will not be sought; or

iii.

The RA or appropriate State Plan enforcement official
determines that allowing a consultation visit to progress is
in the interest of employee safety and health.
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After the conclusion of an OSHA or State Plan enforcement inspection at
an establishment, a consultation visit can only be conducted if:
a.

The enforcement inspection is closed with no citations issued; or

A citation(s) was issued, and has become final order.

(See Appendix O of this Instruction for additional guidance.)

II.

The Consultation Program Manager (CPM) must contact the RA or
appropriate State Plan enforcement office to verify the status of an
enforcement inspection when it is unclear.

Consultation personnel are not permitted to discuss with the employer
any issues related to an OSHA or State Plan enforcement inspection at an
establishment until after the enforcement inspection is closed without
citations or all citations issued have become final orders.

Final Order Date. The final order date is as described in the OSHA Field
Operations Manual, CPL-02-00-164, April 14, 2020 (see Chapter 15, Section XIII),
or the State Plan equivalent.

Scheduling.
A.

Consultation Visit Request. Employers seeking a consultation visit for an
establishment must request and schedule the consultation visit directly with the
Consultation program in the State where the establishment is located.

Consultation Visit Scheduling. When an employer requests a consultation visit,
the CPM must schedule consultation services according to a prioritization
method that focuses on the most serious deficiencies or hazards first, as
described in Chapter 3, Section III.
1.

Current Federal/State Enforcement Activity. Consultation programs must
inquire from employers if OSHA or State Plan enforcement activity is “inprogress” at an establishment as specified in Chapter 4, Section I.C. The
consultant will also inquire about enforcement activities at the
establishment during the opening conference for the consultation visit.
If the employer responds in the affirmative, then consultation personnel
will explain to the employer that no consultation visit can take place until
after the OSHA or State Plan enforcement activity is completed and one
of the criteria in subparagraphs I.C.2&3 above is met.
73

III.

IV.

Review of Enforcement Inspection Status. In addition to inquiring about
enforcement activities from the employer, consultants will use the
Establishment Search on osha.gov or their State Plan equivalent, to
determine the status of an OSHA or State Plan enforcement inspection at
the establishment prior to conducting a consultation visit (see Appendix
O of this Instruction, Guidance for Clarifying the Status of Enforcement
Inspections at Establishments).

Requirements for Maintaining a Consultation Visit In-Progress Status. Employers are
responsible for maintaining a safe and healthful work environment pending the
correction of identified hazards. To maintain a consultation visit in-progress status, the
employer must meet the following conditions:
A.

Post the List of Hazards. Prominently post the unedited List of Hazards (i.e., the
original/modified list or the list generated following an extension of the hazard
correction due date(s)) upon receipt, in a location where it can be readily
observed by all affected employees, for a minimum of three (3) working days or
until the hazards are corrected, whichever is later. See Chapter 3, Section II.K for
additional information.

Correct Identified Hazards. Correct all identified serious and imminent danger
hazards by their correction due date (i.e., the original due date or the extended
due date; see 29 CFR 1908.6(e)(8)).

Referral to Enforcement.
A.

Referral to OSHA or State Plan Enforcement Office. This will occur for the
following:
1.

Failure to Immediately Eliminate Employees’ Exposure to an Imminent
Danger Hazard. If, during the course of conducting a consultation visit at
an establishment the consultant observes an imminent danger situation,
the employer must be immediately informed. If the employer refuses to
immediately eliminate employees’ exposure to the hazard, the consultant
must promptly terminate the consultation visit and notify the CPM.

Serious or Imminent Danger Hazard(s) Not Corrected. After a
consultation visit at an establishment, when it is determined that an
employer is no longer acting in good faith and/or is refusing to correct a
serious or imminent danger hazard within the mutually agreed upon time
frame, including any extensions, the consultant must promptly notify the
CPM.

Process for Referral to OSHA Enforcement or the Appropriate State Plan
Enforcement Office.
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Consultant. The consultant shall notify the CPM immediately of any
situation described in subparagraphs IV.A.1&2 above.

Consultation Program Manager. Upon determining that an employer is
refusing to eliminate employees’ exposure to an imminent danger
hazard(s), or is refusing to correct identified serious or imminent danger
hazard(s), the CPM will immediately notify the RA or State Designee.

Regional Administrator or State Designee. The RA or State Designee will
determine whether the employer should be referred for enforcement
action within five (5) federal working days of receiving the CPM’s
notification of failure to correct a serious hazard or within one (1) federal
working day of being notified of failure to correct/eliminate exposure to
an imminent danger situation. The RA or State Designee will also notify
the OSHA Area Director or State Plan enforcement office (as applicable)
of the establishment's loss of consultation visit in-progress status.
a.

To assist the RA or State Designee in its determination,
Consultation programs shall forward information regarding the
establishment's identified hazards and the circumstances of the
employer's refusal to correct a serious or imminent danger hazard
or eliminate employees’ exposure to an imminent danger hazard.

After the referral to OSHA or State Plan enforcement has been
made, the Consultation program must update the OIS record by
selecting “Referred to OSHA.” After confirming the enforcement
office has verified that the hazards are corrected, the Consultation
program must select “Enforcement Verified Corrected” in
OIS. Hazards referred to OSHA or the State Plan will remain in the
OIS Uncorrected Hazard Report until the record is updated
accordingly.

Enforcement Inspections During a Consultation Visit In-Progress at Establishments Not
Participating in Safety and Health Achievement Recognition Program (SHARP) or PreSHARP.
Consultation programs shall follow the procedures described below when applicable.
A.

Consultation Visits In-Progress:
1.

Programmed Inspections. A consultation visit in-progress will take
priority over OSHA or State Plan programmed inspections. Consultants
must advise employers about their confidentiality rights and inform them
that notifying a compliance officer of the consultation visit in-progress
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status will result in a delay of the programmed inspection until after the
consultation visit in-progress is completed. See Chapter 3 Sections II.C&J
for additional information.
Note: OSHA or the State Plan may assign a lower priority for programmed
inspections at establishments where consultation visits are scheduled (see
29 CFR 1908.7(b)(1)).
2.

Unprogrammed Inspections. The consultant shall terminate a
consultation visit in-progress where one of the following OSHA or State
Plan enforcement inspections is about to take place:
a.

Imminent danger investigations;

Fatality/catastrophe investigations;

Complaint investigations (Formal and Non-Formal); and/or

Other critical inspections as determined by the Assistant
Secretary.

Note: Referrals (includes Severe Injury Reports) and follow-up and
monitoring inspections are included under other critical inspections as
determined by the Assistant Secretary.
When a consultation visit in-progress is terminated as a result of an
unprogrammed inspection, the Consultation program shall update OIS to
ensure the information is captured in OIS reports.
3.

Enforcement Follow-up and Monitoring Inspections. If an enforcement
follow-up or monitoring inspection must be conducted while an
establishment is undergoing a consultation visit, the inspection shall not
be deferred. In such instances, the consultant must terminate the
consultation visit until the enforcement inspection is completed and
follow the criteria in section I.C above.

Fatality/Catastrophe During a Consultation Visit In-Progress. If a fatality or
catastrophe occurs during a consultation visit at an establishment, the
consultant shall immediately terminate the consultation visit. The consultant
shall remind the employer of its reporting obligation under 29 CFR 1904.39.
Options for notifying OSHA of an incident include contacting the local OSHA Area
Office, calling the OSHA hotline number (1-800-321-6742), or reporting on the
OSHA website. Consultation programs in State Plans will advise employers to
follow their State Plan mandated reporting protocols and time frames.
76

Severe Injury. If an employee is hospitalized, or experiences an amputation or
loss of an eye during a consultation visit, the consultant must remind the
employer of its reporting obligation under 29 CFR 1904.39. Options for notifying
OSHA of an incident include contacting the local OSHA Area Office, calling the
OSHA hotline number (1-800-321-6742), or reporting on the OSHA website.
Consultation programs in State Plans will advise employers to follow their State
Plan mandated reporting protocols and time frames. The consultant will contact
the CPM to determine whether to continue the consultation visit.

Severe Violator Enforcement Program. An establishment identified on the
OSHA or State Plan Severe Violator Enforcement Program (SVEP) list may receive
on-site consultation services. If a consultation visit is performed at an
establishment listed on the OSHA or State Plan SVEP list, then in OIS at the
Request and Visit Level Emphasis tab, consultants must select the SVEP code
from the National Emphasis Program drop down menu. Although the
establishment is receiving consultation services, in this situation a consultation
visit in-progress status will not prevent OSHA or the State Plan from performing
an enforcement inspection.

Hazard Correction After Terminating Consultation Visit In-Progress Status.
1.

Termination of a consultation visit in-progress status may occur:
a.

When a consultation visit is interrupted at the establishment by
an unprogrammed OSHA or State Plan inspection; or

If after the consultation visit was conducted at the establishment,
the employer, the RA, or State Plan informs the Consultation
program that an unprogrammed inspection will be initiated in
accordance with 29 CFR 1908.7(b)(2).

It is important to note that, with the termination of the consultation visit
in-progress status, the employer is no longer exempted from
programmed inspections of any kind.
2.

Consultation programs must follow procedures described below after the
termination of a consultation visit due to an unprogrammed OSHA or
State Plan inspection at an establishment.
a.

After notifying the RA or State Designee, the Consultation
program will send a letter to the employer, informing them of any
serious or imminent danger hazard(s) which were not verified as
corrected on-site prior to the termination of the consultation visit
in-progress status. This letter must include a list of the
77

uncorrected hazards and the expected hazard correction due
date(s).

VI.

The Consultation program must obtain the verification of hazard
correction from the employer by the agreed-upon hazard
correction due date(s) or any extension, after the termination of
the consultation visit in-progress status (see Chapter 4, Section
IV).

Although the consultation visit in-progress status was terminated,
the employer is still responsible for correcting any serious or
imminent danger hazards that were identified during the
consultation visit.

The Consultation program will change the verified/referred code
in the hazard resolution tab within OIS for any uncorrected
hazards to “awaiting verification after interruption of visit inprogress status.”

After the consultation visit in-progress status has been terminated, if the
employer fails to take the necessary action to correct a serious or
imminent danger hazard(s) within the mutually agreed upon time frame
or any extensions thereof, the CPM shall notify OSHA or State Plan
enforcement inspection and provide the relevant information for a
referral (see section IV above).

Enforcement Inspections at SHARP and Pre-SHARP Establishments.
A.

Programmed Inspections. Establishments that have achieved SHARP status are
deferred from OSHA or State Plan programmed inspection schedule for up to
two (2) years upon initial approval or three (3) years for subsequent renewal
periods (see 29 CFR 1908.7(b)(4)(i)(B)). Pre-SHARP establishments are deferred
from OSHA or State Plan programmed enforcement inspection schedule for up
to 18 months (see 29 CFR 1908.7(b)(4)(i)(A)).

Unprogrammed Inspections.
1.

The consultant shall terminate a consultation visit in-progress when an
OSHA or State Plan unprogrammed inspection is about to take place at a
SHARP or Pre-SHARP establishment and follow procedures in
subparagraphs V.B for fatalities/catastrophes, and V.E for hazard
correction (as applicable).

Pursuant to 29 CFR 1908.7(b)(4)(ii), the following types of incidents can
trigger an unprogrammed inspection at SHARP and Pre-SHARP
establishments:
a.

Imminent danger

Fatality/catastrophe

Formal complaint

Referrals. Per 29 CFR 1908.7(b)(4)(ii), OSHA does not conduct referral
inspections at establishments participating in SHARP or Pre-SHARP. Referrals
(including Severe Injury Reports) received by OSHA or State Plans for SHARP or
Pre-SHARP establishments shall be forwarded to Consultation programs for
evaluation and follow-up, and shall be treated as high priority. Consultation
programs in State Plans shall ensure compliance with their Severe Injury
Reporting Directive, as applicable.
1.

Consultation programs must treat referrals as high priority, conduct an
evaluation and follow-up within five (5) federal working days of receiving
a referral, and provide the RA or State Designee with a report and final
disposition within ten (10) federal working days of receiving the referral.
a.

For referrals involving Severe Injury Reports, Consultation
programs will conduct on-site evaluations and complete Appendix
M, Incident Investigation Reporting Template (SHARP and PreSHARP Establishments). No additional documentation for
conducting a consultation visit is required, except the List of
Hazards, when applicable, and any other documentation deemed
necessary by the CPM.

For referrals that do not involve Severe Injury Reports,
Consultation programs will conduct an evaluation and follow-up
as deemed necessary by the CPM (e.g., phone call, on-site
consultation visit) and document specific findings and
recommendations. Completion of Appendix M is not required for
referrals that do not involve Severe Injury Reports.

CPMs will submit their documentation to the RA or State Designee.

The RA or State Designee will review all documentation received from the
CPM and provide any additional guidance, as appropriate.

VII.

State Designees will submit the documentation and final disposition of
referrals to their respective RA. The RA will review and provide any
additional guidance as appropriate.

RAs will provide the OSHA Directorate of Cooperative and State Programs
(DCSP), Office of Small Business Assistance (OSBA) with the
documentation and final disposition of referrals.

The employer must implement corrective measures to address any
deficiencies identified by the Consultation program within the specified
time frame.

Notifications for Incidents that Occur at SHARP or Pre-SHARP Establishments.
1.

Consultants will advise employers participating in SHARP or Pre-SHARP to
report a fatality, catastrophe, or severe injury at their establishments,
pursuant to OSHA or their State Plan mandated protocols and time
frames, and also immediately notify the CPM (see subparagraphs V.B and
V.C for additional information). Employers must also report all OSHA
enforcement activities at their establishments to the CPM immediately.

CPMs in OSHA jurisdiction will report these incidents immediately to the
respective RA. CPMs in State Plans will report to both to their State
Designee and respective RA. CPMs will include the following information
in their report: the date of the incident, the name and address of the
employer, its SHARP or Pre-SHARP designation, and a description of the
incident.

The RA will relay the incident notification received immediately to
DCSP/OSBA.

Citations at SHARP or Pre-SHARP Establishments. The following procedures must be
followed for all OSHA or State Plan enforcement inspections at SHARP or Pre-SHARP
establishments with the exception of fatalities and catastrophes, discussed in Section
VIII of this Chapter.
A.

No Citation or Other-than-Serious Citation Issued. If no citation was issued, or a
citation is issued and it is characterized as other-than-serious, when the citation
becomes a final order, at the discretion of the CPM, a consultation visit may be
conducted. The purpose of the consultation visit is to determine the continued
effectiveness of the employer’s safety and health program.

Willful, Serious, or Repeat Citations Issued. If a citation characterized as willful,
serious, or repeat becomes a final order or there is evidence that inaccurate
information was provided by the employer when requesting to participate in
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SHARP or Pre-SHARP or in the Interim Year SHARP Site Self-Evaluation, the
following procedures must be followed:

VIII.

The CPM must conduct an on-site evaluation within fifteen (15)
federal working days, and provide the RA or State Designee with a
report of findings and recommendations using Appendix M,
Incident Investigation Reporting Template (SHARP and Pre-SHARP
Establishments). No additional documentation for conducting a
consultation visit is required, except for the List of Hazards, when
applicable, and any other documentation deemed necessary by
the CPM.

The RA or State Designee will review the information, provide
guidance, and make a final determination regarding continued
participation in SHARP or Pre-SHARP.

If the RA or State Designee makes a decision to terminate
participation in SHARP or Pre-SHARP, the CPM will offer the
employer the opportunity to withdraw within five (5) federal
working days. If the employer chooses not to withdraw, the CPM
will notify the employer of SHARP or Pre-SHARP status
termination. The CPM must notify the RA or State Designee to
remove the employer from the inspection deferral list.
Consultation programs in State Plans must also notify the
respective RA. The employer may re-apply to the program after
twelve (12) months of the withdrawal or termination date.

Fatalities/Catastrophes at SHARP or Pre-SHARP Establishments. When a fatality or
catastrophe at a SHARP or Pre-SHARP establishment is deemed work-related, the
following procedures must be followed (regardless of whether a citation was issued) to
determine the employer’s eligibility to continue participating in SHARP or Pre-SHARP,
after the enforcement inspection is closed without citations or all citations issued have
become final orders:
A.

Willful Citation Issued. If a willful citation(s) becomes final order or there is
evidence that inaccurate information was provided by the employer when
requesting to participate in SHARP or Pre-SHARP or in the Interim Year SHARP
Site Self-Evaluation, the CPM must inform the employer within fifteen (15)
federal working days of the all citations becoming final order (enforcement
inspection closing) to withdraw from the program immediately. If the employer
does not withdraw voluntarily within five (5) federal working days of receiving
the notice to withdraw, the CPM must notify the employer of SHARP or PreSHARP status termination. The CPM must notify the RA or State Designee to
remove the employer from the inspection deferral list. Consultation programs in
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State Plans must also notify the respective RA. The employer may re-apply to
the program after twelve (12) months of the withdrawal or termination date.
B.

IX.

Serious, Repeat, Other-than-Serious or No Citation Issued. If serious, repeat, or
other-than serious citation becomes final order; or no citation was issued:
1.

The CPM will conduct an on-site evaluation with the employer to assess
the safety and health program for deficiencies. The CPM will allow the
employer to make a case for continued participation in SHARP or PreSHARP.

Using Appendix M of this Instruction, the CPM will submit all the
information gathered, including the employer’s input, to the RA or State
Designee with its findings and recommendations within fifteen (15)
federal working days of all citations becoming final order (enforcement
inspection closing). No additional documentation for conducting a
consultation visit is required, except for the List of Hazards, when
applicable, and any other documentation deemed necessary by the CPM.

The RA or State Designee will review all the information received and
determine whether to terminate the employer’s participation in SHARP
or Pre-SHARP. The RA will notify the DCSP Director of the decision and
provide all relevant documentation, including Appendix M.

For State Plans, the State Designee will notify the RA of the decision and
provide all relevant documentation, including Appendix M. The RA will
provide guidance to the State Designee, if necessary, and notify the DCSP
Director.

The RA may request technical guidance from the DCSP Director at any
time during this process.

If a decision is made to terminate participation in SHARP or Pre-SHARP,
the CPM will offer the employer the opportunity to withdraw within five
(5) federal working days. If the employer chooses not to withdraw, the
CPM will notify the employer of SHARP or Pre-SHARP status termination.
The CPM must notify the RA or State Designee to remove the employer
from the inspection deferral list. Consultation programs in State Plans
must also notify the respective RA. The employer may re-apply to the
program twelve (12) months after the withdrawal or termination date.

Appeal Process for SHARP or Pre-SHARP Participation Terminations. If an employer
decides to appeal the termination of SHARP or Pre-SHARP status, the following applies:

The employer has thirty (30) calendar days from the receipt of the
termination notice to submit a written appeal to the DCSP Director, with
an explanation of why the establishment should be allowed to continue
to participate in SHARP or Pre-SHARP.

The DCSP Director will review the employer’s justifications and all
relevant information, and make the final decision, in consultation with
the RA, and following guidance from the Office of the Assistant Secretary.

The DCSP Director will notify the employer, the RA, State Designee, and
CPM of the decision.

Chapter 8
OSHA Safety and Health Achievement Recognition Program (SHARP),
Pre-SHARP, and SHARP Pilots
I.

Safety and Health Achievement Recognition Program. SHARP is an achievement
recognition program that must be administered by Consultation programs funded under
Section 21(d) of the OSH Act. SHARP recognizes small businesses that operate
exemplary safety and health programs.
Small businesses that meet SHARP participation requirements are deferred from the
Occupational Safety and Health Administration (OSHA) or State Plan programmed
inspection schedule for up to two (2) years upon initial approval, or for no more than
three (3) years for subsequent renewal periods. See 29 CFR 1908.7(b)(4).
A.

Employer Eligibility. To begin the evaluation process for SHARP participation,
Consultation programs must inform employers that they must meet the
following criteria:
1.

Operate a small business (see Chapter 1, Section XII.B for the exception
to the small business size requirement).

Have at least one (1) year of operating history at the particular
establishment for which the employer is seeking SHARP participation.

Request a consultation visit that involves a full-service safety and health
hazard assessment and a complete review of the establishment’s safety
and health program using the Safety and Health Program Assessment
Worksheet (Form 33).

Submit injury and illness records, OSHA Form 300 (Log of Work-Related
Injuries) and OSHA Form 300A (Summary of Work-Related Injuries and
Illnesses), for the current year, and three preceding calendar years or the
period that the establishment has been in operation (if less than three
years).

Submit a request to participate in SHARP. The request must be
submitted by the employer.

OSHA or State Plan Enforcement Inspection History.
a.

The OSHA or State Plan enforcement inspection history of the
establishment (i.e., specific location) that an employer is
requesting to participate in SHARP (or Pre-SHARP) will be
considered in the twelve (12) months preceding the
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request. Employers who have been cited during this timeframe
must have taken action to effectively abate all identified hazards
and improve their safety and health program. For instance,
failure to abate and/or repeat citations are indicators of
inadequate safety and health management at the establishment.
b.

The existence of any of the following at the establishment (i.e.,
specific location) precludes participation in SHARP (or Pre-SHARP):
i.

Open enforcement inspection(s), or pending or open
contested citation(s), under appeal at the time of the
request to participate (see 29 CFR 1908.7(b)(3); Chapter 7,
Section I.C).

ii.

Willful citations during the twelve (12) months prior to the
request to participate. The Regional Administrator (RA) or
State Designee has the discretion to review each case. The
OSHA Directorate of Cooperative and State Programs
(DCSP) will provide technical guidance to RAs or State
Designees when requested.

iii.

Work-related fatality of an employee during the twelve
(12) months prior to the request to participate. The RA or
State Designee has the discretion to review each case.
DCSP will provide technical guidance to RAs or State
Designees when requested.

iv.

The establishment (i.e., specific location) for which the
employer is requesting participation, is in OSHA or the
State Plan Severe Violator Enforcement Program (SVEP) at
the time of the request to participate.

Employers Safety and Health Program Requirements. Consultation programs
must inform employers seeking SHARP participation approval that their
establishments must meet the following criteria:
1.

Have a full-service safety and health hazard assessment and a complete
review of the establishment’s safety and health program using the Safety
and Health Program Assessment Worksheet (Form 33) found in Appendix
J of this Instruction.
Receive a score (rating) of at least "2" on all fifty (50) basic attributes and
all eight (8) stretch items of Form 33. "Stretch items" are the safety and
health attributes beyond the basic attributes of a safety and health
program.
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Have injury and illness rates for the preceding calendar year that meets
the requirements outlined in subparagraph I.G of this Chapter.

Not have incentive programs or similar practices that discourage
employees from participating in the safety and health program such as
reporting work-related injuries and illnesses or safety and health hazards.

Anti-Retaliation Program. The CPM will recommend to employers seeking SHARP
(or Pre-SHARP) approval that their establishments implement an anti-retaliation
program. The anti-retaliation program should address management leadership,
commitment and accountability; provide a system for listening to and resolving
employees’ safety and compliance concerns; provide a system for receiving and
responding to reports of retaliation; provide anti-retaliation training for
employees and managers; and involve a plan for program oversight. (See
Recommended Practices for Anti-Retaliation Programs, OSHA Publication 3905).

Employers Request to Participate in SHARP. Employers must submit a request
for SHARP participation to the CPM after receiving a consultation visit that
involves a full-service safety and health hazard assessment and a complete
safety and health program review; and correcting all identified hazards (i.e.,
serious, other-than-serious, imminent danger) and regulatory violations.

SHARP Participation Requirements. If approved to participate in SHARP,
employers must agree to the following:
1.

Post the SHARP certificate from the RA or State Designee granting SHARP
status in a conspicuous place in the workplace upon receipt.

Inform employees of the intention to participate in SHARP and engage
them in the safety and health program measures, including the
implementation of the Action Plan (see Appendix F, Occupational Safety
and Health Program Action Plan Template). At establishments with
recognized employee representative(s), the employer must also notify
the employee representative(s).

Implement the mutually agreed upon Action Plan developed with the
consultant and approved by the CPM. At a minimum, the Action Plan
must include a list of action items that the employer has agreed to
implement and the projected completion dates for each action item
identified to achieve the organization’s safety and health goals and
objectives for the continuous improvement of the safety and health
program. The employer must provide to the Consultation program,
written confirmation of the completion of each action item by the
completion due date, and an explanation for any action item not
86

completed, and when it will be completed. This updated Action Plan
information must be included with the subsequent request for SHARP
participation renewal.

The employer must continue to pursue improvements with
management’s commitment, to ensure a safe and healthful work
environment, that promotes employee participation in safety and health
activities, assures proficient training for employees, and actively engages
in finding and fixing hazards to preclude incidents, at a minimum.

Notify the CPM about changes in working conditions (e.g., new work
processes) that might introduce new hazards into the workplace.

Notify the CPM when the employer plans to relocate the establishment,
at least sixty (60) calendar days in advance of the relocation (see
subparagraph III.A.1 below).

Notify the CPM whenever ownership or major organizational changes
occur that could affect the effectiveness of the safety and health program
(see subparagraph III.A.2 below).

Within three (3) working days of receiving a whistleblower complaint
(regarding occupational safety and health issues), the employer must
notify the CPM of the complaint and send the CPM a copy of the
complaint disposition.

Notify the CPM immediately in the case of an OSHA or State Plan
enforcement inspection at the establishment. The employer must also
notify the CPM immediately of a catastrophe, fatality or severe injury
incident at the establishment. The employer must comply with OSHA or
the State Plan mandated reporting requirements. See Chapter 7, Section
VI.D.

10.

Accurately complete and submit to the CPM the Interim Year SHARP Site
Self-Evaluation, Appendix E of this Instruction. Submit a copy of the
establishment’s most recent OSHA Forms 300 and 300A as well as injury
and illness incident reports with the self-evaluation. The employer must
promptly correct any deficiencies noted by the Consultation program
upon review.

Effective Safety and Health Program Implementation. Consultants assess
employers’ safety and health programs using Form 33. Consultation programs
reviewing employers’ requests to participate in SHARP must ensure that they
demonstrate the implementation of an effective safety and health program.
Employers requesting to participate in Pre-SHARP must demonstrate the
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foundation of a safety and health program and a commitment to attain full and
effective implementation. Although not a requirement for participating in
SHARP or Pre-SHARP, a written safety and health program should be
recommended by consultants. At a minimum, consultants must ensure that all
safety and health program elements of Form 33 are effectively implemented.
G.

Injury and Illness Rates. In order to establish the Days Away, Restricted, or
Transferred (DART) rate and Total Recordable Case (TRC) rate for their
establishments, employers requesting to participate in SHARP must have at least
one (1) year of operating history at the particular establishment for which SHARP
approval is requested.
Establishments that fall below the threshold for keeping OSHA Forms 300 and
300A and/or are in an industry exempted from keeping these OSHA logs must
also have their injury and illness rates assessed as part of the process for
determining eligibility to participate in SHARP. In these instances, the consultant
will determine the establishment’s injury and illness rates, using available
employer information and data that is similar to the OSHA Forms 300 and 300A,
for the most recent full calendar year, and will record the resulting data into the
OSHA Information System (OIS). Below is a description of the methods for
calculating the DART and TRC rates and how to assess data.
1.

Assessing Injury and Illness Data for the Most Recent Calendar Year. For
all employers requesting to participate in SHARP, DART and TRC rate
calculations will be based on the OSHA Forms 300 and 300A information
for the most recent full calendar year preceding the on-site evaluation
(see alternative rate calculation methods in subparagraph I.G.2 below).
a.

The calculated DART and TRC rates will be compared against the
most recently published Bureau of Labor Statistics (BLS) rates for
the North American Industry Classification System (NAICS) code
for the establishment.

To qualify for SHARP, the establishment's DART and TRC rates
must be below the published BLS rates for that industry. See
Appendix C, Annual Rate Calculation Method.

Establishments that fall below the threshold for maintaining OSHA
Forms 300 and 300A, and/or are in an industry exempt from
maintaining these logs, must be able to provide relevant
information and data to calculate injury and illness rates (i.e.,
DART and TRC rates) for their establishments, before being
considered to participate in SHARP.

Alternative Rate Calculation Methods. The following alternative rate
calculation methods are available for those employers whose calculated
injury and illness rates are above the published BLS rates when the
calculation method described in subparagraph I.G.1 above is used.
a.

Assessing Injury and Illness Data for Three Calendar Years.
i.

Where the establishment has at least three (3) years of
operating history, the DART and TRC rate calculations may
be based on the OSHA Forms 300 and 300A information
for the most recent three (3) full calendar years, preceding
the on-site evaluation (i.e., three-year average).

ii.

To qualify for SHARP, the establishment’s calculated threeyear average DART and TRC rates must be below the most
recently published BLS rates for that industry.

iii.

See Appendix D, Alternative Rate Calculation Methods, for
the Three Calendar Years Rate Calculation Method.

Assessing Injury and Illness Data for Four Calendar Years. For
SHARP participation requests (i.e., first time or renewal) that a
single or a relatively small number of incidents would cause the
employer to be disqualified from participating in SHARP, if the
three calendar years rate calculation method (I.G.2.a) is used,
DART and TRC rates may be calculated using the best three out of
the four most recent full calendar years injury and illness data,
preceding the on-site evaluation. This is a two-step process,
described below.
i.

Firstly, the Consultation program must determine whether
an establishment qualifies for the best three out of four
calendar years calculation method by doing the following:
a. Use the most recent employment statistics (i.e., hours
worked at the establishment by all employees in the
most recent calendar year, including overtime hours),
to calculate the hypothetical TRC and DART rates for
the establishment, assuming the establishment had
two cases during the year;
b. Compare the hypothetical rate to the most recently
published three years of BLS combined injury and
illness rates for the industry.
89

c. If the hypothetical rate (based on two cases) is equal to
or higher than any of the most recently published
three years of BLS combined injury and illness rates for
the industry, the establishment qualifies for the best
three out of four years calculation method.

ii.

Secondly, to qualify for SHARP, the calculated best three
out of four years’ incident rates (i.e., DART and TRC rates)
for the establishment must be below the most recently
published BLS rates for that industry.

iii.

See Appendix D for the Best 3 Out of 4 Calendar Years Rate
Calculation Method.

Regional Administrator or State Designee Discretion. CPMs may propose,
and either the RA or State Designee may approve SHARP status, in those
rare instances where an establishment has injury/illness rates equal to or
slightly greater than the BLS industry average after using the calculation
methods described in subparagraphs I.G.1&2 above. In these instances,
the CPM will select the override standard certification criteria in OIS,
within the SHARP Module. The RA or State Designee will decide to either
approve or reject the override.
In determining whether to grant an employer approval, the RA or State
Designee must consider the following factors:

The employer is currently a SHARP participant;

The employer has a rating of at least "2" on all fifty (50) basic
attributes and eight (8) "stretch items" of Form 33;

The employer qualifies for the rate calculation method described
in subparagraph I.G.2.b above, but fails to meet either the DART
or TRC rate requirements; and

The employer's history with the Consultation program.

Consultation Programs’ Responsibilities.
1.

Verification of Employer's Eligibility. Consultation programs must ensure
that an employer satisfies all SHARP participation criteria, including the
requirements specified in subparagraph I.A.6 for OSHA or State Plan
Enforcement Inspection History. Consultation programs must also ensure
that all elements of an effective safety and health program are fully
operational. If hazards are found during the on-site evaluation, which
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reflect significant deficiencies resulting in a rating of 0-1 for any of the
fifty-eight (58) attributes on the Form 33 evaluation of an employer's
safety and health program, the establishment cannot be recommended
for SHARP approval. The CPM may not recommend SHARP approval until
the deficiencies have been corrected and is confident that an
establishment’s safety and health program will operate effectively.
2.

Consultation Visits. Conduct a full-service safety and health hazard
assessment and a complete safety and health program review of the
establishment using Form 33. Form 33 comprises seven safety and
health program elements that are assessed by using fifty-eight (58)
attributes or criteria.
The Consultation program must ensure that for each attribute assessed,
regardless of the rating assigned by the consultant (i.e., 0, 1, 2, or 3),
Form 33 “Comments” column includes an accurate summary of the
consultant’s findings (i.e., rationale for the rating) and recommendations
for correcting deficiencies or for continuous improvement. See Chapter
4, Section II.

Recurring Hazards. Observed recurring hazards determined by the
consultant to be previously verified as corrected by the employer should
be taken into consideration when determining SHARP participation
status.
Consultants must document these hazards in the “Comments” column of
Form 33, attribute 3 (i.e., Effective surveillance of established hazard
controls is conducted), and reflect this finding in other associated
attributes. This is in addition to other findings.

Areas of Emphasis and Emerging Hazards. Emphasis programs are
temporary programs that focus OSHA or State Plans on particular hazards
in high-hazard industries. Consultants must evaluate the nature and
scope of processes at establishments with respect to all Local, State, and
National Emphasis Programs as appropriate. As the nature of work and
the work environment continues to evolve, occupational safety and
health measures are needed to address new trends and challenges as
they emerge. These efforts may include a follow-up consultation visit.

Review Employers Incentive Programs.
a.

Employers Requesting to Participate in SHARP or Pre-SHARP. The
CPM must ensure that the incentive program (or similar practices)
of an employer requesting to participate in SHARP or Pre-SHARP
does not contain provisions that could discourage employee
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participation in the safety and health program (see Appendix N,
Incentive Programs). Where the incentive program has been
determined to be ineffective (i.e., disincentives are found), the
CPM must advise the employer of OSHA’s policy. The employer
may choose to make an immediate change to the incentive
program that will bring the program in line with OSHA’s policy. If
the employer needs ninety (90) calendar days or less to eliminate
the disincentive, to revise the program, or both, the CPM will
reappraise the establishment after the change to the employer's
incentive program takes place. If an employer requesting to
participate in SHARP or Pre-SHARP refuses to make the needed
change, the CPM will inform the employer that the establishment
is not currently eligible for SHARP or Pre-SHARP participation.
b.

Current SHARP or Pre-SHARP participants. To confirm that an
incentive program does not contain provisions that could
discourage employee participation, Consultation programs will
incorporate this element into the review criteria when
participants submit interim year self-evaluations, enter the
reapplication process, and provide other reports. If disincentives
are found, the CPM will assist the SHARP or Pre-SHARP participant
in reaching compliance with OSHA policy.
Refusal to make the recommended improvement to an incentive
program is grounds to terminate participation in SHARP or PreSHARP. Failure to demonstrate effective implementation of
incentive program changes during agreed upon time frames is
also grounds to terminate SHARP or Pre-SHARP participation. The
employer may voluntarily withdraw or established termination
procedures will apply, including the RA or State Designee's written
notice of termination and the participant's right to appeal in
writing to the DCSP Director (see subparagraph III.B of this
Chapter).

Action Plan Development. The Consultation program will provide
technical assistance with developing Action Plans to employers that
request to participate in SHARP or Pre-SHARP (see subparagraphs I.E.3
and II.B.2a of this Chapter).

Whistleblower Protection Programs (WPP) Case. CPMs may choose to
delay recommending SHARP participation approval for an establishment
with an open WPP case (regarding occupational safety and health issues),
until such time as the WPP case is resolved.

Submission of SHARP Participation Requests for Approval. CPMs may not
recommend SHARP participation approval to the RA or State Designee
until the employer has corrected all identified deficiencies, and the CPM
is confident that an establishment's safety and health program will
operate effectively. After ensuring that the employer has met all the
requirements, the CPM must confirm the employer's interest to
participate in SHARP. Then the CPM will submit the request for SHARP
approval to the RA or State Designee using OIS.
First time requests for SHARP participation must include the items
described below (in subparagraph I.H.8.a through k). Renewal requests
for SHARP participation must include the items described below and the
requirements in section I.K of this Chapter.
a.

The CPM's recommendation for SHARP approval.

A summary of the OSHA or State Plan Inspection History findings
(see subparagraph I.A.6).

OSHA Forms 300 and 300A for the current year and three
preceding calendar years, or for the period that the establishment
has been in operation (if less than three years), and the BLS injury
and illness rates for the industry.

The date and type of each consultation visit conducted during the
time the employer was working toward SHARP approval or
renewal.

A copy of the completed Form 33 for the establishment’s
complete safety and health program review.

The list of all hazards identified and the corrective actions
documented in OIS.

Description of any workplace incentive program assessed by the
Consultation program, including any updates made to align the
program with the OSHA policy.

A copy of a mutually agreed upon Action Plan, which will provide
an outline for the continuous improvement of the employer's
safety and health program (see subparagraph I.E.3 above).

The recommended deferral period (see subparagraph I.J below).

Employer verification of the number of employees at the
establishment and corporate-wide; and

Verification of the employer's request to participate in SHARP.

Notification of Approval. If a SHARP or Pre-SHARP participation request is
approved by the RA or State Designee, the CPM must inform the
employer of the duration of the deferral period.

10.

Referrals and Enforcement Inspections. CPMs must follow procedures
outlined in Chapter 7, Relationship to Enforcement, for SHARP and PreSHARP establishments.

11.

Whistleblower Complaint Notification (regarding occupational safety and
health). Upon notification by an employer, the CPM must immediately
inform the RA or State Designee of any whistleblower complaints
received by an employer, after obtaining approval to participate in SHARP
or Pre-SHARP.

12.

Renewal Notifications. The Consultation program must notify employers
to request a consultation visit for SHARP renewal assessment between
sixty (60) and one hundred eighty (180) calendar days before the
expiration of SHARP status to prevent a lapse in deferral from OSHA
programmed inspections (or notify employers participating in Pre-SHARP
to request a consultation visit to determine eligibility to participate in
SHARP between 60-180 calendar days before the expiration of Pre-SHARP
status).

13.

Review Interim Year SHARP Site Self-Evaluations. The Consultation
program must review the employer’s Interim Year Self-Evaluation and
follow-up to address any safety and health concerns. The nature of the
follow-up will be at the discretion of the CPM (e.g., telephone
conversation, consultation visit). Interim Year SHARP Site SelfEvaluations will be entered into OIS within the SHARP Module.

Regional Administrator or State Designee Responsibilities. Upon receipt of all
information required to assess eligibility to participate in SHARP, including
verification that the establishment has met all SHARP participation requirements
(see subparagraphs I.H.8 and I.K (as applicable)), the RA or State Designee will:
1.

Review all required information for SHARP approval requests submitted
by the Consultation program; clarify any inconsistencies; check the
Whistleblower database information on complaints and dispositions
(regarding occupational safety and health issues); and verify that the
employer has met all SHARP requirements.
94

Whistleblower Complaints. If an employer requesting approval for initial
SHARP participation or renewal is the subject of an open WPP case
(regarding occupational safety and health issues), the RA or State
Designee, may exercise discretion to delay approval until such time as the
WPP case is resolved.

If the RA or State Designee concurs to approve the SHARP participation
request, he or she must provide the SHARP certificate and transmittal
letter to the employer no later than twenty-five (25) federal working days
from the receipt of the request to participate in SHARP containing all
required information, including verification that all requirements have
been met. The certificate will include the name of the establishment
awarded SHARP, location of the establishment, and the period of deferral
from OSHA or the State Plan's programmed inspection schedule. The
Regional Office must indicate SHARP approval in OIS and input the
approval dates for tracking purposes.

Notify the appropriate OSHA Area Office or State Plan Office of the
establishment's SHARP approval status and facilitate the removal of the
establishment from the programmed inspection schedule for the
approved deferral period.

Provide a copy of the SHARP certificate and the transmittal letter to the
CPM for the case file.

Update the status for SHARP participation requests in OIS (i.e., Approved,
Rejected, Terminated, or Withdrawn). The RA will notify DCSP of
establishments added to or removed from SHARP on a monthly basis.
The State Designee will notify the RA of establishments added to or
removed from SHARP.

Referrals and Enforcement Inspections Related to SHARP Establishments.
Follow procedures outlined in Chapter 7, Relationship to Enforcement,
for SHARP establishments.

Duration of SHARP Status.
1.

All initial approvals of SHARP status will be for a period of up to two (2)
years, commencing from the date the RA or State Designee approves an
employer's SHARP application. After the initial approval, all SHARP
renewals cannot exceed a period of three (3) years.

The period of deferral from the programmed inspection schedule will
begin on the date that the RA or State Designee approves the employer's
request to participate in SHARP.

During the participation period, employers must submit the following to
the CPM:
a.

A copy of the establishment's OSHA Forms 300 and 300A;

A copy of the establishment's Injury and Illness incident reports;
and

Information regarding the completion of item(s) set forth in the
Action Plan.

SHARP Renewal Requirements. The CPM will begin to process an employer's
request for SHARP renewal when the requirements outlined in subparagraph
I.H.8 for SHARP participation and the following requirements have been met:
1.

The Consultation program has conducted a full-service safety and health
consultation visit and a complete safety and health program review using
Form 33, to ensure that the safety and health program continues to be
effectively implemented and improved upon;

The Consultation program has verified that the employer continues to
meet all eligibility and program requirements; and

The Consultation program received and reviewed the employer's Interim
Year SHARP Site Self-Evaluation for the previously approved SHARP
participation period, an updated Action Plan (see subparagraph I.E.3
above), and the OSHA Forms 300 and 300A. Any deficiencies identified
were promptly corrected by the employer. The employer's Interim Year
SHARP Site Self-Evaluation and updated Action Plan are required to
assess the employer's continued eligibility, during the SHARP
participation renewal years, and must be included with the renewal
request submitted by the Consultation program to the RA or State
Designee.

SHARP Renewal Approval. Renewal for SHARP participation must be approved
by the RA or State Designee prior to the expiration of SHARP status to assure
continued eligibility for deferral from the programmed inspection schedule. The
Regional Office must enter the SHARP renewal status into OIS within the SHARP
Module.

If an employer fails to request a consultation visit to assess eligibility for SHARP
renewal before the expiration of the SHARP deferral period, the CPM may
process the renewal request at the discretion of the RA or State Designee. It is
the responsibility of the CPM to ensure that renewal of SHARP status occurs
before the expiration of the deferral period (see subparagraph I.H.12).
II.

Pre-SHARP Status. Pre-SHARP is an achievement recognition program awarded to
small businesses that do not meet SHARP participation requirements, but show a
reasonable promise of achieving agreed-upon milestones and time frames to meet
SHARP participation requirements, within the Pre-SHARP deferral period. Small
businesses that achieve Pre-SHARP status, may be granted a deferral from OSHA or the
State Plan’s programmed inspection schedule (see subparagraph II.D).
A.

Employer Eligibility. To begin the evaluation process for Pre-SHARP
participation, Consultation programs must inform employers that they must
meet the following criteria:
1.

Operate a small business (see Chapter 1, Section XII.B for the exception
to the small business size requirement).

Have at least one (1) year of operating history at the particular
establishment for which the employer is seeking Pre-SHARP participation.

Request and receive a consultation visit that involves a full-service safety
and health hazard assessment, and a complete review of the
establishment's safety and health program.

Submit injury and illness records, OSHA Forms 300 and 300A, for the
current year and three preceding calendar years, or for the period that
the establishment has been in operation (if less than three years).

Submit a request to participate in Pre-SHARP. The request must be
submitted by the employer.

OSHA or State Plan Enforcement Inspection History. See subparagraph
I.A.6.

Pre-SHARP Requirements. The CPM shall inform employers that the following
criteria must be met prior to and following the granting of Pre-SHARP status.
1.

Initial Requirements.

Receive a consultation visit that involves a full-service safety and
health hazard assessment and a complete review of the
establishment's safety and health program using Form 33.

Post the List of Hazards identified by the consultant(s).

Provide information regarding all hazards identified by the
consultant(s) to employees.

Correct all identified hazards (serious, other-than-serious,
imminent danger) and regulatory violations identified by the
consultant(s).

Submit hazard correction verification to the Consultation
program.

Inform employees of hazard correction(s).

Provide evidence of having the foundation of a safety and health
program.

Pre-SHARP Participation Requirements.
a.

Implement the Action Plan developed with the consultant and
approved by the CPM outlining the necessary achievements and
time frames required for the employer to achieve SHARP status.
The employer must provide timely progress reports to the CPM
(see Appendix F of this Instruction).
The Action Plan must include achievable and measurable goals,
objectives, and corrective measures to address deficiencies in the
implementation of the safety and health program (i.e., attributes
of Form 33 for which the employer received a rating of 0 or 1).
At a minimum, the Action Plan must include a list of action items
that the employer has agreed to implement and the projected
completion dates for each action item to achieve the
organization’s safety and health goals and objectives for
addressing deficiencies in the safety and health program and
attain SHARP status.

Upon receipt of an approval letter from the RA or State Designee
granting Pre-SHARP status, the employer must post the letter in a
conspicuous area. At establishments having recognized employee
representative(s), the employer must notify the employee
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representative(s) of the employer's intention to participate in PreSHARP and involve the recognized employee representative in the
process.
c.

Involve employees in the safety and health program, including the
implementation of the Action Plan.

Notify the CPM about changes in working conditions (e.g., new
work processes) that might introduce new hazards into the
workplace (see subparagraph III.A.3).

Notify the CPM when the employer plans to relocate the
establishment, at least sixty (60) calendar days in advance of
relocation (see subparagraph III.A.1).

Notify the CPM whenever ownership or major organizational
changes occur that could affect the effectiveness of the safety and
health program (see subparagraph III.A.2).

Within three (3) working days of receiving a whistleblower
complaint (regarding occupational safety and health issues),
notify the CPM of the complaint and send the CPM a copy of the
complaint disposition.

Notify the CPM immediately in the case of an OSHA or State Plan
enforcement inspection at the establishment. The employer must
notify the CPM immediately of a catastrophe, fatality, or severe
injury incident at their establishment. The employer must comply
with OSHA or their State Plan mandated reporting requirements.
See Chapter 7, Section VI.D.

Agree to a consultation visit that involves a full-service safety and
health hazard assessment and a complete safety and health
program review using Form 33, at the end of the Pre-SHARP
deferral period, which will initiate the process for evaluating the
employer’s eligibility to participate in SHARP.

Anti-Retaliation Program. See subparagraph I.C above.

Pre-SHARP Deferral Time Frame. The deferral time frame recommended by the
CPM must not exceed a total of eighteen (18) months from the expiration of the
latest hazard correction due date(s), including extensions.

Consultation Program Responsibilities. The Consultation program must:
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Verify both correction of all hazards identified and compliance with the
requirement to post the List of Hazards.

Perform functions specified in subparagraphs I.H.2 through 6, for PreSHARP participation requests.

Determine if the employer is capable of meeting all SHARP requirements
within the deferral period, including DART and TRC rate requirements.

Assist the employer in the development of an Action Plan to be
implemented by the employer.

Provide the RA or State Designee a copy of the employer's Form 33
evaluation, the Action Plan, documentation of the List of Hazards
identified and corrective actions in OIS, injury and illness records (see
subparagraph II.A.4), description of any workplace incentive programs,
and any open WPP case (regarding occupational safety and health
issues).

Provide a signed notice of intent to participate in Pre-SHARP, to be
posted by the employer.

Provide the RA or State Designee a letter or e-mail certifying that the
employer exhibits reasonable promise of achieving the agreed-upon
milestones within the Pre-SHARP deferral period.

Recommend a Pre-SHARP deferral period to the RA or State Designee
(see subparagraph II.D).

Perform functions specified in subparagraphs I.H.8 through 11, for PreSHARP establishments.

10.

Submit the request to participate in Pre-SHARP in OIS.

11.

Request that the RA or State Designee terminate the employer's PreSHARP status if the employer fails to maintain Pre-SHARP requirements
or fails to meet SHARP requirements within the established time frame.

12.

CPMs may choose to delay recommending approval to participate in PreSHARP for an establishment with an open WPP case (regarding
occupational safety and health issues) until such time as the WPP case is
resolved.

Regional Administrator or State Designee Responsibilities. The RA or State
Designee may grant a deferral from OSHA programmed inspections for the
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period recommended by the CPM after receiving and reviewing all required
information for requests to participate in Pre-SHARP, no later than twenty-five
(25) federal working days from the receipt date. The RA or State Designee will
notify the appropriate OSHA Area Office or State Plan Office of the deferral
period and provide the Pre-SHARP award letter to the employer as well as a copy
to the CPM.
1.

III.

Prior to granting a deferral, the RA or State Designee must concur that:
a.

The establishment has met or is likely to meet the applicable
DART and TRC rate requirements;

The employer has in place the foundation of a safety and health
program; and

The Action Plan adequately outlines the goal, recommended
method of correction, and an expected completion date for each
attribute of Form 33 that received a rating of less than "2” (see
subparagraph II.B.2.a).

The RA or State Designee will update the status for Pre-SHARP
participation requests in OIS (i.e., Approved, Rejected, Terminated, or
Withdrawn). The RA will notify DCSP of establishments added to or
removed from Pre-SHARP on a monthly basis. The State Designee will
notify the RA of establishments added to or removed from Pre-SHARP.

Whistleblower Complaints. If an employer requesting to participate in
Pre-SHARP is the subject of an open WPP case (regarding occupational
safety and health issues), the RA or State Designee may exercise
discretion to delay approval until such time as the WPP case is resolved.

General Employer and Consultation Program Obligations.
A.

Changes that Could Affect a SHARP or Pre-SHARP Employer's Eligibility.
For all changes described below, the CPM must request that the employer
correct any identified deficiencies and verify correction. If the employer fails to
correct identified deficiencies within the agreed upon timeframe, the CPM
should encourage the employer to voluntarily withdraw or established
termination procedures will apply.
1.

Relocation. Consultants must inform employers planning to relocate
their facilities that they must notify the Consultation program sixty
calendar (60) days in advance of the move. Consultants must also
conduct a consultation visit to the new location within thirty calendar
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(30) days after it becomes operational to ensure that an effective safety
and health program is in place and all SHARP or Pre-SHARP participation
requirements are being met. If this is not the case, the CPM must
request that the employer correct identified deficiencies and verify
correction.

Change in Ownership and Organizational Changes. Whenever ownership
or major organizational changes occur that may impact the effectiveness
of a company's safety and health program, the employer must notify the
CPM. The CPM must then discuss the changes with the employer and
schedule a consultation visit, if necessary.

Changes in Working Conditions that Introduce New Hazards. Whenever
there are changes in working conditions (e.g., new processes) that might
introduce new hazards into the workplace, the employer must notify the
CPM. The CPM must discuss the changes with the employer and
schedule a consultation visit, if necessary.

Voluntary Withdrawal or Termination from SHARP or Pre-SHARP. If an
employer fails to maintain the participation criteria outlined in this Chapter, the
CPM must give the employer the opportunity to voluntarily withdraw.
1.

Voluntary Withdrawal from the Program. Any approved SHARP or PreSHARP participant may withdraw at any time. Withdrawal may occur for
various reasons such as establishment closure, change in management,
or at the request of the employer or CPM. To withdraw, the employer
must send a letter explaining the withdrawal and/or return the SHARP
certificate or Pre-SHARP approval letter to the CPM. The withdrawal is
effective immediately upon receipt of the employer’s withdrawal letter
and/or SHARP certificate/Pre-SHARP approval letter.
The CPM will notify the RA or State Designee of the employer's
withdrawal from SHARP or Pre-SHARP. Withdrawal from the program
will result in termination of the deferral from OSHA or the State Plan
programmed inspection schedule.

Termination of Inspection Deferral Status. If an employer fails to
maintain the participation criteria outlined in this Chapter and refuses
the opportunity to voluntarily withdraw, the CPM must request that the
RA or State Designee terminate the employer's participation in SHARP or
Pre-SHARP. The employer and the Area Office or appropriate State Plan
Office must be notified in writing when an employer’s SHARP or PreSHARP participation is terminated. The written notice to the employer
must contain the reason(s) for the termination and outline the
requirements for re-entry.
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IV.

When there is a change in SHARP or Pre-SHARP status, the RA or State
Designee must update status information accordingly in OIS (i.e.,
Approved, Rejected, Terminated, or Withdrawn).

Enforcement Inspections, Incidents, and Appeal Process. Chapter 7 (Sections VI
through IX) describes the procedures for Consultation programs to follow when
enforcement inspections and incidents occur at SHARP or Pre-SHARP
establishments, and the appeal process for employers when participation is
terminated.

SHARP Pilots. SHARP Pilots enable OSHA to work with stakeholders (e.g., Consultation
programs, small businesses, industry representatives) to demonstrate the effectiveness
of alternative methods for achieving excellence in safety and health programs. All
SHARP Pilot Programs must conform to the requirements of 29 CFR 1908.
A.

Framework. SHARP Pilots must be designed to meet one of the following
requirements:
1.

Test alternatives, which, if successful, will allow previously ineligible
establishments to participate in SHARP.

Explore the application of SHARP in industries where OSHA lacks
substantial experience.

Test alternatives that could improve current standards in safety and
health management.

Explore opportunities to develop innovations and improvements in safety
and health management.

Duration. SHARP Pilots will be approved for an agreed upon timeframe not to
exceed five (5) years.

Process Overview. Consultation programs cannot implement SHARP Pilots
without first obtaining approval from the RA and DCSP. There are two types of
SHARP Pilots – pilots proposed by Consultation programs and national pilots
created by OSHA.
1.

SHARP Pilots Proposed by Consultation programs. Consultation programs
may propose SHARP Pilots if desired. Pilots proposed by individual
Consultation programs must be designed to fill an existing gap, address
one or more items in the framework described above, and be submitted
for review and approval by the RA with jurisdiction, in consultation with
DCSP.
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Proposals to implement a SHARP Pilot must include a description of the
Pilot, delineate the policies that will be used to administer the Pilot,
explain the data gathering techniques that will be utilized to evaluate the
Pilot, and explain how it will diverge from the standard requirements of
SHARP.

Consultation programs in OSHA jurisdictions must submit their
Pilot proposals or programs to the RA. The RA will review and
approve the Pilot in consultation with DCSP. Upon approval, the
RA will administer the Pilot, and the approval of individual
establishments to the Pilot.

Consultation programs in State Plans will submit their Pilot
proposals or programs approved by their State Designees to the
respective RA for review and approval in consultation with DCSP.
Following approval by the RA in consultation with DCSP, the State
Designee will administer the approved Pilot and approve
individual establishments to the Pilot.

The Consultation programs will be responsible for collecting
appropriate data, according to the structure of the Pilot and
submitting it to the RA annually.

The RA is responsible for submitting the Pilot data received from
Consultation programs to DCSP annually.

National SHARP Pilots Established by OSHA. National Pilots established by
OSHA must include a description of the Pilot, delineate the policies that
will administer the Pilot, explain the data gathering techniques that will
be utilized to evaluate the Pilot, and explain how it will diverge from the
standard requirements of SHARP.

On-Site Consultation Programs’ Proposals to Participate in a National SHARP
Pilot.
1.

Consultation programs that intend to participate in a National SHARP
Pilot must review the national program/policy for the Pilot and develop a
proposal or program for implementing the requirements of the national
Pilot consistent with the national policy.

Consultation programs in OSHA jurisdictions interested in participating in
a national Pilot must submit their proposals to the RA for review and
approval, in consultation with DCSP.
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Consultation programs in State Plans interested in participating in a
national Pilot must submit proposals approved by their State Designees
to the respective RA for review and approval, in consultation with DCSP.

Approval of Employers to Participate in SHARP Pilots. After a Consultation
program’s SHARP Pilot proposal or program has been approved by the RA, in
consultation with DCSP, the Consultation program must prescribe all SHARP
participation requirements in the Pilot to employers requesting to participate.
This includes on-site evaluations, periodic annual reviews, quarterly data
collection, and other monitoring techniques. Establishments approved to
participate in a Pilot will receive the same types of benefits as other SHARP
establishments. Establishments approved to participate in a Pilot will receive
deferrals from programmed inspections for a period of up to one (1) year. The
Regional Office must update OIS with the SHARP Pilot information in the SHARP
Module. The RA will notify DCSP of establishments added to or removed from
SHARP Pilots on a monthly basis. The State Designee will notify the RA of
establishments added to or removed from SHARP Pilots.

Outcome of a SHARP Pilot. After a SHARP Pilot has concluded, the RA or State
Designee will direct an assessment of the goals of the Pilot, including injury and
illness information, the effect of various policy changes, and other pertinent
information. The State Designee will share findings with the respective RA. The
RA will share findings with DCSP as well as a recommendation as to whether the
Pilot should be included in the general criteria for SHARP participation.

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Chapter 9
Monitoring of On-Site Consultation Programs
I.

II.

Purpose. The purposes of monitoring and evaluating Consultation programs are as
follows:
A.

Ensure and demonstrate the continued effectiveness of consultation services
provided to employers;

Ensure Consultation programs’ compliance with the requirements of the
Occupational Safety and Health Act, 29 CFR Part 1908, this Instruction, and other
policy issuances;

Discover areas in need of improvement, track progress in addressing previously
identified opportunities for continuous improvements, and highlight best
practices; and

Enable the Occupational Safety and Health Administration, (OSHA) Directorate of
Cooperative and State Programs (DCSP), to identify and address policy issues
affecting the OSHA On-Site Consultation Program.

Evaluation Parameters. The monitoring and evaluation process is based on the
following principles:
A.

The focus is to measure a Consultation program's outcomes against the goals set
in its Consultation Annual Program Plan (CAPP) and its contribution to the
achievement of OSHA or State Plan annual performance goals (see the current
On-Site Consultation Cooperative Agreement Application Instructions).

Completion of consultation visits including all required documentation in
accordance with appropriate standards.

Program performance parameters captured by the Mandated Activities Report
for Consultation (MARC) standards.

Effectiveness of a Consultation program’s Internal Quality Assurance Program
(IQAP).

The monitoring and evaluation process requires cooperative work between
OSHA and Consultation programs. The process described herein identifies
activities that will be performed by Consultation programs and those that will be
performed by OSHA. In State Plans the monitoring process requires coordination
between the Regional Administrator (RA) and State Plan monitoring staff to
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ensure that Consultation programs funded under Section 21(d) of the OSH Act
are not subject to two different sets of monitoring requirements.
III.

Framework of the Monitoring/Evaluation Process. The monitoring and evaluation of a
Consultation program’s performance will be assessed through the following means:
A.

Quarterly Discussions. The RA and the Consultation Program Manager (CPM)
must meet (or confer by telephone) at least once every quarter to review the
Consultation program's progress in meeting the goals in the CAPP and the MARC,
and address any issues that arise. The RA must document the issues discussed
and any commitments made during the quarterly discussions.
1.

Purpose. Quarterly discussions provide an opportunity to assess a
Consultation program’s performance on an ongoing basis. This method
of sharing information and conducting joint reviews of performance goals
on a quarterly basis facilitates the annual evaluation process and permits
early identification of potential issues or performance challenges. It also
identifies successful strategies that could be shared with other
Consultation programs.

Frequency and Timing of Quarterly Discussions. The purpose of quarterly
discussions is to review data and other relevant information for the
previous quarter. It is important for regions to hold quarterly discussions
within 1-2 months following the end of the previous quarter. The
scheduling of quarterly discussions should take into account the
availability of quarterly data, the extent of any preliminary review
needed, and submission deadlines for annual performance plans and
evaluation reports. Discussions must occur at least quarterly, however,
communication should not be limited to the quarterly discussions.
Informal discussions, working sessions, and other meetings for a variety
of purposes, including CAPP development, should be held as necessary.
Quarterly discussions may take place in person or via telephone.

Focus of Quarterly Discussions.

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Quarterly Meeting
First

Agenda Items as Areas of Focus
Discuss end-of-year data for the previous fiscal year, if available.
Discuss data sources to be used for Consultation program evaluation.
Review CAPP details and make any necessary adjustments.
Review the IQAP.
Agree upon a schedule for the year's quarterly discussions.
Discuss the annual evaluation process and reports for the previous
fiscal year (CAPR and Regional Annual Consultation Evaluation Reports
(RACER)).

Second

Third

Discuss due dates that permit submission of the CAPR to the National
Office by January 15; draft due to the Regional Office by December 115.
Discuss first quarter performance and mandated activities data to
assess the Consultation program's year-to-date progress toward its
annual performance goals, including activities supporting the agency’s
mission through special emphasis programs (National Emphasis
Programs (NEPs), Local Emphasis Programs (LEPs) and targeted
industries).
Discuss the contents of the evaluation reports for the previous fiscal
year (CAPR and RACER); RACER due to the National Office by April 30;
draft due to the Program by April 15.
Discuss second quarter performance and mandated activities data to
assess the Consultation program's year-to-date progress toward its
annual performance goals, including activities supporting OSHA’s
mission through special emphasis programs (NEPs, LEPs and targeted
industries).
Discuss any new or previously unresolved issues/concerns.

Fourth

Begin planning the goals and strategies to be included in the following
year's CAPP and dates for submission of the CAPP.
Discuss third quarter performance and mandated activities data to
assess the Consultation program’s year-to-date progress toward its
annual performance goals, including activities supporting the agency’s
mission through special emphasis programs (NEPs, LEPs, and targeted
industries).
Finalize next fiscal year's CAPP.
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Quarterly Discussion Topics. Prior to the meeting, the RA and the CPM
will agree to an agenda. As a courtesy, the agenda, applicable
documents, and data reports to be discussed should be shared between
the CPM and the RA prior to the meeting. Additional topics that may be
discussed at each quarterly meeting include:
•
•
•
•
•
•
•
•
•
•

On-site review schedule, findings/recommendations in the on-site
review report, Consultation program’s response to the report,
follow-up;
Staffing (current number of safety and health consultants,
vacancies, intent to fill vacancies, when new consultants will be
ready to conduct consultation visits independently);
Consultation program’s responses to RACER recommendations;
Safety and Health Achievement Recognition Program
(SHARP)/Pre-SHARP, potential new establishments and renewals;
OSHA or State Plan training courses;
Effect of state policies and procedures or other factors that
impact the Consultation program;
Best practices;
New and unresolved issues;
Appropriate use of resources; and
Other issues relevant to either party.

Documentation. The RA must maintain a written record of each
quarterly discussion indicating the date, location, and persons in
attendance, a summary of the significant issues discussed, and the
conclusions reached. Commitments made by either party, such as to
supply information or assistance, must also be documented. The RA
must provide copies of quarterly discussion reports to the Consultation
program.

Mandated Activities Report for Consultation (MARC). Mandated activities for
Consultation programs are tracked via the MARC report. (See Appendix G for a
complete list of the measures included in the MARC.) The MARC consists of
performance indicators, expected performance standards (where applicable),
and the Consultation program’s performance data.
1.

Frequency. The MARC report is available as an OSHA Information System
(OIS) report to be run independently at any time by a CPM. For the
National Office and Regional Office liaison calls, the MARC report is run
quarterly for each Consultation program and includes data for the most
recent quarter and fiscal-year-to-date.
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Data Sources. Most of the performance data will be obtained from OIS.
Some useful reports in OIS for tracking performance are Sampling Scan
Consultation Report, NAICS Activity Report, CNS Coding Summary Report,
Visit Scan Summary Report, EOY CNS Metrics, MARC, CAPP Tracking
Report, Requests Pending, Uncorrected Hazards, and Written Reports
Pending. However, in some instances, the CPM will be required to
submit data to the RA.

Measurement Standard or Reference. A Consultation program's
performance is compared to criteria established by regulation or policy.
These criteria are listed in the "Reference" column in the MARC report.

Guidelines for Use. The RA and CPM are to jointly review the MARC
reports quarterly, and discuss performance that does not meet the
standard. Initial review by all parties should take place before the
quarterly discussion.
a.

Initial Review. Any potential challenge or shortfall in performance
found during the initial review of the MARC data should be
investigated to determine its significance, cause, and any
necessary corrective actions.

Discussion of Findings. The findings and possible causes of any
performance variances should be presented at the quarterly
discussion. If additional analysis is required, the RA and CPM
should agree on how to proceed.

Further Review. Data collection and review should be considered
a joint responsibility whenever possible. The data sources to be
used, the method of evaluation, and issues of potential data
accuracy, should be addressed during the quarterly discussion.

Follow-up Action. If remedial action is required, the RA and CPM
should agree upon possible courses of action.

Annual Assurances (OSHA Restrictions and Conditions). Maintenance of the
fundamental On-Site Consultation Program requirements must be assured by an
annual commitment from the state through the On-Site Consultation
Cooperative Agreement. Effective implementation of the assurances is
monitored by the Consultation program through sound management practices
that include the effective use of an IQAP to assess performance data obtained
from OIS and other available information. In the event that an activity or
program element assured by the Consultation program is not observed, the RA
may conduct appropriate monitoring activities.
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On-site Review. An on-site review is a routine monitoring activity conducted by
the RA to assess the quality of a Consultation program’s services and its IQAP.
The RA must conduct a minimum of one (1) on-site review every two (2) years.
Additional reviews may be conducted when a Consultation program is
experiencing difficulties or for other reasons identified by the RA.
1.

Challenges or potential challenges in the general operational system
identified during the on-site review must be discussed during the on-site
review. The RA may interview the CPM and consultants regarding any
concerns or apparent challenges arising out of the on-site review. (See
Appendix I, Checklist for On-site Review.)

Review of Operational Elements. The on-site review must include a
review of:
a.

Training received by consultants;

On-the-job evaluations;

Lapse time from employers’ requests to the delivery of
consultation service (OIS: CNS Visit Metrics Report);

Management reports (i.e., pending written reports, pending
hazard corrections, number of employers’ requests for
consultation services, and pending consultation visits found in the
OIS Requests Pending Report);

Hiring and vacancies;

The Consultation program's budget (i.e., program expenditures this is not an audit);

Recent Consultation program developments;

Verification of the monitoring of consultants' performance;

Promotion of the Consultation program's recognition and
achievement programs (i.e. SHARP and Pre-SHARP);

Marketing initiatives;

Consultation program's IQAP;

The Consultant Function Competency Statements (Appendix K) is
another tool that can be utilized to verify performance and the
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training received by consultants. It can also be utilized by the
Consultation program for identification of core consultant
competencies, and by the RA for verification purposes;
Note: Appendix K also describes the authority of the RA to
evaluate the education and experience of prospective hires for
consultant positions prior to being assigned work under the 21(d)
Cooperative Agreement (see 29 CFR 1908.8(b)(1)&(2)).

The selection and use of proper personal protective equipment
(PPE); and

The appropriate use of the Safety and Health Program
Assessment Worksheet (Form 33) by consultants.

Case File Review. Case files are to be selected randomly from all closed
cases with closing conference dates in the nine (9) months preceding the
current on-site review using OIS reports (e.g., Visit Scan Detail Report,
Visit Scan Summary Report).
a.

Sample Size. The sample must include a minimum of three (3)
initial case files per consultant, up to a total of thirty-six (36). If a
Consultation program has more than one office and/or more than
twelve (12) consultants, additional case files can be reviewed as
appropriate. The sample must include consultants who have the
least experience as well consultants with seniority on the job. At
least two (2) of the three (3) case files selected per consultant
must be cases where serious hazards were found. For
Consultation programs where case files are retained in field
offices, the sample must be selected so that all field offices are
represented in proportion to the number of case files they
contribute to the total number of case files.

Sample Selection. Some useful OIS reports to help determine the
sample include the Samples in Draft Status Report, Sampling Scan
Consultation Report, and Visit Scan Detail Report. After
determining the total number of achievement recognition
program cases, the selection is to be made as follows:
i.

If the total number of SHARP or Pre-SHARP establishments
is more than ten (10), randomly select ten (10) of these
establishments, review all case files associated with the
ten (10) establishments, and then randomly select the
remainder of the sample from the non-SHARP/Pre-SHARP
case files.
112

ii.

If the total number of SHARP or Pre-SHARP establishments
is less than ten (10), select all case files associated with all
of them, and then randomly select the remainder of the
case file sample from the non-SHARP/Pre-SHARP case files.

iii.

If the randomly selected non-SHARP or non-Pre-SHARP
case files do not include at least five (5) Training and
Education case files, the sample should be increased by as
many randomly selected training files as needed to add up
to five (5).

Case File Review Focus. The quality of the following services
provided by the Consultation program must be evaluated on the
basis of the case files. (See Appendix I for the criteria applying to
Case File Review.) The RA must review and discuss the findings of
the Case File Review with the CPM including:
i.

Safety and health program assistance;

ii.

Identification and classification of hazards;

iii.

Recommendations for hazard correction and control;

iv.

Relationship of hazards found to deficiencies in the
employer's safety and health program;

Training and education;

vi.

SHARP evaluations;

vii.

Written Reports to Employers; and

viii.

Procedures for extension processing.

Review of Recent Consultation Program Developments. The RA must
review recent developments, which may include:
a.

Changes in staffing;

Recent developments within the Consultation program or its
larger organization (for example, state government or university)
which may impact the working conditions and staffing of the
Consultation program;
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The progress of consultants in meeting the goals of their annual
training plans;

Whether on-the-job evaluations are being conducted according to
the schedule established in the On-Site Consultation Cooperative
Agreement;

Budgetary issues; and

The status of previously discussed, analyzed, or corrected
performance issues.

Closing Conference. A closing conference must be held with the CPM, in
person or by telephone, to discuss the results of the on-site review and to
reach an agreement on actions to be taken by the Consultation program
to address any findings. OSHA must inform the CPM that the findings will
be reported in the RACER. A written list or summary of any findings and
recommendations for improvement will be provided to the CPM at the
closing conference.

Documentation of the On-site Review. The documentation of the on-site
review by OSHA must include a record of the total number of case files
available for review, a list of the case files contained in the sample, and a
copy of the summary letter sent to the CPM. The list of case files is to
include both the case number and the name of the company.
a.

Summary Letter/Summary Report. Within 45 calendar days after
the on-site review, the RA must send the CPM a letter or a report
documenting any findings and time frames for addressing them.
The report will include any recommendations. The report must
include the operational elements listed in section III.D.2 of this
Chapter. As a courtesy, a draft of the report shall be sent to the
CPM prior to the official transmission of the final report so that
the CPM may have a sufficient period to comment on the draft.

Final Findings. Final findings must be included in the RACER.

Response to the Report. A formal response to the on-site review
report shall be provided by the Consultation program to the RA
within forty-five (45) calendar days of receiving the final report.
The response shall include documentation and assurances of all
actions taken/that will be taken to address findings, and the
completion dates/projected completion dates. The Consultation
program may include in the response if/how recommendations
will be addressed. In addition, the Consultation program will
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provide the RA with updated information on the status of
outstanding findings by the agreed upon timeframe(s).
d.

IV.

Follow-up to the On-site Review. Subsequent quarterly
discussions with the CPM should include appropriate follow-up on
any issues identified in the on-site review report. Resultant
programmatic changes or improvements to the Consultation
program must be discussed and documented as part of the
quarterly discussions.

Other Evaluation Tools. Additional evaluation tools, including OSHA’s interviews
with Consultation program staff, case file reviews, and further analysis of issues
identified in routine monitoring, may be used as needed to address questions of
Consultation program performance in relation to its approved goals or its
mandated responsibilities.

Annual Evaluation Reports. Annual evaluation reports, described below, are to be
submitted via electronic methods such as email.
A.

Consultation Annual Program Report (CAPR). Each Consultation program must
prepare a CAPR to summarize and analyze the progress made in attaining the
goals set out in its Consultation Annual Program Plan (CAPP). The CAPR must
include a summary and evaluation of the outcome data, a summary of the
quarterly progress updates, discussion of obstacles faced, and the reasons for
not meeting projected goals. The CAPR is prepared after the end-of-year data
has been compiled and is due annually by the end of the calendar year to the RA.
Some useful OIS reports to assist with this process are: the CAPP Tracking
Report, the Coding Summary Report, and the NAICS Activity Report.
1.

Due Date. The CPM must submit the CAPR to the RA by December 1 of
each year. The RA must forward all CAPRs to DCSP by January 15 of each
year.

Content. The CAPR must include the following elements:
1.

Executive Summary. The Executive Summary highlights key
contributions; puts results into context with the OSHA or State
Plan Strategic Plan and the Consultation program’s budget;
clarifies the program’s rationale, relationships between major
program activities and the intended results; and identifies
successful and unsuccessful efforts as well as the methods with
which the Consultation program will revise strategies to achieve
the desired results.

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Discussion of Results in Achieving CAPP Performance Goals. The
discussion of results in achieving CAPP performance goals must
include the following:
i.

For each OSHA or State Plan annual performance goal
addressed in the CAPP, the CAPR must contain a summary
of results achieved including an evaluation of the
strategies and activities used to achieve the goals set in
the CAPP. Questions to address may include:
• Did these strategies work and were the activities
used to implement them effective?
• What modifications are needed to the strategies
and activities to more effectively reach goals?
• Were there situations where external factors
affected performance?
• Are there ways to coordinate with others or
leverage resources or knowledge to help achieve
goals?

ii.

Any specific performance measures relating to the
Consultation program or performance measures
developed by the CPM must be analyzed in the CAPR.
Questions to address may include:
• Did the results exceed expectations, and by how
much?
• Did activities and efforts fall short of expectations,
and by how much?

iii.

Finally, the measures themselves must be evaluated. Did
the program evaluate the right things, did they measure
things that they had direct control over, and were the data
elements essential to measuring the effectiveness of
strategic goals, strategies and activities? What
measurements were effective in gauging performance and
what measurements were simply counts of activities? Did
the Consultation program use measurements to evaluate
progress and adjust future implementation strategies?

Special Accomplishments. These could be results that were far
beyond expectations; and successes that were achieved in areas
or constituencies that had formerly been considered difficult or
unlikely. These could also outline the success of a new
methodology or activity that could be implemented in other
states.
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Other Issues or Adjustments. Comment on these issues and
describe proposed actions or adjustments:
i.

Results relating to any state-specific initiatives, if any.

ii.

Areas where annual goals were not met or new issues
have emerged.

Internal Quality Assurance Program (IQAP). Describe the findings
on each element of the IQAP and discuss the status of planned
and/or completed measures taken or that will be taken to make
needed improvements. See section VIII of this Chapter for the
required elements of the IQAP.

Regional Annual Consultation Evaluation Report (RACER). The RA prepares this
report with supporting information provided in the CAPR and other Consultation
program reports. The RACER analyzes the results attained by the Consultation
program and evaluates its mandated activities performance. Documentation of
any findings and recommendations for addressing them, as well as a summary of
the reports of quarterly discussions, must be included. For further details
regarding preparation of the RACER, the RA can refer to the current year’s
guidance on the On-Site Consultation Program limited access web page.
1.

Due Date. The RA must submit each Consultation program's RACER to
DCSP by April 30 of each year.

Contents. The RACER must include the following elements:
a.

Executive Summary. This section provides a bullet-point summary
of the Consultation program’s performance and any items on
which it must take action for continuous improvement.

Assessment of the Consultation Program's Annual Performance in
Relation to its Consultation Annual Program Plan. This section
must include an analysis of the Consultation program's
performance as it relates to the projections and goals outlined in
its CAPP. The RA’s analysis must include an evaluation of the
results presented in the Consultation program’s CAPR. It must
also include documentation of any findings and recommendations
for addressing them as well as a summary of the reports of
quarterly discussions.

Assessment of Program's Performance of Mandated Activities.
This section evaluates the Consultation program's continued
performance of its mandated activities as determined by a review
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of the MARC data; the program's IQAP; and, if an on-site review
was conducted that year, the results of the on-site review.
d.

Other Issues (Optional). The RA may wish to address or highlight
additional issues regarding the Consultation program's
performance that were not included in the previous sections of
the report.

Dispute Resolution Process. The RA and CPM should resolve differences at the lowest
organizational level possible. In the event a resolution cannot be reached on an issue
relating to program administration or the monitoring and evaluation system in place,
either the RA or CPM may seek resolution by the Assistant Secretary for Occupational
Safety and Health through established channels.

VI.

Development, Review, and Monitoring of Consultation Annual Program Plans. The
primary focus of monitoring and evaluation is the CAPP that identifies the strategies and
activities to be undertaken by the Consultation program to support the OSHA or State
Plan strategic and annual performance plan.

VII.

Criteria for Acceptable Performance by the Consultation Program. The following
criteria will be used by the RA to determine whether a Consultation program's
performance falls within the range of acceptability:

VIII.

Monitoring must focus on evaluating a Consultation program's performance
against its own established performance goals outlined in the CAPP. Individual
Consultation program’s performance should not be compared to the
performance of other Consultation programs.

In the absence of outcome-level data, the RA and the CPM should jointly review
resource information in conjunction with areas likely to provide an impact to
determine the effectiveness of the Consultation program.

All Consultation programs are expected to achieve the goals outlined in the
CAPP. In certain circumstances, substantial progress toward performance goals
may constitute acceptable performance. Where progress has not been to an
acceptable degree, either or both the CAPR and RACER must contain an analysis
of the factors contributing to the unexpected outcomes and the identification of
necessary changes in strategy or program operations.

Required Elements of an Internal Quality Assurance Program (IQAP). Every
Consultation program must operate an IQAP to ensure it continues to meet program
requirements covered by the assurances in its On-Site Consultation Cooperative
Agreement. A comprehensive IQAP must include systems to ensure:
A.

Training and supervising consultants through the use of:
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On-the-job evaluations;

Review of work products;

Training requirements established in the current year’s On-Site
Consultation Cooperative Agreement and mentoring for all new hires;

Materials and information in technical links found on the OSHA website;
and

Consultation Function Competency Statements should be adhered to for
training and orientation purposes. See Appendix K.

Communicating (verbally or in writing) to employers:
1.

Employers’ rights and obligations;

The relationship between the OSHA On-Site Consultation Program and
enforcement; and

Program, state, or other policies and procedures.

Hazards are identified, appropriate hazard correction recommendations are
offered to employers, and hazard correction is verified.

Program management that includes:
1.

Clearly written and regularly communicated policies and procedures;

Use of data and other information to effectively manage the Consultation
program;

Individual accountability;

Maintenance of program uniformity through regular communication,
updates, and meetings;

Promoting and marketing of consultation services to targeted employers
and stakeholders; and

Evaluating service delivery using random audits (and other optional
evaluative tools, such as surveys, questionnaires, focus groups, or
training evaluations) to check for broad, programmatic trends in service
delivery.
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IX.

Evaluation Reports. Each year, the RA and the CPM prepare reports documenting the
Consultation program’s results with respect to its CAPP and its mandated activities. The
CPM prepares the CAPR, and the RA prepares the RACER. The results reported in the
CAPRs and RACERs are aggregated by the National Office into a summary of
Consultation program activities and outcomes, and used for policy and decision making.

Further Analysis. Issues identified for further analysis in the course of routine
monitoring should be examined in terms of their impact on the effectiveness of a
Consultation program's operations. In addition to the MARC, customized OIS reports
with limited selection criteria may be useful, these include the CNS Coding Summary
Report, CNS Statistics Report, CNS Evaluation Report, and the CNS Visit Metrics Report.
Other approaches available to the RA or State Designee include:

XI.

Interview. An interview is a planned discussion to obtain information from
specific Consultation program staff, employers, employees, or other persons,
apart from personal communication that occurs during an on-site review or as
part of day-to-day communication with staff.

Non-Routine Case File Review. A non-routine case file review may be conducted
to examine the documentation relating to a specific consultation visit. If a case
file review is used in conjunction with an interview, it may serve to verify the
observed Consultation program activity.

Other Sources of Information. Sources of information other than those
specified in this Chapter may include, but are not limited to, attendance at
training sessions, examination of program documents other than case files,
review of equipment or laboratory facilities, and evaluation of sample analyses.
The RA and the Consultation program may determine other sources of
information that may need to be accessed.

Studies Initiated by the Assistant Secretary. The Assistant Secretary for Occupational
Safety and Health may initiate special studies of a Consultation program to review
recent activities or the implementation of consultation policies and procedures.

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Chapter 10
Process Safety Management of Highly Hazardous Chemicals
I.

Purpose. This Chapter provides mandatory guidance that On-Site Consultation
programs will use to evaluate processes or operations covered by the Process Safety
Management (PSM) of Highly Hazardous Chemicals standard (i.e., PSM standard), 29
CFR 1910.119 or 29 CFR 1926.64. (See Sections IV.C&D of this Chapter for additional
information.)
The guidance in this Chapter does not invalidate any policy or procedure specified
elsewhere in this Instruction.
A.

Overview.
1.

The PSM Evaluation Worksheet (Appendix L-1) contains guidelines for
assessing processes covered by the PSM standard. The worksheet is a
tool for evaluating an employer’s PSM Program and should be used in
conjunction with other relevant technical resources (e.g., consensus
standards, Recognized and Generally Accepted Good Engineering
Practices (RAGAGEP)).

The worksheet is designed to assist PSM qualified consultants with
evaluating processes covered by the PSM standard consistent with OSHA
requirements in:

29 CFR 1910.119, Process Safety Management of Highly
Hazardous Chemicals;

29 CFR 1910.119 Appendix A, List of Highly Hazardous Chemicals,
Toxics, and Reactives (Mandatory);

29 CFR 1910.119 Appendix B, Block Flow Diagram and Simplified
Process Flow Diagram (Nonmandatory); and

29 CFR 1910.119 Appendix C, Compliance Guidelines and
Recommendations for Process Safety Management
(Nonmandatory).

Each section of the worksheet contains assessment questions to review
the implementation of a PSM Program element required by the PSM
standard. Some assessment questions in the worksheet include
evaluation tips. The assessment questions and evaluation tips are not allinclusive.
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The worksheet includes assessment tables. These are optional resources
that PSM qualified consultants may use when conducting PSM
evaluations:
a.

Table C-1, Hazards of Highly Hazardous Chemicals Used at the
Establishment;

Table C-2, Relief System Design and Design Basis Used at the
Establishment;

Table D, Assessment of the Employer’s Written Schedule for
Implementing Process Hazard Analyses Recommendations;

Table E, Review of Equipment Inspection Records; and

Table M, Workers Training Review.

Qualification and Training Requirements for Consultants.
1. Qualification requirements for consultants:
a.

The assessment of a PSM process and completion of the PSM
Evaluation Worksheet must be done or led by consultants that the
respective Regional Administrator (RA) has determined have the
appropriate education, training, skills and experience (i.e., PSM
qualified consultants), in accordance with 29 CFR 1908.8(b)&(c).

RAs will apply the following guidance to determine the
qualification level of a consultant:
i.

RAs will use guidelines established for training and
experience in the OSHA PSM Covered Chemical Facilities
National Emphasis Program, CPL 03-00-021 (January 17,
2017), to determine a consultant’s qualification level; or
follow guidelines established for the respective State
Plan’s compliance safety and health officers (CSHOs)
specific to PSM.

ii.

When requested by the Consultation Program Manager
(CPM), RAs will review training and experience acquired
prior to working for the Consultation program, to
determine a consultant’s qualification level (following the
guidance in paragraph (i) above).

iii.

When requested by the CPM, RAs will review the training
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and experience of consultants who have led a PSM
assessment prior to the effective date of this guidance,
following the training and experience requirement of the
previous PSM Covered Chemical Facilities National
Emphasis Program directive, CPL 03-00-014. If the RA
finds that the requirements for Level 1 qualification in CPL
03-00-014 were met, those consultants do not have to
meet the six PSM assessment experience criteria for Level
1 qualification specified in CPL 03-00-021.

Consultation programs that do not intend to use OSHA Training
Institute courses to comply with training requirements must
obtain prior approval from their respective RA.

Regions will submit requests for alternative courses for ammonia
refrigeration processes to the Directorate of Enforcement
Programs (DEP), Office of Chemical Process Safety and
Enforcement Initiatives (OCPSEI) for review. DEP will determine if
criteria for approval are met.

Options that CPMs can explore to help consultants gain professional/field
experience include the following:
a.

CPMs may coordinate with their Regional Consultation Program
Officers (RPO) or State Plan offices for consultants seeking
professional experience opportunities to actively participate in
PSM assessments led by qualified OSHA/State Plan personnel
(e.g., OSHA Directorate of Technical Support and Emergency
Management’s (DTSEM), Health Response Team (HRT);
Compliance Assistance Specialists (CAS); OSHA Voluntary
Protection Programs (VPP) PSM Level 1 auditors or Special
Government Employees (SGE) in VPP; CSHOs).

CPMs may also coordinate the active participation of consultants
in PSM assessments led by consultants, supervisors, or CPMs who
meet qualification requirements verified by the respective RA and
have at least three years of experience leading PSM assessments.

For a professional experience activity to count towards PSM qualification,
consultants accompanying PSM qualified personnel to evaluate PSM
covered processes must actively participate (i.e., identify hazards,
corrective actions, and complete draft PSM Evaluation Worksheets
describing findings and recommendations).

OSHA Training Institute PSM courses should never be taken out of order.
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Consultants taking the courses should do so in sequence, due to the
progressive nature of the course content (i.e., OSHA 3300 first, OSHA
3400 second, and OSHA 3430 third).

II.

Technical Assistance. Consultation programs may receive technical assistance to
address PSM related questions or inquiries through their respective RPO, from
DEP/OCPSEI or DTSEM/HRT.

OSHA PSM Evaluation Supplements.
1.

Accompanying supplements developed by OSHA (i.e., OSHA Dynamic Lists
of Questions) for PSM process audits will be made available separately as
additional technical resources that consultants can use to assess PSM
processes.

The supplements are for internal OSHA or On-Site Consultation Program
use only. Consultants must not share the supplements with employers or
individuals outside the On-Site Consultation Program or OSHA.

Guidelines.
A.

All guidance specified in this Instruction for conducting consultation visits remain
applicable when using the PSM Evaluation Worksheet, this includes definitions
for the Safety and Health Achievement Recognition Program (SHARP), PreSHARP, full-service consultation visits, and limited-service consultation visits.

The worksheet serves as a technical guide for PSM qualified consultants to use in
assessing PSM processes, in addition to other technical resources. PSM qualified
consultants will complete the worksheet by documenting findings and
recommendations in the appropriate PSM Program element sections. Findings
and recommendations using other technical resources may be documented in
the appropriate sections of the worksheet or attached to the worksheet in any
format.

PSM qualified consultants will include completed worksheets in employers’ case
files. The Written Report to the Employer will include identified hazards in the
hazards section, and recommendations for improvement in the
recommendations section.

Consultation programs may receive various types of requests for consultation
services from employers such as requests for SHARP or Pre-SHARP participation,
full-service consultation visits (see Section IV.C); limited-service consultation
visits (see Sections IV.D&E); Training and Education visits, and compliance
assistance activities (see Chapter 5).
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III.

IV.

A PSM Program Evaluation is conducted when the consultant evaluates a whole
chemical process(es) at a workplace. This will require the on-site assessment of
a whole PSM process(es), and determination of the effectiveness of the
implementation of all PSM Program elements specified in 29 CFR 1910.119 at
the workplace.

PSM Interim Year SHARP Site Self-Evaluation.
A.

On-Site Consultation programs will advise employers participating in SHARP,
with PSM processes at their establishments to complete and submit Appendix L2, PSM Interim-Year SHARP Site Self-Evaluation; in addition to submitting
Appendix E, Interim-Year SHARP Site Self-Evaluation.

The Consultation program will review the PSM Interim-Year SHARP Site SelfEvaluation submitted by the employer, provide guidance to the employer to
address any identified deficiencies, and follow-up with the employer to verify the
implementation of necessary corrective measures.

Evaluating a Process Covered by the PSM Standard.
Appropriate education, training, skills, experience, and preparation are essential to
evaluate processes covered by the PSM standard. It is the responsibility of the CPM to
ensure that only PSM qualified consultants (as verified by the RA) conduct PSM process
evaluations. The PSM qualified consultant may conduct an evaluation solely or leading a
team. The CPM determines the appropriate use of Consultation program resources in
accordance with CPPM requirements and the annual Cooperative Agreement between
OSHA and the state or territory.
A PSM process evaluation occurs in two phases: Pre-Visit Preparation and On-Site
Assessment. Completion of these two phases may take several days or a few weeks
depending on the size and complexity of the PSM covered process.
A.

Pre-Visit Preparation.
1.

Determine PSM Applicability. The PSM qualified consultant will
determine the applicability of the PSM standard before conducting a
consultation visit, when there is reason to suspect that a process(es) at
an establishment may be subject to the standard.
Before conducting a consultation visit, the PSM qualified consultant will
use Appendix L-3, Determining the Applicability of the PSM Standard to
an Establishment, or other appropriate resources, to clarify if the PSM
standard applies, and identify the nature of any process involved (e.g.,
ammonia refrigeration, ammonia storage, chemical processing,
manufacturing of explosives and pyrotechnics). Findings using Appendix
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L-3 or other resources will be documented in consultants’ field notes and
may be included in the Executive Summary of the Written Report to the
Employer.
2.

Collect Information.
a.

Before a consultation visit, the PSM qualified consultant will
gather as much information as possible about a process covered
by the PSM standard. In some instances, it may not be feasible to
obtain some relevant documentation before a consultation visit
(.e.g., bulk documents without electronic copies, documented
information does not exist).

The consultant will request relevant documentation about the
PSM Program from the employer for review, communicate with
the employer to receive any necessary clarifications, identify any
shortcomings, and take note of findings (e.g., in the appropriate
sections of the PSM Evaluation Worksheet). This initial collection
of information will help the consultant prepare for a consultation
visit; begin to gain an understanding of how the process works
and how it can fail; identify potential hazards and mitigation
methods; and estimate how much time to allocate for the on-site
evaluation.

Gathering and reviewing information about the establishment’s
PSM Program for a process, before a consultation visit, could also
help the consultant determine if personnel with specific expertise
to assist with the evaluation is needed.

It is important for the consultant to understand the process
chemicals, process technology, and process equipment, as much
as feasible, before the on-site consultation visit. For instance,
process flow diagrams will indicate chemicals, equipment and
processes involved. Consultants will request information on
process flow and limitations such as flow rates, temperatures and
pressures, how the process interacts with adjacent processes
and/or operations; how failures can occur resulting in a release of
highly hazardous chemicals; and the maximum intended
inventories of all chemicals (in pounds) in each of the PSM units
(see 29 CFR 1910.119(d)(2)(i)(C)), their characteristics, safety and
health hazards to workers, as well as corrosion and erosion effects
on process equipment and monitoring tools. Piping and
instrumentation diagrams (P&IDs) will display piping, equipment
and instrumentation used. Compliance Audit Reports will provide
information such as previous deficiencies and corrective actions
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taken.
e.

Vital information to collect also includes: a list of all PSM process
units at the establishment and PSM process narrative
descriptions; unit electrical classification documents; descriptions
of safety systems (e.g., interlocks, detection or suppression
systems); PSM incident reports; process hazard analysis;
Emergency Action Plan (if the employer has 10 or fewer
employees they may communicate the plan orally as specified in
29 CFR 1910.38(b)); and Emergency Response Plan, if the
establishment is also required to comply with 29 CFR 1910.120(q).

If the establishment makes use of contractors in process areas,
then information about the contractor safety program will be
assessed such as (see subsections IV.C.2 and IV.D.5.g for
additional information): the host employer’s program for
evaluating contract employer’s safety information; the host
employer’s program/safe work practices for controlling the
entrance, exit, and work of contractors and their workers in
covered process areas; contractor employer’s documentation of
contract workers’ training, including the means used to verify
employees’ understanding of the training; contractors’ injury and
illness logs; and the host employer’s program for periodically
evaluating contractors safety performance.

Identify Applicable Regulatory and Professional Guidance. The consultant
will gather additional occupational safety and health information such as
applicable OSHA standards and RAGAGEP that apply to the specific
process. Industry reference materials are listed in the OSHA PSM Safety
and Health Topics webpage.

Select Personal Protective Equipment and Electronic Equipment.
a.

Before the consultation visit, the consultant will review the
employer’s procedures for selecting personal protective
equipment (PPE) such as fire resistant clothing, and allowable
electronic equipment (e.g., verify electrical hazard classification),
for the PSM process(es) that will be assessed.

The procedures must comply with 29 CFR 1910.119, PSM
standard, and 29 CFR 1910, Subpart I, PPE.

This review may be conducted at the establishment before
starting the walkthrough if it is not feasible to do so before the
on-site consultation visit.
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The consultant will proceed with the on-site assessment after
donning the proper PPE and having the appropriate equipment.

For additional guidance on PPE selection and camera/video use,
see OSHA PSM Covered Chemical Facilities National Emphasis
Program, CPL 03-00-021 (January 17, 2017).

Trade Secrets. The consultant will inquire from the employer if the PSM
process is affected by a trade secret and follow the guidance in 29 CFR
1910.119(p) and Chapter 3 of this Instruction, when applicable.

On-Site Assessment of PSM Program Implementation.
1.

The evaluation of a process covered by the PSM standard includes
conducting direct observations of conditions and activities at an
establishment during a walkthrough (i.e., an on-site assessment). The
consultant will continue documenting findings during the on-site
assessment. The worksheet and other technical resources serve as
guides for conducting an on-site assessment of a PSM process.

During the opening conference and walkthrough, consultants will ask
relevant questions to promote their understanding of the process and
how the facility implements the PSM Program elements. Consultants will
also familiarize themselves with the facility’s emergency response
procedures and emergency alarms.

During the walkthrough the consultant will assess the implementation of
the documented PSM Program at the establishment, identify any
shortcomings in the documented PSM Program, identify hazardous
conditions on-site, and check for consistency with applicable guidance
(e.g., regulatory requirements, consensus standards, RAGAGEP).

The on-site assessment will include interviewing host employers and their
workers, resident contractors (i.e., contractors and subcontractors) and
other workers at an establishment (e.g., temporary workers).

Resident contractors that are covered by the PSM standard at a host
employer’s establishment should provide responses to worksheet
assessment questions based on how their operations relate to the host
employer’s PSM covered process. A “Not Applicable” response is not
acceptable.

SHARP (includes SHARP renewals), Pre-SHARP, and Full-Service Consultation
Visits.
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A PSM qualified consultant must conduct an on-site assessment of the
whole PSM process (or all PSM processes, if there is more than one
process at the establishment), and evaluate the effectiveness of the
implementation of all PSM Program elements for SHARP, Pre-SHARP, and
full-service consultation visits (see PSM Program Evaluation in Section
II.E).

If there are no contractors on-site but the employer sometimes engages
contractors to do work, the PSM qualified consultant will assess the
implementation of the employer’s contractor safety and health
requirements through interviews and the review of relevant documents
(e.g., contracts, employer’s contractor safety and health policy (if any),
contractor safety programs on file, any incidents involving contractors in
recordkeeping logs).

PSM qualified consultants must use and complete the worksheet to
conduct PSM Program Evaluations for SHARP, Pre-SHARP, and full-service
consultation visits (this is in addition to using any other technical
resources (see Section II.B)).

The following exception applies:
a.

Although PSM qualified consultants must use the worksheet as an
assessment tool to conduct a PSM Program Evaluation, it is not
mandatory to complete the worksheet for a full-service
consultation visit when the employer has not implemented a PSM
Program for the workplace or there is hardly any evidence of PSM
Program implementation.

When the PSM qualified consultant chooses not to complete the
worksheet, pursuant to subsection IV.C.4.a (above) the consultant
will document the PSM process assessment findings resulting
from the full-service consultation visit in the field notes and in the
Written Report to the Employer (see Section II.C). The consultant
will advise the employer of the necessary steps to achieve
effective PSM Program development and implementation.

The PSM qualified consultant will comply with the scope of SHARP and
Pre-SHARP evaluations as described Chapter 8, Section I.B (i.e., fullservice on-site safety and health hazard assessments covering the entire
establishment, and a complete review of the establishment’s safety and
health program).

CPMs will not recommend SHARP (including SHARP renewals) or Pre129

SHARP approval until all deficiencies at an establishment have been
corrected as specified in Chapter 8, Section I.H.
7.

The PSM qualified consultant will comply with the scope of full-service
consultation visits as described in Chapter 3, Section IV.F (i.e., safety,
health, or both).

Limited-Service Consultation Visits.
1.

At the time of the employer’s request for consultation services, the
Consultation program will strongly recommend the benefits of a fullservice consultation visit, covering both safety and health disciplines,
which will include a thorough evaluation of the PSM Program, to enable
the most effective consultative assistance (see Chapter 3, Section IV.F).

It is not necessary to assign a PSM qualified consultant to conduct a
limited-service consultation visit when the scope of the consultation visit
does not include a process covered by the PSM standard at the
workplace. Additionally, use of the worksheet will not apply, because the
PSM process is not within the scope of the request for consultation
services.

A PSM qualified consultant must conduct the consultation visit when the
scope of the employer’s request for a limited-service consultation visit
involves a process or portion of a process covered by the PSM standard at
the workplace.

Limited-service consultation visits when the scope of the employer’s
request for consultation services includes the assessment of a whole PSM
process(es) at the workplace:

The PSM qualified consultant will conduct a PSM Program
Evaluation following the same requirements in subsection IV.C.1
through 3 above for the PSM process(es).

The PSM qualified consultant may follow the exception described
in subsection IV.C.4, when the employer has not implemented a
PSM Program for the workplace or there is hardly any evidence of
PSM Program implementation.

Limited-service consultation visits when the scope of the employer’s
request for consultation services includes only a specific portion(s) of a
PSM process(es):
a.

A PSM Program Evaluation as defined herein cannot be conducted
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with these types of requests for consultation services (see Section
II.E).
b.

Although PSM qualified consultants must use the worksheet as an
assessment tool, they are not required to complete the
worksheet.

The consultant may choose to complete relevant portions of the
worksheet related to the scope of the consultation visit.

When the consultant chooses not to complete relevant portions
of the worksheet related to the scope of the consultation visit, the
consultant will add the PSM process assessment findings resulting
from the limited-service consultation visit to the field notes and
the Written Report to the Employer (see Section II.C).

The PSM qualified consultant will specify the scope of the
consultation visit in the Written Report to the Employer and
clarify that a PSM Program Evaluation was not conducted.

The PSM qualified consultant will conduct an on-site assessment
of the portion(s) of the PSM covered process(es) within the scope
of the employer’s request for consultation services; and assess
the implementation of applicable elements of the PSM Program,
to provide the best (feasible) guidance to the employer. The
consultant will document in the field notes the rationale for the
PSM Program elements selected for evaluation. For additional
guidance see Process Safety Management for Small Businesses,
OSHA publication 3908-03 2017.

The PSM qualified consultant will assess the employer’s
contractor safety and health requirements and procedures if it is
within the scope of the employer’s request or the employer
agrees to expand the scope accordingly:
i.

The consultant will assess contractors working at the
Selected Unit (i.e., portion/unit of a process(es)) covered
by the PSM standard at an establishment) being evaluated.

ii.

If there are no contractors working at a Selected Unit
being evaluated, the consultant will assess contractors at
an adjacent unit.

iii.

If there are no contractors working at or adjacent to the
Selected Unit, the consultant will choose an additional
131

Selected Unit where contractors are known to be working
and assess those contractors.
iv.

See subsection IV.C.2.

The employer may agree to expand the scope of the consultation
visit based on the consultant’s recommendations. The consultant
will use the Selection Criteria described in Section IV.E to advise
the employer.

The PSM qualified consultant may evaluate more than one
Selected Unit if it is within the scope of the employer’s request or
the employer agrees to expand the scope accordingly, for
instance, when:
i.

The consultant determines that it is necessary to get a
representative sample of the facility’s PSM process based
on its size and complexity;

ii.

Deficiencies in the employer’s PSM compliance exist
outside the Selected Unit; or

iii.

The consultant identifies hazards that are pervasive or
recurring (i.e., occurring repeatedly).

Limited-service consultation visits when the scope of the employer’s
request for consultation services is for the assessment of one or more
PSM Program elements only; and the PSM qualified consultant conducts
an on-site assessment to determine the effectiveness of the
implementation of the PSM Program elements evaluated:
a.

The PSM qualified consultant will follow the requirements in
subsection IV.D.5.a through e.

The PSM qualified consultant will explain the interaction between
associated PSM Program elements to the employer and advise the
employer to expand the scope of the consultation visit, as
applicable.

Selection Criteria for Limited-Service Consultation Visits (that do not involve
complete PSM process assessments, these are not PSM Program Evaluations).
The Selection Criteria used by the consultant to advise the employer on the
Selected Units to evaluate for limited-service consultation visits, when the scope
of the employer’s request for consultation services includes only a specific
132

portion(s) or unit(s) of a PSM process(es) at the workplace will be based on the
factors listed below and documented in the case file:
1.

To begin the evaluation, the consultant will review the list of all PSM
process units at the establishment and the establishment’s PSM Program
information (see Section IV.A). The consultant will consider the benefits
of evaluating a Selected Unit(s) that was not previously assessed using
the criteria in subsection IV.E.4 below.

If the consultant determines it is beneficial to the establishment’s safety
to evaluate a previously assessed higher risk Selected Unit(s), in lieu of
assessing a low risk Selected Unit that was not previously assessed, then
the criteria in subsection IV.E.4 will be followed.

If all the process units have been Selected Units during past PSM
assessments, then a previously assessed Selected Unit(s) will be chosen,
using the criteria in subsection IV.E.4.

The following criteria will be used to determine higher risk process units
that should be assessed:
a.

Nature and quantity of chemicals involved (e.g., risk of releasing
flammables, high toxicity substances present, high operating
pressures and temperatures).

Incident investigation reports, near-miss investigation reports,
injury and illness logs (for the employer and process-related
contractors); emergency shutdown records, other history; and
current issues.

Compliance audit records, including open and pending items.
Current hot work, equipment replacement, inspection, test and
repair records; or other maintenance activities.

Age of the process unit.

Factors observed during the walkthrough.

Lead operator’s input.

Worker representative input.

Number of workers working on or near the Selected Unit (i.e.,
host employers workers, contractors, subcontractors, temporary
workers, etc.).
133

List of contractors.

Additional relevant Selection Criteria not included in this list may
be applied by the PSM qualified consultant and documented in
the case file.

PSM Related Hazards Observed in Plain Sight. If an employer’s request for
consultation services did not include a process covered by the PSM standard at
an establishment, but a hazard is observed in plain sight involving the process
(e.g., leaking pipe), by a consultant who is not a PSM qualified consultant:
1.

The consultant will follow the procedures specified in this Instruction to
notify the employer of the responsibility to correct the hazard and
protect workers from exposure (see Chapter 4, Sections III.B.1.b, III.C &
III.D.1 through 4).

The consultant will notify the employer that the On-Site Consultation
program will follow-up to provide an adequate assessment of the hazard
observed in plain sight and recommend appropriate corrective actions.

The nature of the follow-up will be determined based on professional
judgement (i.e., phone call, follow-up consultation visit). In these
instances, the Consultation program may contact the RPO to request
technical assistance if it does not have a PSM qualified consultant (see
Section I.C).

134

Appendix A
Sample Letter to Employers Receiving Low Priority
Dear Employer,
Thank you for requesting an occupational safety and health consultation visit and for your
interest in improving workplace safety and health for your employees. Unfortunately, we are
unable to provide consultation services to your company at this time. Our policies specifically
require us to give first priority to requests from the smallest employers with the most
hazardous conditions. However, we will keep your request on file in the event that we are able
to provide consultation services to you in the future.
Even though we are unable to provide consultation services to you at this time, you are still
responsible for providing a safe and healthful workplace for your employees. Therefore, I
would encourage you to seek other sources of safety and health assistance available to
employers in your industry (e.g., your insurance carrier).
The Occupational Safety and Health Administration (OSHA) provides several resources to assist
employers with achieving compliance. Compliance assistance information is posted on OSHA’s
website (www.osha.gov) which all employers can quickly access at no charge. A great number
of OSHA publications and posters are available for downloading and/or mail order. The text of
regulations and standards are readily available, as well as Letters of Interpretation, Fact Sheets,
Frequently Asked Questions (FAQs), and Small Entity Compliance Guides.
OSHA also offers many publications that address specific hazards, standards, and industries.
One of the most popular publications is the Small Business Handbook, OSHA Publication 220902R 2005. Among its many features, the handbook contains an industry-specific checklist to
help employers meet the requirements of the Occupational Safety and Health Act of 1970.
Thank you for requesting assistance from the [name of Consultation program]. If we can
provide any further information, please feel free to contact us.

Sincerely,
Consultation Program Manager

135

Appendix B
Sample List of Hazards
(Preferred Format)
LIST OF HAZARDS (SERIOUS)
This List of Hazards must be posted, unedited, in a prominent place where it is readily
observable by all affected employees for three (3) working days, or until the hazards are
corrected, whichever is later.
VISIT NUMBER: 515196904
VISIT DATE(S): 03/16/2020
T & R Eye Center
432 Main Street
Dallas, TX 75003
This notification of serious hazards and any imminent danger hazard(s) identified during the
consultation visit is not a citation. The T & R Eye Center is a voluntary participant in the
Consultation program and has agreed to correct the hazards on this list within the hazard
correction due date(s) specified. The T & R Eye Center has also agreed to make information on
other-than-serious hazards as well as corrective actions proposed by the consultant available to
employees upon request.
Hazard #1
ITEM

0001

STANDARD

1910.0132(d)(01)

INSTANCE

CORRECTION DUE DATE 4/6/2020
DESCRIPTION

Include the location of the hazard, the description of the
hazardous condition, a list of job titles exposed to the hazard,
the recommended hazard correction method, and interim
protection measures (e.g., any personal protective equipment
needed to protect employees from the hazard, use of portable
equipment pending repair of faulty equipment).

136

Hazard #2
ITEM

0002

STANDARD

1910.0151(c)

INSTANCE

CORRECTION DUE DATE 4/6/2020
DESCRIPTION

The eyewash station in the Battery Room is placed correctly;
however, only hot water can be accessed which would cause
further injury to the eye(s). Maintenance personnel work in
the Battery Room. An eliminator valve plumbed into the
system would eliminate this problem. A portable eyewash
station in the Battery Room is recommended pending repairs.

137

Appendix C
Annual Rate Calculation Method
I.

Annual Rate Formula.
Annual rates are calculated by the formula N x 200,000 ÷ Q where:
200,000 = Equivalent of 100 full-time employees working 40 hours per week, 50 weeks
per year.
Q = Total number of hours worked by all employees in the year.
N = Total number of recordable injuries and illnesses that occurred during year.
A.

For the Total Recordable Case (TRC) rate:
Use the total number of cases listed on the OSHA Form 300 in columns:
- Column H (Days away from work),
- Column I (Job transfer or restriction), and
- Column J (Other recordable cases).
N=H+I+J

For the Days Away Restricted and Transferred (DART) rate:
Use the total number of cases listed in the OSHA Form 300in columns:
- Column H (Days away from work), and
- Column I (Job transfer or restriction).
N = Number of recordable injuries and illnesses that involved days away from
work, days of restricted work activity or job transfer during the year.
N=H+I

II.

Rounding Instructions. You must round the rates to the nearest tenth following
traditional mathematical rounding rules. For example, round 5.88 up to 5.9; round 5.82
down to 5.8; round 5.85 up to 5.9.

138

III.

Comparison to National Averages.
A.

Compare the TRC and DART rates to the most recently published Bureau of Labor
Statistics (BLS) national average (available online at
www.osha.gov/oshstats/work.html) for the North American Industry
Classification System (NAICS) code of the employer’s.

If BLS rates are not available for both the DART and TRC, then use the next
smallest NAICS code (i.e., six digit NAICS code to a five digit NAICS code).

If BLS rates are available for either the DART or TRC, then use the BLS data that is
available.

To qualify for SHARP, the employer’s annual DART and TRC rates must be below
the published BLS averages

139

Appendix D
Alternative Rate Calculation Methods
I.

Rounding Instructions.
You must round the rates to the nearest tenth following traditional mathematical
rounding rules. For example, round 5.88 up to 5.9; round 5.82 down to 5.8; round 5.85
up to 5.9.

II.

General Information.
200,000 = Equivalent of 100 full-time employees working 40 hours per week, 50 weeks
per year.
Cases (i.e., injuries and illnesses) listed in the OSHA Form 300 in columns:
- Column H (Days away from work),
- Column I (Job transfer or restriction), and
- Column J (Other recordable cases).
Q = Total number of hours worked by all employees during the year.

III.

3 Calendar Years Rate Calculation Method.
To qualify for SHARP the employer's 3-year average DART and TRC rates must be below
the most recently published BLS rates for the industry.
A.

3-Year Total Recordable Case (TRC) Rate Method:
((Year 1 OSHA Log columns H+I+J) + (Year 2 OSHA Log columns H+I+J) + (Year 3
OSHA Form 300 columns H+I+J)) x 200,000 ÷ (Year 1 Q + Year 2 Q + Year 3 Q)

3-Year Days Away, Restricted, or Transferred (DART) Rate Method:
((Year 1 OSHA Log columns H+I) + (Year 2 OSHA Log columns H+I) + (Year 3 OSHA
300 Form columns H+I)) x 200,000 ÷ (Year 1 Q + Year 2 Q + Year 3 Q).

140

Example
Establishment Name: _________________________________________________
Year

Hours
Total # of
TRC Rate
Total # of Cases DART Rate
Worked
Cases
(H+I)
by all
(H+I+J)
Employees
(Q)
2016
186,322
1
1.1
1
1.1
2017
189,496
0
0.0
0
0.0
2018
191,692
2
2.1
1
1.0
Total
567,510
3
2
Three Year TRC = (3 x 200,000) ÷ 567,510 = 1.057 = 1.1
Three Year DART = (2 x 200,000) ÷ 567,510 =0.704 = 0.7
Most Recent Published BLS National TCR/DART Averages (2017) for NAICS 562213 = 2.3/1.3
IV.

Best 3 out of 4 Calendar Years Rate Calculation Method.
Example

Establishment Name: __________________________________________________
Year
Hours
Total # of Cases
TRC Rate
# of DART Cases DART Rate
2015
51,762
0
0.0
0
0.0
2016
53,071
0
0.0
0
0.0
2017
54,246
0
0.0
0
0.0
2018
51,469
1
3.9
1
3.9
Total
159,079
0
0
Three Year TRC (2015 – 2017): 0.0
Three Year DART (2015 – 2017): 0.0
Most Recent Published BLS National TCR/DART Averages (2017) for NAICS 562213 = 2.3/1.3
A. Using the most recent calendar year’s hours worked, calculate the hypothetical DART and
TRC rates if the employer had two cases for the year.
Year
2018

Hours
51,469

Total Cases
2

TRC Rate
2 X 200,000/51,469 = 7.8

DART Cases
2

DART Rate
2 X 200,000/51,469 = 7.8

B. Compare the hypothetical rate to the 3 most recently published years of BLS combined
injury and illness rates for the industry.

141

BLS Combined Injury and Illness National Average Rates for NAICS 325180
Calendar Year
TRC DART
2017
2.3
1.3
2016
1.1
0.6
2015
2.0
0.9
C. If the hypothetical rate is equal to or higher than the BLS rate for any of the three most
recent BLS published rates, the employer qualifies for the best three out of four calendar
years calculation method. In this example, the hypothetical DART/TRC rate is 7.8. This is
higher than any of the three most recent BLS rates, therefore, the employer qualifies for the
best three out four years rate calculation method.
D. Since the employer qualifies, use the best 3 out of the 4 most current full calendar years of
OSHA Form 300 data to calculate the TRC and DART rates (i.e., 2015-2017 data with TRC and
DART rates of zero).
E. To qualify for SHARP, the employer’s 3-year average DART and TRC rates must be below the
most recently published BLS industry average. This employer will meet the injury/illness
rate requirement for SHARP.

142

Appendix E
Interim-Year SHARP Site Self-Evaluation Template
Establishment Name:
Address:
Date:
I.

Employer/Representative’s Name:
Title/Position:

Safety and Health Program Recommendations and Status: SHARP participants are
committed to continue maintaining and improving their Safety and Health Programs.
Please explain the systems you are working on to maintain or improve or any
recommendations you are acting on, and any actions you have taken to improve your
safety and health program in the past year.
A. Program/Recommendations:
Status:
B. Program/Recommendations:
Status:
C. Program/Recommendations:
Status:
D. Program/Recommendations:
Status:

II.

Significant Events: Please discuss below any significant events that have occurred over
the past year and the steps that you have taken to ensure that your safety and health
program is operating effectively. (Include any fatalities, catastrophes, imminent danger
incidents, recordable serious injuries and illnesses, complaints, OSHA enforcement
inspections, and the results of all investigations and program changes made.)
A. Event:
Correction:
B. Event:
Correction:

143

III.

Days Away, Restricted, or Transferred (DART) Rate and Total Recordable Case Rate
(TRC) Requirements:
Year

DART RATE Calculation
Hours Worked Sum of Columns H + I*

Rate

Employer’s Two-Year or Three-Year Rate:
Bureau of Labor Statistics (BLS) Average for NAICS:
Percent Below the BLS Rate:
*OSHA Form 300
Year

TRC Rate Calculation
Hours Worked Sum of Columns H + I + J*

Rate

Employer’s Two-Year or Three-Year Rate:
Bureau of Labor Statistics (BLS) Average for NAICS:
Percent Below the BLS Rate:
*OSHA Form 300
IV.

Other Safety and Health Program Improvements: Please outline improvements that
you have made or activities you have engaged in to improve your safety and health
program.
Please provide accurate information. Submit a copy of your establishment’s most
recent OSHA Forms 300 and 300A as well as injury and illness incident reports with the
self-evaluation. You must promptly correct any deficiencies noted by the Consultation
program upon review.
This copy of the Interim-Year SHARP Site Self-Evaluation Template is intended for
example purposes only and not for program use. To view the current version and OMB
Number/Expiration Date, please go to the OSHA Information System (OIS).

144

Appendix F
Occupational Safety and Health Program Action Plan Template
NOTES:
1. The first page of this Action Plan (containing the instructions below) will be printed on the
Consultation program’s letterhead.
2. Consultation programs should review the Safety and Health Program Resource List on the OnSite Consultation Program’s limited access web page.
3. Each workplace is different, therefore, an Action Plan must be site specific.
4. F-1 – is the Action Plan Template for Consultation programs to use for SHARP or Pre-SHARP
participants. Although the template shows only Goal 1 for all safety and health program
elements listed, Consultation programs will expand the template as necessary to include all
identified goals (e.g., Goal 1, 2, etc.). Suggested action items for accomplishing a goal should
be listed under “recommendations.” Consultation programs may also use this template to
develop Action Plans for establishments that are not participating in SHARP or Pre-SHARP, to
help those employers identify goals for improving workplace safety and health as well as how
to achieve them.
5. F-2 – is an optional Action Plan tool that employers may use to execute the action items for
achieving goals at their establishments and/or send status updates to the Consultation
program.
Instructions
Pre-SHARP Participation Requirements
This Action Plan outlines the necessary action items and time frames for completing them, in
order for your company to achieve the safety and health goals and objectives for addressing
deficiencies in your Safety and Health Program and attain the Safety and Health Achievement
Recognition Program (SHARP) status. All portions of this Action Plan must be completed by the
conclusion of the deferral period granted by the Regional Administrator or State Designee.
Based on your present Total Recordable Case (TRC) and Days Away, Restricted, or Transferred
(DART) rates, as well as the mutually agreed upon goals and timeframes for achieving them, you
must submit progress reports describing your activities and the completion of your goals in the
Action Plan on _____________, ___________, and _____________ to the Consultation Program
Manager (CPM), and meet all requirements for Pre-SHARP participation, to continue in the
programmed inspection deferral status.
If you are not able to accomplish a goal in the determined timeframe, you must contact the CPM
to request an extension of the timeframe for achieving that specific goal. Please note that your
Deferral Period is not to exceed a total of 18 months, including extensions, from the last hazard
correction due date. Do not hesitate to contact the Consultation program for technical
assistance.
SHARP Participation Requirements
This Action Plan outlines measures for achieving your organization’s safety and health goals and
145

objectives for continuous workplace safety and health improvement. You are responsible for
diligently implementing, reviewing, and updating the Action Plan. Changes to the Action Plan
must be coordinated with the Consultation program. Do not hesitate to contact the Consultation
program for technical assistance.

146

F-1: Action Plan Template for SHARP or Pre-SHARP Participation
Establishment Name:
Consultation Visit Number:
Last Hazard Correction Due Date:
Management Leadership:
Goal 1:
Recommendations:
To be completed by:

Establishment Address:
Consultation Visit Date(s):

Safety and Health Program Goals

Employee Participation:
Goal 1:
Recommendations:
To be completed by:
Hazard Identification and Assessment:
Goal 1:
Recommendations:
To be completed by:
Hazard Prevention and Control:
Goal 1:
Recommendations:
To be completed by:
Safety and Health Education and Training:
Goal 1:
Recommendations:
To be completed by:
Safety and Health Program Evaluation and Improvement:
Goal 1:
Recommendations:
To be completed by:

147

Total Recordable Case (TRC) and Days Away, Restricted, or Transferred (DART) Goals
TRC Rate
DART Rate
Current Employer’s Incident Rate Data
Bureau of Labor Statistics (BLS) Average Rates for the North American Industry
Classification System (NAICS) Code: _________________
Percentage Above the BLS Rates for the NAICS Code
Incident Rate Reduction Goals
This copy of the Action Plan Template for SHARP or Pre-SHARP Participation is intended for
example purposes only and not for program use. To view the current version and OMB
Number/Expiration Date, please go to the OSHA Information System (OIS).

148

Appendix F-2: Optional Safety and Health Program Action Plan Tool for Implementation at
Workplaces
Establishment Name:
Address:

Goals
(your overall
aim)
EXAMPLE
ONLY
1. Establish
mechanisms
to find and
fix hazards.

Objectives
(specific
achievements
to reach a
goal)
a. Conduct
routine
inspections.
b. Conduct
routine
maintenance.
c. Promptly
conduct
repairs.

d. Assess
changes/new
operations
before
implementing
them.

Visit Date(s):
Last Hazard Correction Due Date:

Action Items
(the tasks that you
need to do to meet
your objectives)

Employees
Assigned
Tasks

Projected
Completion
Dates

Actual
Completion
Dates

Resources
Needed to
Accomplish
Goals

Status
Updates

a. Develop a list of
potential hazards
and requirements
for inspections and
maintenance.
b. Create inspection
and maintenance
checklists.
c. Develop and
establish routine
inspection and
maintenance
schedules.
d. Establish
procedures for
requesting and
completing repairs
and assessing
changes/new
operations.
e. Supervisors and
managers review
and implement.

a. [insert
name or
title of
assigned
employee]

a. [insert
date]

b. [insert
date]

1. Allocate time
to complete
assigned tasks.

a. In-progress/
on-track for
timely
completion.

b. [insert
name or
title of
assigned
employee]

c. [insert
date]

d. [insert
date]

c. [insert
name or
title of
assigned
employee]

e. [insert
date]

Note: Use available
resources (e.g.,
experienced and
trained employees,
industry guidelines,
manufacturer’s
recommendations,
OSHA, NIOSH tools)

e. [inset
name or
title of
assigned
employee]

d. [insert
name or
title of
assigned
employee]

2. Budget
funds to
conduct
necessary
repairs and
routine
maintenance.

b. In-progress/
on-track for
timely
completion.
c. Completed.
d. Completed.
e. Pending
completion of
Action Items a
and b;
followed by
senior
management’s
review and
approval.

Estimated Costs of Injuries and Illnesses and Impact on Profitability (Use OSHA $afety Pays tool).
Direct Costs: ______ Indirect Costs: ________ Total Costs: _________ Sales to Cover Indirect Costs: ____________
Sales to Cover Total Costs: ____________
Improving workplace safety and health will eventually result in cost savings for your business.

149

Appendix G
Mandated Activities Report for Consultation (MARC)
Measure

Standard

1. Percent of initial consultation visits conducted in high-hazard
establishments.

Not less than
90%

2. Percent of initial consultation visits to small businesses.

Not less than
90%

3. Percent of initial, follow-up, and training and education consultation visits
during which the consultant conferred with employees.

100%

4A. Percent of serious hazards corrected in a timely manner (i.e., within 14
days of the latest correction due date).

100%

4B. Percent of serious hazards NOT corrected in a timely manner (i.e., greater
than 14 days after the latest correction due date).
4C. Percent of serious hazards referred to enforcement.

0%
--

4D. Percent of serious hazards verified corrected within the original timeframe
or on-site.

65%

5. Number of uncorrected serious hazards with correction date greater than 90
days past due.

150

Appendix H
Consultation Visit Case File Organization
I.

Introduction. Case files must be maintained in a defined, uniform format, whether in a
format acceptable to the Regional Administrator (RA), or in accordance with the
requirements outlined in this appendix. This appendix provides a description of the
filing structure for a case file. A Consultation program may organize its case files
differently as long as all the required contents of a case file listed in this appendix are
included in a consistent and organized manner. Consultation programs may maintain
case files using printed and/or electronic medium. Consultation programs are
responsible for providing printed copies of these records upon request by the
Occupational Safety and Health Administration (OSHA). Consultation program are also
responsible for meeting the National Archives and Records Administration’s (NARA)
electronic recordkeeping requirements (see Section VIII of this appendix)

II.

Consultation Visit Case File Definition. A consultation visit’s case file must comprise of
all the essential documents relating to a single consultation visit to an establishment.
Separate initial consultation visits to the same establishment should be filed in separate
consultation visit case files. However, actions which form an essential part or
continuation of the original consultation visit, such as follow-up and training and
education consultation visits, must be filed in the original case file. Simultaneous health
and safety consultation visits to the same establishment must be filed separately if they
constitute complete and separate consultation visits. Materials, such as videotapes or
audiotapes, filed separately from the case file, and other documentary materials
maintained in electronic medium, are considered integral parts of the case file.

III.

External Consultation Visit Case File Structure.

IV.

Organized Filing. Use a systematic organized filing system, for example, an
alphabetic filing system.

Label Preparation. The case file should have a label with at least the legal name
of the business.

Internal Consultation Visit Case File Structure.
A.

Electronic Documents. If electronic files are maintained, either in addition to, or
instead of paper files, the electronic documents relating to one case file must be
maintained together as a unit.

Forms and Notes. All official forms and notes constituting the basic
documentation of a consultation visit must be part of the case file. These
materials should be attached to the RIGHT side of the case file folder in the order
noted in paragraph V.A of this appendix. All official forms and notes relating to
follow-up consultation visits should be maintained in the same order, but should
be placed on top of the forms and notes relating to the original consultation visit.
151

Correspondence. All correspondence relating to the consultation visit should be
attached to the LEFT side of the folder in reverse chronological order; that is,
with the most recent correspondence on top. See paragraph V.B of this
appendix for examples of a correspondence. Forms and notes related to training
and education consultation visits should be maintained on the left side on top of
the correspondence(s) for the initial consultation visit.

Mail Receipts. Mail or electronic mail receipts should be attached to the
documents to which they relate (e.g., Written Report to the Employer). If a mail
receipt cannot be placed behind the related document, place the receipt on a
blank sheet of paper and staple the paper to the applicable document.

Miscellany. Miscellaneous consultation visit case file documents that cannot
clearly be categorized as described in paragraph IV.B or IV.C above should be
filed as correspondence on the LEFT side of the folder. If the documents are too
voluminous to fit easily into the consultation visit case file folder, file them in a
separate location, but note the location in the consultation visit’s case file diary
sheet.
If a case file has been started for an establishment, safety manuals and other
similar materials should be placed in the folder, and a cross-reference note
placed in the consultation visit’s case file diary sheet. These materials could
include a list of competent persons, a list of employees trained or any additional
information related to occupational safety and/or health matters for the
establishment.

Filing Arrangement – Consultation Visit Case File Contents.
A.

Forms and Related Documentation. The following is a list of the documents that
appear on the RIGHT side of the case file. File amendments and any official
notes with the forms to which they relate. File these forms in this order, FROM
TOP TO BOTTOM:
1.

Written Report to the Employer
a.

Cover letter

Executive summary

Employer obligations and rights

List of Hazards Identified

Employer Report of Hazard Correction Action(s) Taken

Safety and Health Program Evaluation
152

Training Provided by the Consultant

Sampling Report (if applicable)

OSHA Information System (OIS) Hazard Summary Form

Consultation Visit Form

Employer’s Request Form

OSHA Form 300 or data obtained to support injury and illness rates

In this section include any sampling forms and photos such as:
a.

OSHA 91A Air Sampling Worksheet;

OSHA 91B Air Sampling Report;

OSHA 93 Direct Reading Report;

OSHA 98 Screening Report;

OSHA 92 Noise Survey Report;

OSHA 99 Octave Band Analysis and Impact Noise; and

Photo Mounting Worksheets to support the hazards identified.

Technical Information. This includes occupational safety and health
information obtained from the establishment such as the employer's
safety and health reports, safety data sheets, and record of safety and
health related training.

OSHA Establishment Compliance Record. The establishment’s
enforcement inspection history may be obtained from the OSHA
Establishment Search on osha.gov or the State Plan equivalent source of
information.

10.

Field Notes.

11.

Other Materials (deemed relevant by the consultant).

12.

Videotapes and Audiotapes. These are videotapes and audiotapes
related to specific consultation visits. Videotapes and audiotapes are
recorded materials and are an integral part of the consultation visit’s case
file.
153

Correspondence and Miscellaneous Documents.
1.

Method of Filing Correspondence and Miscellaneous Documents. These
materials should be FILED IN REVERSE CHRONOLOGICAL ORDER (i.e., with
the most recent correspondence and other information on top). The
diary sheet is an exception to the reverse chronological order rule. DO
NOT file these materials in the order in which they are listed below in
subparagraph V.B.2.

The following is a list of the types of correspondence and miscellaneous
case documentation which should appear on the LEFT side of the case
file:
a.

Diary Sheet. This sheet is placed on the top of the material on the
left side of the folder. The diary sheet may be used to note
important telephone and face-to-face conversations, the date of
important actions such as the opening conference date, the date
the report was sent to employer, and any other activities deemed
important enough to note in the summary of contacts. The diary
sheet may also be used to document the receipt date of
important correspondence such as verification of hazard
correction and extensions to hazard correction due dates.

Hazard Correction Information.

Letter of verification of hazard correction.

Supporting documentation for the verification of hazard
correction (e.g. pictures, purchase orders, receipt of purchase).

Letter to the employer about hazard correction due dates that are
past due.

Progress report for hazard correction.

Documents for extending hazard correction due dates.

Letter referring the employer to OSHA or State Plan enforcement
because of hazards overdue for correction.

Informal Documentation. This includes memoranda of
conversations and documents recording telephone calls,
meetings, and emails.

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VI.

Numbering System.
A.

DO NOT organize the case file documents into appendices. Divider tabs may be
used to permit easy reference.

DO NOT number the pages of the case file as a unit.

VII.

Subdividing Consultation Visit Case Files. Elements of a consultation visit’s case file
such as extensive field notes and hazard correction information may be identified for
easy reference using dividers with index tabs. This will allow consultants and others to
quickly and easily find frequently referenced paperwork.

VIII.

Substitution of Paper Records. Electronic media such as videotapes and audiotapes
containing consultation visit records, may be used as substitutes for paper records in the
case file. Any of these materials may be filed separately and maintained in an electronic
medium. Records stored in an electronic medium must be maintained as a unit in an
electronic document management system, and clearly identified as part of a specific
case file. This is in lieu of printing and filing them in the case file. The electronic filing
system must meet all NARA requirements for an electronic recordkeeping system.

IX.

Case File Disposition. For current case file disposition instructions, see the On-Site
Consultation Program’s limited access web page.

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Appendix I
Checklist for On-Site Review of Consultation Programs
Operational Review of the Consultation Program
Elements

Comments

Progress in meeting annual training plans
On-the-job evaluations for consultants
Lapse time from request to delivery of service
Management reports (i.e., written reports pending, pending hazard
corrections, number of employer requests, and consultation visits pending)
Hiring and vacancies
Program expenditures and budgetary issues
Monitoring of consultants' performance
Promotion of the Consultation program's achievement recognition
program (i.e., Safety and Health Achievement Recognition Program
(SHARP))
Marketing initiatives
The Consultation program's Internal Quality Assurance Program (IQAP)
Consistent use of the Safety and Health Program Assessment Worksheet,
OSHA Form 33, by all consultants
Pertinent changes in the organization of the Consultation program
Performance issues carried over from the previous review
Items requiring action to correct deficiencies
Criteria Applying to All Case Files
Requirement
Are all field notes, observations, analyses, and other written
documentation gathered prior to and during the hazard assessment
included in the case file (e.g., hazard documentation, OSHA Form 300,
OSHA or State Plan mandated programs, safety and health programs, site
layouts)?
Does the case file contain an evaluation of the employer's safety and health
program using the Safety and Health Program Assessment Worksheet,
OSHA Form 33, when applicable?
Does the Form 33 contain evidence (i.e., findings) adequate to support the
recommendations and scores assigned each attribute?

Comments

Requirement
If the purpose of the consultation visit was to do a formal training: Was
there evidence in the case file that within the 12 months preceding the date
of the employer’s request for training – a hazard assessment was
performed by the Consultation program or private sector safety or health
consultant; or an OSHA or State Plan enforcement inspection occurred?
If the employer was granted an extension of the original hazard correction
due date:
- Was the request by the employer in writing?
- Did the request include all the steps taken by the employer to correct the
hazard and the dates of such actions?
- Did the request include the date that hazard correction will be
completed?
- Did the request state the specific reason(s) why the hazard has not been
corrected?
- Did the request describe the interim protection measures implemented by
the employer to prevent employees from being exposed to the hazard?

Comments

Requirement
Does the Written Report to the Employer contain:
- Summary of employer's request?
- Employer’s obligation and rights?
- Scope of services provided?
- Name of the consultant(s) that conducted the consultation visit?
- Items of importance discussed during the opening conference?
- Description of the workplace and the working conditions?
- Comparison of the establishment’s Total Recordable Case rate (TRC)
and Days Away, Restricted, or Transferred (DART) rates to the most
recently published Bureau of Labor Statistics’ (BLS) national average for
that industry?
- The List of Hazards Identified?
• Consistent and proper classification of identified hazards,
particularly serious or imminent danger hazards, including the
applicable standards and a statement about the interim protection
measures recommended at the closing conference?
• Appropriate recommendations for hazard correction (e.g., control,
eliminate)?
• Standard Element Paragraphs (STEPs) modified to meet the
specific conditions at the establishment?
- Safety and Health Program Evaluation (as applicable)?
•
•

Discussion of the employer's safety and health program?
Discussion of how the hazards identified relate to deficiencies in
the employer's safety and health program and appropriate sitespecific recommendations?

- Appropriate summary of any training provided during the initial
consultation visit, including the number of employees involved and the
topics covered?
- Required sampling data information when applicable (as appropriate)?
- Items of importance discussed during the closing conference?
Were there any delays from the date the employer requested for
consultation services to the date the consultation visit occurred?
Was the Written Report to the Employer issued more than 20 federal
working days after the closing conference?
Did the OSHA Information System (OIS) Visit Activity include the
number of employees interviewed?

Comments

Requirement

Comments

Were all serious hazards corrected and the documentation of hazard
correction measures implemented included in case file?
Additional Criteria Applying Only to Health Consultation Visit Case Files
Requirement

Comments

H1. Were the appropriate sampling techniques and practices used and
documented in the case file?
H2. Were the appropriate number of industrial hygiene samples taken
relative to the nature of the suspected hazard and the number of
employees involved?
H3. Were the appropriate sampling instruments used for the job?
H4. Was there evidence of proper sampling instrument calibration either
on the OIS forms or a separate calibration log?
H5. Were the necessary sampling data recorded on sampling sheets and
field notes?
Additional Criteria Applying Only to SHARP Case Files in which Achievement Recognition
Status has been Granted
Requirement
S1. Is there documentation that the employer met all eligibility
requirements?
S2. Was a full-service hazard assessment, addressing both safety and
health hazards, conducted?
S3. Is there verification (written or observed on-site) that ALL hazards
identified during the hazard assessment were corrected?
S4. Is there adequate evidence that the attributes listed on Form 33 were
implemented at the "2" level or above?
S5. Are the employer's TRC and DART rates below the most recently
published BLS national average for that industry or is there
documentation of an alternative calculation method properly applied?
S6. If an incentive program was in place, is there evidence (e.g.,
documentation, interviews) that it emphasizes positive employee
engagement in safety and health activities?

Comments

Appendix J
Safety and Health Program Assessment Worksheet (OSHA Form 33)
Request Number:
Visit Number:
Visit Date:
Employer:
Site Location:
0 = No
1 = No, needs major improvement
2 = Yes, needs minor improvement
3 = Yes

Legend

NA = Not applicable
NE = Not evaluated
* = Stretch Items Attribute of Excellence

Synthesis Item Score
0 1 2 3
With the total knowledge you now have of this organization (whether such
knowledge has been captured by attribute ratings), use your professional
judgment to assign an overall score for the organization's safety and health
system.
Hazard Anticipation and Detection
0 1 2 3 NA NE
1. A comprehensive, baseline hazard survey has been conducted
within the past five (5) years.
Comments:
0 1 2 3 NA NE
2. Effective safety and health self-inspections are performed
regularly.
Comments:
0 1 2 3 NA NE
3. Effective surveillance of established hazard controls is conducted.
Comments:
0 1 2 3 NA NE
4. An effective hazard reporting system exists.
Comments:
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0 1 2 3 NA NE
5. Change analysis is performed whenever a change in facilities,
equipment, materials, or processes occurs.
Comments:
0 1 2 3 NA NE
6. Accidents are investigated for root causes.
Comments:
0 1 2 3 NA NE
7. Material Safety Data Sheets are used to reveal potential hazards
associated with chemical products in the workplace.
Comments:
0 1 2 3 NA NE
8. Effective job hazard analysis is performed.
Comments:
0 1 2 3 NA NE
9. Expert hazard analysis is performed.
Comments:
0 1 2 3 NA NE
10. *Incidents are investigated for root causes.
Comments:
Hazard Prevention and Control
0 1 2 3 NA NE
11. Feasible engineering controls are in place.
Comments:
0 1 2 3 NA NE
12. Effective safety and health rules and work practices are in place.
Comments:
0 1 2 3 NA NE
13. Applicable OSHA-mandated programs are effectively in place.
Comments:
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0 1 2 3 NA NE
14. Personal protective equipment is effectively used.
Comments
0 1 2 3 NA NE
15. Housekeeping is properly maintained.
Comments:
0 1 2 3 NA NE
16. The organization is properly prepared for emergency situations.
Comments:
0 1 2 3 NA NE
17. The organization has an effective plan for providing competent
emergency medical care to employees and others present at the
site.
Comments:
0 1 2 3 NA NE
18. *Effective preventive maintenance is performed.
Comments:
0 1 2 3 NA NE
19. An effective procedure for tracking hazard correction is in place.
Comments:
Planning and Evaluation
0 1 2 3 NA NE
20. Workplace injury/illness data are effectively analyzed.
Comments:
0 1 2 3 NA NE
21. Hazard incidence data are effectively analyzed.
Comments:
0 1 2 3 NA NE
22. A safety and health goal and supporting objectives exist.
Comments:
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0 1 2 3 NA NE
23. An action plan designed to accomplish the organizations safety
and health objectives is in place.
Comments:
0 1 2 3 NA NE
24. A review of in-place OSHA-mandated programs is conducted at
least annually.
Comments:
0 1 2 3 NA NE
25. *A review of the overall safety and health management system is
conducted at least annually.
Comments:
Administration and Supervision
0 1 2 3 NA NE
26. Safety and health program tasks are each specifically assigned to
a person or position for performance or coordination.
Comments:
0 1 2 3 NA NE
27. Each assignment of safety and health responsibility is clearly
communicated.
Comments:
0 1 2 3 NA NE
28. *An accountability mechanism is included with each assignment
of safety and health responsibility.
Comments:
0 1 2 3 NA NE
29. Individuals with assigned safety and health responsibilities have
the necessary knowledge, skills, and timely information to perform
their duties.
Comments:

163

0 1 2 3 NA NE
30. Individuals with assigned safety and health responsibilities have
the authority to perform their duties.
Comments:
0 1 2 3 NA NE
31. Individuals with assigned safety and health responsibilities have
the resources to perform their duties.
Comments:
0 1 2 3 NA NE
32. Organizational policies promote the performance of safety and
health responsibilities.
Comments:
0 1 2 3 NA NE
33. Organizational policies result in correction of non-performance
of safety and health responsibilities.
Comments:
Safety and Health Training
0 1 2 3 NA NE
34. Employees receive appropriate safety and health training.
Comments:
0 1 2 3 NA NE
35. New employee orientation includes applicable safety and health
information.
Comments:
0 1 2 3 NA NE
36. Supervisors receive appropriate safety and health training.
Comments:
0 1 2 3 NA NE
*Supervisors

37.
receive training that covers the supervisory aspects
of their safety and health responsibilities.
Comments:
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0 1 2 3 NA NE
38. Safety and health training is provided to managers.
Comments:
0 1 2 3 NA NE
39. *Relevant safety and health aspects are integrated into
management training.
Comments:
Management Leadership
0 1 2 3 NA NE
40. Top management policy establishes clear priority for safety and
health.
Comments:
0 1 2 3 NA NE
41. Top management considers safety and health to be a line rather
than a staff function.
Comments:
0 1 2 3 NA NE
42. *Top management provides competent safety and health staff
support to line managers and supervisors.
Comments:
0 1 2 3 NA NE
43. Managers personally follow safety and health rules.
Comments:
0 1 2 3 NA NE
44. Managers delegate the authority necessary for personnel to
carry out their assigned safety and health responsibilities effectively.
Comments:
0 1 2 3 NA NE
45. Managers allocate the resources needed to properly support the
organizations safety and health system.
Comments:
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0 1 2 3 NA NE
46. Managers assure that appropriate safety and health training is
provided.
Comments:
0 1 2 3 NA NE
47. Managers support fair and effective policies that promote safety
and health performance.
Comments:
0 1 2 3 NA NE
48. Top management is involved in the planning and evaluation of
safety and health performance.
Comments:
0 1 2 3 NA NE
49. Top management values employee involvement and
participation in safety and health issues.
Comments:
Employee Participation
0 1 2 3 NA NE
50. There is an effective process to involve employees in safety and
health issues.
Comments:
0 1 2 3 NA NE
51. Employees are involved in organizational decision making in
regard to safety and health policy.
Comments:
0 1 2 3 NA NE
52. Employees are involved in organizational decision making
regarding the allocation of safety and health resources.
Comments:
0 1 2 3 NA NE
53. Employees are involved in organizational decision making
regarding safety and health training.
Comments:
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0 1 2 3 NA NE
54. Employees participate in hazard detection activities.
Comments:
0 1 2 3 NA NE
55. Employees participate in hazard prevention and control
activities.
Comments:
0 1 2 3 NA NE
56. *Employees participate in the safety and health training of coworkers.
Comments:
0 1 2 3 NA NE
57. Employees participate in safety and health planning activities.
Comments:
0 1 2 3 NA NE
58. Employees participate in the evaluation of safety and health
performance.
Comments:

This copy of the Revised Form 33 is intended for example purposes only and not for
program use. To view the current Revised Form 33 and OMB Number/Expiration Date,
please go to www.osha.gov or the OSHA Information System (OIS).

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Appendix K
Consultant Function – Competency Statements and Consultant Qualifications
All consultants are employees of the state and are qualified under state requirements for
employment in the field of occupational safety and health. Consultants must demonstrate
adequate education and experience to satisfy the Regional Administrator (RA) before being
assigned to work under a 21(d) Cooperative Agreement, and annually thereafter. Consultants
must demonstrate that they meet the requirements in 29 CFR 1908.8(b)(2), and that they have
the ability to perform satisfactorily pursuant to the 21(d) Cooperative Agreement. Accordingly,
RAs shall evaluate the education and experience of prospective hires for consultant positions
prior to assigning work under the 21(d) Cooperative Agreement. Consultation programs and
RAs will use the competency statements below to evaluate the qualifications and competencies
of consultants and prospective consultants.
#1 Recognition and Evaluation of Occupational Hazards
Possesses the knowledge, skills, and abilities to adequately recognize and evaluate workplace
safety and health hazards.
 Possesses fundamental technical, legal, and procedural knowledge.
 Demonstrates proficiency in the fundamentals of occupational safety and health.
 Applies substantive knowledge of technical areas (e.g., electricity, machine guarding,
hazardous materials, industrial toxicology, ergonomics, ventilation, fall protection,
noise, respiratory protection).
 Demonstrates proficiency in the anticipation, recognition, evaluation, control, and
management of occupational health hazards including chemical, physical, biological
and ergonomic stressors.
 Possesses a basic knowledge of the Occupational Safety and Health Administration
(OSHA), its mission, and the relationship between OSHA and Consultation programs
funded under Section 21(d) of the OSH Act.
 Understands and applies the relationship with enforcement requirements found in
the OSHA Field Operations Manual (FOM) or State Plan equivalent.
 Recognizes hazards and violations of regulations, and standards (e.g., 29 CFR 1910,
29 CFR 1926); documents hazards, regulatory violations, and hazard correction
measures in accordance with OSHA or State Plan and On-Site Consultation
Program’s policies and procedures.
 Has knowledge of agencies and organizations, other than OSHA or the State Plan
that can be of assistance to the employer.
 Plans and prepares for consultation visits.
 Researches establishment history, industry processes and associated hazards,
hazard correction options, industrial hygiene sampling methods, and best practices.

168

 Reviews establishment inspection history, prior consultation visits, and verifies the
Standard Industrial Classification (SIC) and North American Industry Classification
System (NAICS) codes.
 Inquires about safety and health hazards that may be present in a workplace.
 Charges, calibrates, and tests equipment and instruments following appropriate
procedures to ensure that they are in proper working condition for consultation
visits.
 Conducts on-site consultation visits.
 Conducts opening and closing conferences in a manner consistent with the Consultation
Policies and Procedures Manual (CPPM).
 Models appropriate safe behavior and work practices established at the workplace.
 Recognizes when personal protective equipment (PPE) is necessary, and knows how
to properly maintain and correctly don and doff the appropriate PPE.
 Describes the hazard recognition and evaluation process to the employer.
 Comprehends workflow.
 Conducts walk around inspections of workplaces; reviewing safety and health
programs and applicable OSHA or State Plan mandated programs (e.g., Hearing
Conservation Program); and inspecting machine and equipment operations,
environmental conditions, work practices and processes, protective devices and
equipment, and safety and/or health procedures.
 Demonstrates the ability to effectively interview management, supervisors,
employee representatives, and employees to acquire a wide range of information,
such as specific details on hazardous operations or processes, information on
working conditions, and information used to evaluate the total workplace
environment.
 Evaluates current work practices and written procedures, such as lockout/tagout
programs and hazard communication programs.
 Identifies, documents, and classifies hazards (serious, other-than-serious, imminent
danger).
 Records field notes adequately.
 Uses instrumentation to measure safety hazards and/or health stressors.
 Conducts industrial hygiene sampling/monitoring using standard sampling and
calibration methods outlined in the OSHA Technical Manual, OSHA Directives,
Wisconsin Occupational Health Laboratory (WOHL) sampling guide, guides from
State Plan laboratories, manufacturer's recommendations, or other standard
calibration procedures and practices.
 Identifies jobs or locations to sample.
 Develops a sampling plan.
 Obtains proper sampling media and equipment.
 Collects and handles samples with technical accuracy.
 Records appropriate monitoring conditions.

169

 Analyzes information related to health hazard assessments.
 Understands the assessment of instrument readings relative to safe/unsafe
conditions, permissible exposure limits (PELs), and recommended exposure limits
(RELs).
 Reviews and correctly interprets laboratory results to determine if employee
exposures exceed PELs or RELs.
 Conducts appropriate statistical tests (i.e., sampling and analytical error).
 Interprets all employee exposure monitoring and related data accurately, in
accordance with accepted safety and industrial hygiene practices.
#2 Evaluate Safety and Health Programs
Possesses the knowledge, skills, and abilities needed to evaluate an employer’s current safety
and health program and communicate appropriate recommendations to improve the overall
effectiveness.
 Possesses an understanding of safety and health programs, including management
commitment, employee involvement, worksite analysis, hazard prevention and
controls, safety and health training.
 Applies the OSHA Recommended Practices for Safety and Health Programs
proficiently.
 Applies the Safety and Health Program Assessment Worksheet (Form 33)
proficiently.
 Communicates the method of assessing a safety and health program and the benefits
to management and employees.
 Evaluates establishments’ injury and illness data and hazard analyses history.
 Reviews available injury and illness data or logs (OSHA Form 300 and 301) and
hazard identification records.
 Calculates Days Away, Restricted or Transferred (DART) rate, and Total Recordable
Case Rate (TRC) rate; and compares these with the most recently published Bureau
of Labor Statistics’ (BLS) national averages for the establishment’s industry.
 Identifies injury, illness, and hazard incidence trends in safety and health documents
reviewed, such as, OSHA Forms 300 and 301, reports of unsafe conditions, incident
investigations, near misses.
 Conducts injury, illness, and hazard root cause analyses.
 Evaluates other available performance measure records and information, such as loss
data, absenteeism, turnover, quality assurance program, and employee/management
interview findings.
 Reviews and evaluates safety and health program activities.
 Gathers sufficient written, verbal, and visual information/data for the establishment
to correctly score (or rate) performance for each Form 33 attribute assessed.
170

 Completes Form 33 for the establishment to capture findings and recommendations
for each attribute assessed within the elements of a safety and health program (i.e.,
hazard anticipation and detection; hazard prevention and control; planning and
evaluation; administration and supervision; safety and health training; management
leadership; and employee participation).
 Recognizes and demonstrates the correlation between hazard, injury, and illness
history and safety and health program deficiencies.
 Communicates the safety and health program evaluation findings and
recommendations to management and employees in a closing conference.
 Discusses with the employer, the suitability of the establishment to participate in
SHARP or Pre-SHARP and the participation requirements (when applicable).
 Prepares a report of findings and recommendations.
 Details findings and recommendations for developing or improving safety and health
program attributes as specified in the CPPM.
 Provides or refers employers to helpful occupational safety and health resources.
#3 Provide Occupational Safety and Health Training
Possesses the knowledge, skills and abilities to provide effective formal and informal
occupational safety and health training to employers and employees, either on-site or offsite.
 Designs training programs by conducting research, needs assessment, and developing
presentation materials appropriate for the intended audience.
 Develops clear and measurable training objectives.
 Applies instructional design strategies to appropriate audiences.
 Adult learning principles
 Multi-cultural education principles
 Ensures that training and resource materials reflect current literature and industry
trends.
 Develops training presentations.
 Determines the appropriate technology (e.g., PowerPoint) and format (e.g., lecture,
workshops) for training delivery.
 Develops appropriate training handouts, job aids, and reference materials.
 Delivers effective training on-site and off-site.
 Networks within OSHA and other groups (e.g., Small Business Development Centers)
to provide and market comprehensive safety and health training.
 Identifies the need for informal training and makes use of opportunities to provide
informal training to employers and employees during a consultation visit, including
during the walk around.
171

 Identifies opportunities for formal training, and provides formal training based on
the findings of the walk around, when necessary.
 Conducts training evaluations to receive feedback from the audience.
 Encourages employers to develop and train employees in safety and health areas.
 Provides information on other possible training sources such as OSHA Training
Institute Education Centers.
#4 Manage Consultation Program Processes and Reports
Possesses the knowledge, skills, and abilities to present information collected in the field in the
Written Report to the Employer, ensuring that appropriate technical information and policies are
incorporated, and that key information is transmitted to the OSHA Information System (OIS).
 Demonstrates the ability to manage work processes effectively.
 Prioritizes assignments appropriately.
 Collects records in a timely manner and schedules consultation visits in accordance
with the Consultation program’s procedures.
 Manages case file load efficiently and ensures timely submission of reports.
 Manages correspondences in a timely manner. These include employers’ hazard
correction responses, extension requests for hazard correction due dates, and
requests for information.
 Proficiently and accurately performs data entry requirements for OIS.
 Organizes and documents information for the Written Report and case file.
 Utilizes computer technology for research, consultation visit data collection, and
report preparation effectively.
 Organizes and consolidates documentation pertinent to case files in a logical or
required format.
 Prepares the Written Report to the Employer in a professional manner, covering all
the required elements in accordance with current policy.
 Recommends and documents interim protection measures.
 Ensures that all hazards identified are included in the List of Hazards, with an
accurate and complete description of the hazards, their location(s), sketches, and
photographs (if available).
 Provides recommendations for correcting hazards related to chemical
overexposures (e.g., engineering controls).
 Provides an explanation of industrial hygiene sampling results with comparisons to
OSHA PELs and RELs (as required by the CPPM), which is technically correct and
easily understood by employers.
 Applies Consultation Policies and Procedures.
 Ensures that all policies are followed in accordance with 29 CFR 1908, On-Site
Consultation Cooperative Agreements, the CPPM, and other applicable policy
documents.
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#5 Provide Hazard Prevention and Correction Assistance
Possesses the knowledge, skills, and abilities to effectively provide assistance with hazard
prevention and correction (i.e., control, eliminate) to employers.
 Provides assistance with developing hazard prevention and correction measures (i.e.,
control, eliminate).
 Ensures that hazard prevention and correction measures are assessed, and the
selection is consistent with the OSHA hierarchy of controls.
 Applies knowledge of manufacturing and construction processes, materials, tools,
equipment, and procedures to assist employers with developing hazard prevention
and correction measures (engineering, administrative/work practice, and PPE).
 Assists employers with developing and implementing hazard prevention and
correction measures (e.g., engineering, administrative/work practice controls and
identifying appropriate PPE).
 Provides solutions or recommendations for interim protection measures.
 Assists employers with developing Action Plans for improving their safety and health
programs (when necessary).
 Coordinates and seeks assistance with identifying hazard prevention and correction
measures when additional expertise is necessary.
 Evaluates hazard correction measures (i.e., control, eliminate).
 Provides technical assistance with evaluating hazard correction measures.
 Works with employers to mutually agree on reasonable hazard correction due dates.
 Effectively reviews and responds to employers requests to extend hazard correction
due dates.
 Verifies the correction of serious and imminent danger hazards on-site or via
appropriate written verification of hazard correction from the employer to the
Consultation program.
 Determines the need and priority for follow-up consultation visits, and conducts
them if appropriate.
 Possesses knowledge of OSHA or State Plan abatement procedures.
 Provides assistance with hazard correction measures during consultation visits after
OSHA or State Plan citations issued have become final orders (see Chapter 7 of the
CPPM for additional guidance).
 Provides assistance with hazard correction in response to an OSHA or State Plan
enforcement referral for SHARP/Pre-SHARP establishments (see Chapter 7 of the
CPPM for additional guidance).
 Possesses knowledge of OSHA or State Plan enforcement policies and procedures to
assist employers with OSHA or State Plan abatement, such as:
 Petition for Modification of Abatement (PMA)

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#6 Provide Off-site Technical Support
Possesses the knowledge, skills, and abilities to provide effective off-site technical support.
 Researches and responds to employers’ requests for assistance.
 Proficient in the use of the internet to research and gather accurate information from
credible sources.
 Utilizes current literature, reference books, monographs, consensus standards, industry
best practices, and networking opportunities, to ensure the quality of support services
provided to employers.
 Informs employers of agencies that can provide assistance, other than OSHA or the State
Plan.
 Effectively communicates technical information.
 Communicates technical information in a manner which is easily understood.
 Encourages employers and employees to communicate questions or concerns.
 Respects the confidentiality of employer and/or employee questions or concerns.
#7 Promote Consultation Program Services
Possesses the knowledge, skills, and abilities to effectively promote consultation services and
communicate the value of a safe and healthful workplace to employees and employers.
 Looks for opportunities to market the Consultation program:
 to employers, trade associations, and small businesses in high-hazard industries; and
 within their own organization, associated state agencies, and university programs.
 Recommends and applies effective marketing methods.
 Promotes and communicates the value of safe and healthful workplaces.
 Explains Consultation program services and eligibility requirements to employers on
initial contact.
 Utilizes a variety of marketing options to promote SHARP.
#8 OSHA Consultant Professionalism
Models professional conduct and growth.
 Promotes the health and safety of employers and employees as the guiding principle
in all consultation services provided.

174

 Fosters constructive professional working relationships with others; is professional,
flexible, and courteous, even when discussing or eliciting sensitive or controversial
information.
 Recognizes and avoids conflicts of interest.
 Pursues professional growth and development opportunities.
 Keeps current with industry trends through research and/or networking.
 Considers personal performance, proactively seeks and responds constructively to
feedback from others, and applies the information received to enhance
performance and progress toward career goals.
 Devotes substantial effort to increasing professional knowledge and skills and
keeping up-to-date in the safety and health profession (e.g., attend training courses,
meetings, and conferences; read professional publications; join professional
associations; seek on-the-job training experiences; pursue professional certification).
 Provides on-the-job training and mentoring to less-experienced employees in the
Consultation program.
 Takes the initiative to seek new or additional responsibilities and challenges; and
continually applies greater levels of effort, persistence, and autonomy toward the
achievement of goals.

175

Appendix L-1: On-Site Consultation Program PSM Evaluation Worksheet
PSM Program Elements
A. Compliance Audit
B. Incident Investigation
C. Process Safety Information (PSI)
D. Process Hazard Analyses (PHA)
E. Mechanical Integrity (MI)
F. Operating Procedures
G. Management of Change (MOC)
H. Pre-Startup Safety Review (PSSR)
I. Hot Work Permit
J. Emergency Planning and Response
K. Employee Participation
L. Contractors
M. Training
N. Trade Secrets
Notes:
a. Text in italics represent Employee Participation or Training requirements (outside the
training element, 29 CFR 1910.119(g)) specified in various PSM Program elements.
b. Consultants should assess worker protection and participation requirements in the PSM
standard for all workers at a site (i.e., host employer’s workers, contract workers,
temporary workers, etc.).
c. Consultants should apply appropriate technical resources.
d. The references in this table refer to paragraphs of 29 CFR 1910.119, except otherwise
specified. For example, (o)(1) refers to 29 CFR 1910.119(o)(1)).
176

Appendix L-1: On-Site Consultation Program PSM Evaluation Worksheet
Name of Establishment:
Visit Date(s):
Report Date:
Instructions: For each element listed below, enter your responses. Be sure to describe the
PSM-covered process(es) or selected units evaluated.
A. Compliance Audit
#
Compliance Audit
1a
1b

Was a compliance audit completed at least every
three years? (o)(1)
Does the audit include an evaluation of compliance
with all the required paragraphs of the PSM
standard? (o)(1)
Evaluation Tip:
Compliance audit reports should be looked at
closely for an understanding of how the PSM
covered process functions, how adjacent processes
or other operations near the PSM covered process
interact, and potential safety impact.

Does the audit include a report of the findings?
(o)(3)

Was the compliance audit conducted by at least one
person knowledgeable about the process? (o)(2)

Did the employer retain the two most recent
compliance audit reports? (o)(5)
Were all deficiencies noted in the compliance audit
report documented as corrected? (o)(4)

Evaluation Tips:
Spot check during your walkthrough of the facility
to determine if deficiencies were corrected as
documented. Did the employer implement
appropriate corrective measures? Did you find
additional deficiencies that should have been
identified during the compliance audit and
corrected? The consultant should use technical
resources such as consensus standards to make a
determination.
Additional evaluation findings?
177

Yes/No

Findings and
Recommendations

B. Incident Investigation
#
Incident Investigation
4a

4b
4c

4d
5

Yes/No

Were proper incident investigations conducted for
all incidents that resulted in or could reasonably
have resulted in a catastrophic release of highly
hazardous chemicals (HHCs) in the process area or
Selected Unit; as soon as possible, but not later
than 48 hours following an incident?
(m)(1), (m)(2), (m)(4)
Did the employer establish a system to promptly
address and resolve the incident report findings and
recommendations? (m)(5)
Did the employer document corrective actions from
the report? (m)(5) Were the documented corrective
actions implemented at the establishment?
Evaluation Tips:
Verify during walkthrough if
recommendations/documented corrective actions
were implemented; and if they are effective (e.g.,
through observations and interviews). Did incident
investigations identify the factors that contributed
to an incident (to accomplish this, employers should
focus on identifying root causes)? Are corrective
actions adequate to prevent recurrence? Are
catastrophic incidents addressed in the Process
Hazard Analyses (PHA)?
Were incident investigation reports retained for five
years? (m)(7)
Did incident investigation teams comprise at least
one person knowledgeable about the process
area/Selected Unit; a contractor employee if
contractor work was involved; and other
knowledgeable and experienced persons? (m)(3)
Were incident investigation reports reviewed with
all affected employees whose job tasks are relevant
to the incident findings? (m)(6)

178

Findings and
Recommendations

Incident Investigation

How did the employer review the report with
affected employees (e.g., meetings to discuss the
report – findings and corrective actions
proposed/taken)? Did employees provide any input
or feedback? Were employees input/feedback
incorporated where relevant?
Evaluation Tips:
Identify and interview affected employees,
supervisors, and managers. Please note that
consultants should assess if the report was
reviewed with all affected employees (i.e., host
employer’s workers, contract employees,
temporary workers, etc.).

Additional evaluation findings?

C. Process Safety Information (PSI)
#
Process Safety Information (PSI)
8a

Did the written PSI include information pertaining
to hazards of the HHC used in the process/Selected
Unit:
i. Toxicity information?
ii. Permissible exposure limits?
iii. Physical data?
iv. Reactivity data?
v. Corrosivity data?
vi. Thermal and chemical stability data?
vii. Hazardous effects of inadvertently
mixing different materials that could
foreseeably occur?
(d)(1) through (d)(1)(vii)
Collect and review the following information:
i. List of HHCs used
ii. Maximum intended inventory
iii. Quantity of HHC present
May use Table C-1 as a guide.
Note: Safety Data Sheets (SDSs) meeting the
requirements of 29 CFR 1910.1200(g) may be used
to comply with this requirement if they contain the
information required by 29 CFR 1910.119(d)).
179

Yes/No

Findings and
Recommendations

Yes/No

Findings and
Recommendations

#
9a

Process Safety Information (PSI)

Yes/No

Did the PSI include information pertaining to the
technology of the process/Selected Unit? (d)(2)
Were block flow diagrams available and accurate?
(d)(2)(i)(A)
Process chemistry? (d)(2)(i)(B)

Evaluation Tips:
Where chemical mixing is done: Are there controls
in place to ensure that process chemicals are not
impure or contaminated? Are there procedures in
place to prevent mixing wrong chemicals or mixing
chemicals with the wrong concentration?
Maximum intended inventory? (d)(2)(i)(C)

Evaluation Tips:
Is the maximum intended inventory documented?
Is the process operating above the documented
maximum inventory? Are inventory limit controls
functioning properly to prevent exceeding the
maximum intended inventory?
Were safe upper/lower design and operational
limits for such items as pressures, temperatures,
flow rates and compositions documented?
(d)(2)(i)(D)
Evaluation Tips:
How were the design and operational limits
identified (e.g., manufacturer’s recommendations,
Recognized and Generally Accepted Good
Engineering Practices (RAGAGEP)?) Are workers
knowledgeable about the limits? What measures
are implemented to operate within set limits?
Were the consequences of deviation documented?
(d)(2)(i)(E)
Evaluation Tips:
What emergency procedures are in place to
mitigate (if feasible) or respond to a
failure/deviation?
Where original technical information no longer
exists, was technical information developed in
conjunction with the PHA in sufficient detail to
support the hazard analysis? (d)(2)(ii)
180

Findings and
Recommendations

#
10

10a
10b
10c
10d
10e
10f
10g
10h
10i

10j

Process Safety Information (PSI)

Yes/No

Did the PSI include information pertaining to
equipment used in the process/Selected Unit such
as:
(d)(3)
Materials of construction? (d)(3)(i)A)
Were Piping and Instrumentation Diagrams (P&IDs)
available and accurate? (d)(3)(i)(B)
Electrical classification? (d)(3)(i)(C)
Relief system design and design basis? (d)(3)(i)(D)
May use Table C-2 as a guide.
Ventilation system design? (d)(3)(i)(E)
Design codes and standards employed? (d)(3)(i)(F)
Material and energy balances for processes built
after May 26, 1992? (d)(3)(i)(G)
Safety systems (e.g., interlocks, detection or
suppression systems) (d)(3)(i)(H)
Does equipment comply with Recognized and
Generally Accepted Good Engineering Practices
(RAGAGEP)?
(d)(3)(ii)
Is existing equipment designed and constructed in
accordance with codes, standards, or practices that
are no longer in use?
If yes, how did the employer determine that the
equipment is designed, maintained, inspected,
tested, and operating in a safe manner (this
information must also be documented by the
employer)? (d)(3)(iii)

Evaluation Tips:
Are safety systems for equipment adequate? Is
there impact from adjacent equipment or
operation? Are equipment and wiring used in the
process area of the proper electrical classification
for the process area? Is equipment in deficient
condition used? Is equipment operated outside of
its normal operating limit?
Additional evaluation findings?

181

Findings and
Recommendations

D. Process Hazard Analysis (PHA)
#
Process Hazard Analyses (PHA)
12
12a

12b

12c
12d

12e
12f

12g

Yes/No

Has a PHA been performed for the process/Selected
Unit such that it:
Addresses all hazards of the process/Selected Unit?
(e)(3)(i)
Evaluation Tips:
Process hazard evaluations should include an
assessment of how deviations from the design plan
could occur, such as, high/low/no flow, high/low/no
pressure, high/low temperature.
Uses an appropriate methodology or combination
of methodologies to evaluate hazards (e.g., whatifs, checklists, what-ifs/checklists, hazards and
operability study (HAZOP), failure mode and effects
analysis (FMEA), fault tree analysis, or an
appropriate equivalent method)?
(e)(2) through (e)(2)(vii)
Identifies previous incidents which had a likely
potential for catastrophic consequences in the
workplace? (e)(3)(ii)
Identifies engineering (i.e., safety systems) and
administrative controls applicable to the hazards
and their interrelationships such as appropriate
application of detection methodologies to provide
early warning of releases? Are work practices and
PPE addressed?
(e)(3)(iii); (f)(4); (f)(1)(iii)(B)
Evaluation Tip:
Are engineering and administrative controls, safe
work practices, and PPE adequate to prevent
workers exposure to identified hazards?
Identifies the consequences of failure of
engineering and administrative controls? (e)(3)(iv)
Incudes a qualitative evaluation of a range of
possible safety and health effects of the failure of
control measures on employees? (e)(3)(vii)
Evaluation Tip:
Is the qualitative evaluation adequate?
Adequately assesses facility siting? (e)(3)(v)
182

Findings and
Recommendations

Process Hazard Analyses (PHA)

12h

Properly assess human factors? (e)(3)(vi)

13a

13b

13c
13d
14a

14b
15

Yes/No

Evaluation Tip:
Were measures taken to eliminate or reduce the
frequency and/or consequences/severity of
potential incidents involving human factor issues?
Did the employer consult with employees and their
representatives on the conduct and development of
the PHA [and all other information required to be
developed by the PSM standard (29 CFR 1910.119)]?
(c)(2)
Were the original PHA and revalidations conducted
by a team that included at least one employee with
experience and knowledge specific to the process
evaluated? Was at least one team member
knowledgeable in the specific PHA methodology
used? (e)(4)
Is the PHA updated and revalidated at least every
five years? (e)(6)
Are all initial PHAs, updates or revalidations and
documented resolution of recommendations kept
for the life of the process? (e)(7)
Does the employer have a system (written or
otherwise) for promptly addressing PHA findings
and recommendations?
(e)(5)
May use Table D-1 as a guide.
Evaluation Tips:
What is the employer’s system – interview
employees, supervisors and managers; review
relevant documentation? Is there a written
schedule of when actions are to be completed? Are
actions/recommendations communicated to
maintenance and other employees whose job tasks
are in the process and who may be affected by the
actions/recommendations? (e)(5
Does the system properly address PHA findings?
Can workers and their representatives request and
receive access to PHA and other information
required by the PSM standard? (c)(3)

183

Findings and
Recommendations

E. Mechanical Integrity (MI)
#
Mechanical Integrity (MI)
16

17a
17b
17c

17d

Yes/No

Are there written MI procedures to ensure that
process equipment is maintained in good working
condition, including the following:
i. Pressure vessels and storage tanks
ii. Piping systems, components, valves
iii. Relief and vent systems and devices
iv. Emergency shutdown systems
v. Controls (including monitoring devices and
sensors, alarms, and interlocks)
vi. Pumps
(j)(1)&(2)
Evaluation Tips:
Spot check safety systems identified in the PHA for
written and implemented MI procedures. Check for
proper installation of insulation, moisture and/or
ice formation on insulated lines, evidence of
corrosion, name plates for relief valves and
pressure vessels, leakages, machine room
equipment and condition, and ventilation system
condition?
Did the employer implement procedures for proper
inspections and testing of process equipment?
(j)(4)(i)
Are required tests/inspections performed on
process equipment as recommended by the
manufacturer and RAGAGEP? (j)(4)(ii)
Is the frequency of tests/inspections performed on
process equipment as recommended by the
manufacturer and RAGAGEP, and more frequently if
determined to be necessary due to previous
operating occurrence(s)? (j)(4)(iii)
Did the employer document each inspection and
test conducted on process equipment (i.e., date of
the inspection/test, name of the person that did it,
equipment serial number/other identifier,
description of the inspection/test performed, and
the results)? (j)(4)(iv)

184

Findings and
Recommendations

#
17e

Mechanical Integrity (MI)

Yes/No

Did the employer correct equipment deficiencies that
are outside acceptable operating limits (as defined by
the PSI), before further use; or in a safe and timely
manner when protective measures are implemented to
assure safe operation? (j)(5)
May use Table E as a guide.
Evaluation Tips:
Review testing and inspection records for process
equipment (this should include associated safety
systems) for the process/Selected Unit.
Note: Testing and inspection are different. Testing and
inspection must be performed on process equipment,
using procedures that follow recognized and generally
accepted good engineering practices. The frequency of
tests and inspections of process equipment must
conform to manufacturers' recommendations and good
engineering practices, or more frequently if determined
to be necessary by prior operating experience. Each test
and inspection on process equipment must be
documented, identifying the date of the test or
inspection, the name of the person who performed the
test or inspection, the serial number or other identifier
of the equipment on which the test or inspection was
performed, a description of the test or inspection
performed, and the results.
Request and review work orders for controls in the
process/Selected Unit to assess control deficiencies that
exist.
Inspect equipment during the walkthrough (this should
include associated safety systems):
Does it appear that equipment is being maintained in
good working condition? Is there evidence that
corrective actions were implemented and effective? Are
associated control measures/safety systems inspected,
tested, and maintained in good operating conditions?
Were metal thickness measurements adequately
addressed? Assess the frequency of metal thickness
measurements and indications (e.g., wall thinning could
result in rupture or leak) in the process/Selected Unit –
do spot checks.

185

Findings and
Recommendations

#
18
18a
18b

18c
19

Mechanical Integrity (MI)

21b
21c

21d
22

Findings and
Recommendations

Yes/No

Findings and
Recommendations

Did the employer have a Quality Assurance program
for the process/Selected Unit to verify the
following:
New equipment is suitable for process application?
(j)(6)(i)
Appropriate checks and inspections are performed
to assure that equipment is installed properly and
consistent with design specifications and the
manufacturer's instructions? (j)(6)(ii)
Spare parts, maintenance materials, and equipment
are suitable for the process application for which
they will be used? (j)(6)(iii)
Are workers involved in maintaining the ongoing
integrity of process equipment trained in an
overview of the process and its hazards, as well as
in the procedures applicable to their job tasks to
assure that each worker can perform the job tasks
in a safe manner? (j)(3)
Additional evaluation findings?

F. Operating Procedures
#
Operating Procedures
21a

Yes/No

Did the employer develop and implement written
operating procedures with clear instructions for
safely conducting activities consistent with the PSI
for the process/Selected Unit? (f)(1)
Are operating procedures readily accessible to
employees who work in or maintain a process?
(f)(2)
Are operating procedures reviewed as often as
necessary to reflect current operating practices,
including changes that result from changes in
process chemicals, technology, equipment and
facilities? (f)(3)
Does the employer certify annually that operating
procedures are current and accurate? (f)(3)
Do operating procedures for the process/Selected
Unit address at least the following:

186

#
22a

22b

22c

Operating Procedures

Yes/No

Steps of each operating phase, including:
i. Initial startup
ii. Normal operations
iii. Temporary operations
iv. Emergency shutdowns
v. Emergency operations
vi. Normal shutdown
vii. Startups following a turnaround or
emergency shutdown
(f)(1)(i)(A) through (G)
Operating limits, including consequences of
deviation, and steps required to correct or avoid
deviation?
(f)(1)(ii)(A)&(B)
(d)(2)(i)(E)
Evaluation Tips:
Interview operators – Do workers know the
consequences of deviation identified in the PSI? Do
workers know the steps to avoid deviation? Do
workers know what is required to correct
deviation?
Safety and health considerations, including the
following:
i. Chemical properties and hazards of
chemicals used in the process
ii. Precautions necessary to prevent exposure
iii. Control measures to take when there is
physical contact or airborne exposure
iv. Quality control for raw materials and control
of hazardous chemical inventory levels
v. Any special or unique hazards?
(f)(1)(iii)(A) through (E)
Evaluation Tips:
Interview workers to determine if they are aware of
safety and health considerations? Observe workers
– are they performing their tasks safely?

187

Findings and
Recommendations

#
22d

Operating Procedures

Yes/No

Safety Systems and their functions? (f)(1)(iv)
Evaluation Tips:
Review operating procedures and PSI:
Was PSI incorporated into operating procedures?
Do procedures incorporate safety mechanisms, i.e.,
engineering and administrative controls and PPE?

24
24a
24b

Do workers know the proper procedures to safely
do their work? For example, confirm workers
understanding of the process, procedures, and how
they do their work (e.g., via interviews,
observation). Do workers accounts deviate from
the written procedures?
Are operating procedures easily accessible to
employees who work in the process, including
maintenance workers? (f)(2)
Evaluation Tips:
Where are operating procedures kept? How do
workers access them? Do workers know the
operating procedures to follow?
Did the employer develop and implement safe work
practices that apply to its employees and contractor
employees to:
Control hazards during operations such as
lockout/tagout; confined space entry; opening
process equipment or piping?
Control entrance into the facility by maintenance,
contractor, laboratory, or other support personnel?
(f)(4)
Evaluation Tip:
Consultants should assess worker protection and
participation requirements specified in the PSM
standard for all workers at a site (i.e., host
employer’s workers, contract workers, temporary
workers, etc.).

Additional evaluation findings?

188

Findings and
Recommendations

G. Management of Change (MOC)
#
Management of Change (MOC)
26

Yes/No

Are there written procedures for managing change
(except for “replacements in kind”) to process
chemicals, technology, equipment, and procedures,
as well as changes to facilities that affect the
covered process/Selected Unit? (l)(1)
Evaluation Tips:
Review procedures that address responsibilities,
steps for assessing risks and approving changes,
requirements for reviewing designs for temporary
and permanent changes, steps needed to verify
that modifications have been made as designed,
variance procedures, time limit authorizations for
temporary changes, and steps required to return
the process to status quo after temporary changes.
Inquire how changes are evaluated on short notice
and communicated to employees.
Note: Temporary changes have caused a number of
catastrophes over the years, and employers must
establish ways to detect both temporary, and
permanent changes. It is important that a time
limit for temporary changes be established and
monitored since otherwise, without control, these
changes may become permanent. Temporary
changes are subject to the management of change
provisions. In addition, the management of change
procedures are used to ensure that equipment and
procedures are returned to their original or
designed conditions at the end of the temporary
change. Proper documentation and review of these
changes are invaluable to ensuring that safety and
health considerations are incorporated into
operating procedures and processes.

189

Findings and
Recommendations

#
27

28a
28b
28c
29

Management of Change (MOC)

31
32
33a

Findings and
Recommendations

Yes/No

Findings and
Recommendations

Do MOC procedures assure that the following are
addressed prior to any change in the
process/Selected Unit?
i. Technical basis for the proposed changed
ii. Impact of the change on safety and health
iii. Modifications to operating procedures
iv. Necessary time period for the change
v. Authorization requirements for the
proposed change
(l)(2)
Evaluation Tips:
Follow with a review of recent equipment, process,
operations, and/or HHC changes that would require
an MOC.
Did the employer update the operating procedures,
practices, and/or the PSI affected by a change in the
PSM covered process/Selected Unit? (l)(4)&(5)
Were P&IDs completed for a new facility or
updated for modification to an existing facility in
the process area/Selected Unit? (d)(3)(i)(B)
Were affected employees and contractors informed
and trained on a change in the PSM covered
process/Selected Unit prior to start-up? (l)(3)
Additional evaluation findings?

H. Pre-Startup Safety Review (PSSR)
#
Pre-Startup Safety Review (PSSR)
30

Yes/No

Indicate if this is a new facility or modification of an
existing facility requiring a change in PSI. If yes, was
PSSR conducted, and completed prior to the
introduction of HHCs to the process?
(i)(1)
Did PSSR verify that construction and equipment is
in accordance with design specifications? (i)(2)(i)
Did PSSR verify that safety, maintenance, operating
and emergency procedures are in place and
adequate? (i)(2)(ii)
Were Management of Change (MOC) procedures
followed for changes or modifications to an existing
facility?
190

#
33b

Pre-Startup Safety Review (PSSR)

Findings and
Recommendations

Yes/No

Findings and
Recommendations

For a new facility was a PHA performed and
recommendations resolved or implemented before
startup?
(i)(2)(iii)
Did PSSR verify that each employee involved in
operations in the process/Selected Unit received
training before startup?
(i)(2)(iv)
Additional evaluation findings?

I. Hot Work Permit
#
Hot Work Permit
36

Yes/No

Does the employer issue a hot work permit for hot
work operations conducted on or near a covered
process/Selected Unit? (k)(1)
Evaluation Tips:
Does the establishment have a procedure for
evaluating hot work hazards on or near PSM
covered processes before issuing a hot work
permit?

191

#
37a

Hot Work Permit

Yes/No

Does the employer retain a statistically-valid
number of hot work permits to comply with the
audit requirements of 29 CFR 1910.119(o)(1) at
least every three years?
Note: 29 CFR 1910.119(k) specifies that the hot
work permit must be kept on file until completion
of the hot work, however::
i. To comply with the provisions of 29 CFR
1910.119(o)(1), an employer must audit the
procedures and practices required by PSM
and assure they are adequate and are being
followed.
ii. Since hot work permits are part of the hot
work procedure, OSHA expects that
employers would audit a statistically-valid
number of hot work permits to assure they
were completed and implemented per their
procedure.
iii. Therefore, the employer would need to
retain a statistically-valid number of hot
work permits to comply with the audit
requirements of 29 CFR 1910.119(o)(1) (see
OSHA Letter of Interpretation, PSM
compliance for ammonia refrigeration
systems, July 12, 2006, response 10,
updated July 7, 2015, Question #4), which
requires “employers to certify that they
have evaluated compliance with the
provisions of 29 CFR 1910.119 at least every
three years, to verify that the procedures
and practices developed under the standard
are adequate and are being followed.”

192

Findings and
Recommendations

#
37b

Hot Work Permit

Yes/No

Do hot work permits::
i. Document that the fire prevention and
protection requirements in 29 CFR
1910.252(a) have been implemented prior
to beginning hot work operations?
ii. Specify the date authorized for hot work?
iii. Document the identity of the object on
which hot work is to be performed?
(k)(2)
Evaluation Tips:
Review the hot work permit – does it require
workers to apply appropriate safe work practices to
prevent a fire (29 CFR 1910.252(a))?
Is there a procedure in place to periodically verify
safe work practices identified in hot work permits
are followed during hot work operations?
Interview employers, supervisors, and workers. For
instance, do they know that appropriate safe work
practices to prevent a fire are required during hot
work operations?

193

Findings and
Recommendations

J. Emergency Planning and Response
#
Emergency Planning and Response
38

Yes/No

Was an emergency action plan (EAP) established
and implemented for the entire establishment,
covering at a minimum:
i. Procedures for reporting a fire or other
emergency;
ii. Procedures for emergency evacuation,
including type of evacuation and exit route
assignments;
iii. Procedures to be followed by employees
who remain to operate critical plant
operations before they evacuate;
iv. Procedures to account for all employees
after evacuation;
v. Procedures to be followed by employees
performing rescue or medical duties; and
vi. The names and job titles of employees that
may be contacted by employees who need
more information about the EAP or
explanation of their duties under the plan.
(n)
29 CFR 1910.38(c)
Evaluation Tip:
Interview employees (i.e., host employer’s workers,
contract workers, temporary workers, etc.). Do
employees know the emergency procedures for the
process area/Selected Unit? How are emergencies
communicated to all employees at the
establishment? Is the employer also subject to
hazardous waste and emergency response
provisions in 29 CFR 1910.120 (a), (p) and (q).
Did the EAP include procedures for handling small
releases of chemicals in the process area/Selected
Unit?
(n)

194

Findings and
Recommendations

#
40

41a

Emergency Planning and Response

Yes/No

If employees are engaged in emergency response to
hazardous substance releases (except clean-up
operations), does the EAP address the following:
i. Coordination with outside parties?
ii. Personnel roles, lines of authority, training,
and communication?
iii. Emergency recognition and prevention?
iv. Safe distances and places of refuge?
v. Site security and control?
vi. Evacuation routes and procedures?
vii. Decontamination?
viii. Emergency medical treatment and first aid?
ix.
Emergency alerting and response
procedures?
x.
Critique of response and follow-up?
xi.
PPE and emergency equipment?
29 CFR 1910.120(q)
Has the host employer reviewed the EAP with each
employee covered by the plan:
i. When the plan was developed or the
employee was initially assigned to a job?
ii. When the employee’s responsibilities under
the plan changed?
iii. When the plan was changed?
(c)(2)
29 CFR1910.38(f)
b. Did the host employer explain applicable
provisions of the establishment’s EAP to contract
workers in the process/Selected Unit before they
started work? (h)(2)(iii)

Evaluation Tip:
Interview contract workers: do they know the
emergency procedures for the process
area/Selected Unit?
Additional evaluation findings?

195

Findings and
Recommendations

K. Employee Participation
#
Employee Participation (See additional
employee participation evaluation criteria in other
elements)
43
Does the employer have a written plan of action
developed for employee participation? (c)(1)

Yes/No

Findings and
Recommendations

Evaluation Tip:
If yes, interview employees to verify
implementation.
Were employees involved in developing elements of
the PSM Program? (c)(2)
Evaluation Tip:
Interview employees to verify/clarify their
involvement and if they understand the program.
Additional evaluation findings?

L. Contractors
• See additional information in Emergency Planning and Response
• Describe the PSM covered process/Selected Unit that was evaluated if different from
above
#
Contractors
Yes/No
Findings and
Recommendations
46
Were the following host employer responsibilities
performed as required:
46a Did the employer obtain and evaluate information
on contractors’ safety performance and programs
before selection? (h)(2)(i)
46b Did the employer periodically evaluate the
performance of contract employers in fulfilling their
obligations? (h)(2)(v)
46c

Did the host employer inform contract employees of
the known potential fire, explosion or toxic release
hazards related to their jobs and the
process/Selected Unit before starting work?
(h)(2)(ii)
Evaluation Tip:
Are contract workers aware of the hazards of their
work and the PSM covered process?

196

#
46d

46e
47a

47b

47c

Contractors

Yes/No

Did the host employer develop and implement safe
work practices that apply to employees and
contractors consistent with 29 CFR 1910.119(f)(4)
to:
i. Control hazards during operations such as
lockout/tagout, confined space entry,
opening process equipment; ((f)(4))
ii. Control entrance into a facility by
maintenance, contractor, laboratory, or
other support personnel;
((f)(4)); and
iii. Control contractors’ entrance, presence, and
exit from the process area/Selected Unit?
((h)(2)(iv))
Evaluation Tip:
During the walkthrough observe how contract
workers and others enter and exit the process
area/Selected Unit: are appropriate procedures
followed? What control measures are in place (e.g.,
permit system or work authorization system)?
Consultants should assess worker protection and
participation requirements specified in the PSM
standard for all workers at a site (i.e., host
employer’s workers, contract workers, temporary
workers, etc.).
Did the host employer maintain contractors’ Injury
and Illness logs related to the contractor’s work in
the process area/Selected Unit? (h)(2)(vi)
Did the contract employer establish procedures to
assure contract employees follow the safety rules
for the facility including safe work practices required
by 29 CFR 1910.119(f)(4)? (h)(3)(iv)
Did the contract employer ensure that contract
employees are aware of the known potential fire,
explosion or toxic release hazards related to their
jobs and the process/Selected Unit, as well as the
applicable provisions of the EAP before starting
work? (h)(3)(ii)
Was there a process in place to report unique
hazards found or created by the contract
employer’s work? (h)(3)(v)
197

Findings and
Recommendations

#
47d
47e

Contractors

Yes/No

Were contract employees trained in the work
practices to safely perform their job tasks? (h)(3)(i)
Was there a training record with each contract
employee’s identity, training date, and means used
to verify that the employee understood the
training? (h)(3)(iii)
Additional evaluation findings?

Findings and
Recommendations

M. Training
• Additional training evaluation criteria are specified in the MI, MOC, and Contractors
elements
• May use Table M as a guide
#
Training
Yes/No
Findings and
Recommendations
49a Has each worker involved in operating a process, or
before being involved in operating a newly assigned
process, been trained in an overview of the process
and operating procedures including:
i. Steps for each operating phase? (i.e., initial
startup, normal operations, temporary
operations, emergency shutdown,
emergency operations, normal shutdown,
and startup following a turnaround or
emergency shutdown)
ii. Operating limits? (i.e., consequences of
deviations and steps required to avoid
deviations)
iii. Safety and health considerations? (i.e.,
properties and hazards of chemicals used
and precautions for preventing exposure)
iv. Safety systems and their functions?
(g)(1)(i)
(f)

198

#
49b

50a

50b

51a

51b

Training

Yes/No

Did the training include an emphasis on specific
safety and health hazards, emergency operations
including shutdown, and safe work practices
applicable to the worker’s job tasks?
(g)(1)(i)
Evaluation Tips:
Observe workers performing tasks and interview
them. Are workers applying proper techniques to
safely do their work? Do they know and
understand the proper procedures to safely
complete their assigned tasks?
Has refresher training been provided at least every
three years, and more often if necessary, to each
worker involved in operating the process?(g)(2)
Did the employer consult with workers to
determine the appropriate frequency of refresher
training?(g)(2)
Evaluation Tips:
Do workers know the current, documented
operating procedures? Are workers able to apply
the current procedures effectively? If feasible,
observe workers to verify if they are following
specified procedures.
Has the employer provided a means for
ascertaining if each employee involved in operating
the process has received and understood
training?(g)(3)
Do training records contain the identity of the
worker, the training date, and means used to verify
the employee understood the training? (g)(3)
Evaluation Tips:
Interview/observe workers, review incident logs (et
al) to ascertain training effectiveness.
Did workers receive additional training to
effectively perform their job tasks such as training
required by trade schools (e.g., electricians), and
applicable OSHA standards (e.g., 29 CFR
1910.1200(h)(3), Hazard Communication
Standard)?
199

Findings and
Recommendations

#
53

Training

Yes/No

Additional evaluation findings?

Findings and
Recommendations

This copy of the On-Site Consultation Program PSM Evaluation Worksheet is intended for
example purposes only and not for program use. To view the current version and OMB
Number/Expiration Date, please go to the OSHA Information System (OIS).

List of
HHCs
Used

Table C-1: Hazards of Highly Hazardous Chemicals (HHCs) Used at the Establishment
(Optional)

Maximum
Intended
Inventory
(according
to the
employer,
see 29 CFR
1910.119(d)
(2) (i)(C))

Spot check
location

Quantity of
HHC

Toxicity
Information?

(Is the
maximum
intended
inventory
exceeded?
Are controls
appropriate
to prevent
exceeding it
(29 CFR
1910.119(e)
(3))?

YES/NO
Explain

Permissible
Exposure
Limits
available?
YES/NO
Explain

Physical
data
available?

Reactivity
data
available?

Corrosivity
data
available?

YES/NO
Explain

YES /NO
Explain

YES/NO
Explain

Thermal and
chemical
stability
data
available?
YES/NO
Explain

YES/NO
Explain

Table C-2: Relief System Design and Design Basis Used at the Establishment (Optional)
Relief valve
description
(29 CFR
1910.119(d)(3)
(i)(D))

Hazardous
effects of
inadvertently
mixing different
materials that
could
foreseeably
occur noted?

Is relief system design
and design basis
complete?
(29 CFR 1910.119
(d)(3)(i)(D))

RAGAGEP/design codes
and standards used?
(29 CFR
1910.119(d)(3)(ii)&(iii))

200

Additional findings (e.g., equipment
in deficient condition is used; 29 CFR
1910.119(j)(5))

Spot-check
location

Equipment
(insert equipment
description, serial
number or other
identifier and
inspection date)

Table D: Assessment of the Employer’s Written Schedule for Implementing
Process Hazard Analysis Recommendations (Optional)
Describe the
Was the Action Item
Additional Evaluation
recommended action item, Completed?
Findings/Corrective Actions
including the estimated
Yes/No
completion date
29 CFR 1910.119
29 CFR 1910.119 (e)(5)
(e)(5)

Location of
spot
checks

Table E: Review of Equipment Inspection Records (Optional)

Name/
Position of
person who
conducted
the
inspection or
test?

Describe
inspection or
test performed
and results?
(29 CFR
1910.119(j) (4))

Procedures
followed
(e.g.,
manufacturer’s
instructions or
other accepted
sources*; 29 CFR
1910.119(j)(4) (ii))

Pressure vessel

Were
recommendations
followed for testing,
inspecting, or
replacement
frequencies?
(29 CFR
1910.119(j)(4)(iii))
YES/NO
Explain

Were
identified
deficiencies
corrected (29
CFR 1910.119
(j)(5))?
YES/NO
Explain

Additional
Evaluation
Findings/
Corrective
Actions

Storage tank
Piping
system/valve
Relief/ventilation
system (include
relief valve)
Emergency
shutdown system
Control systems
Pump and/or
compressor

(*Other accepted sources include: American Petroleum Institute (API) 570, Piping Inspection Code: In-service Inspection, Rating,
Repair, and Alteration of Piping Systems; and API 510, Pressure Vessel Inspection Code: In-Service Inspection, Rating, Repair,
and Alteration, RAGAGEP)

201

Table M: Workers Training Review (Optional)
Note: All workers must receive required training to safely perform their duties, i.e., host
employer’s workers, contract workers, temporary workers, etc.
Required Training

Workers To Receive Training Minimum Training
Requirements

Initial Training

(1) Each worker presently
involved in operating a
process

29 CFR
1910.119(g) (1)(i)

(1) Overview of the process.

(2) Operating procedures
specified in 29 CFR
(2) Each worker before being 1910.119(f):
involved in operating a
newly assigned process
• Steps for each operating
phase (i.e., initial startup,
normal operations,
temporary operations,
normal shutdown,
emergency shutdown,
emergency operations, and
startup following a
turnaround or emergency
shutdown;
• Operating limits (i.e.,
consequences of deviations
and steps required to avoid
deviations);
• Safety and health
considerations (i.e.,
properties and hazards of
chemicals used, as well as
precautions for preventing
exposure); and
• Safety systems and their
functions.
(3) Training must include an
emphasis on specific safety
and health hazards,
emergency operations
including shutdown and safe
work practices applicable to
the employee’s job tasks.
202

Findings

Required Training

Workers To Receive Training Minimum Training
Requirements

In-Lieu of Initial
Training

Each worker already
involved in operating a
process on May 26, 1992

29 CFR
1910.119(g) (1)(ii)

Refresher Training Each worker involved in
operating a process
(29 CFR
1910.119(g) (2))

Maintenance
Activities Training
(29 CFR
1910.119(j) (3)

Each worker involved in
maintaining the ongoing
integrity of process
equipment

An employer may certify in
writing that the employee has
the required knowledge, skills,
and abilities to safely carry out
the duties and responsibilities
specified in the operating
procedures.
(1) Must be provided at least
every three (3) years, and
more often if necessary.
(2) Employer in consultation
with workers involved with
operating the process shall
determine the appropriate
frequency of refresher
training.
(3) To assure that the worker
understands and adheres to
the current operating
procedures.
(1) Overview of the process.
(2) Process hazards.
(3) Procedures applicable to
the worker’s job tasks to
assure that the worker can
perform the job tasks in a safe
manner.

203

Findings

Required Training

Workers To Receive Training Minimum Training
Requirements

Host Employers
Training
Documentation

All workers’ training

(29 CFR
1910.119(g) (3))

(1) The employer must ensure
that each worker involved
with operating a process has
received and understood the
training required by 29 CFR
1910.119.
(2) The employer must
prepare a record which
contains:
Identify of the worker;
Date of training; and
Means used to verify that
the worker understood the
training.
The contract employer must
ensure that:

•
•
•
Contractors
Training

Contract Workers

(1) Each contract worker is
trained in the work practices
necessary to perform his/her
job.
29 CFR 1910.119(h)(3)(i)
(2) Each contract worker is
instructed in the known
potential fire, explosion, or
toxic release hazards related
to his/her job and the process,
and the applicable provisions
of the emergency action plan.
29 CFR 1910.119(h)(3)(ii)
(3) Each contract worker
follows the safety rules of the
facility including safe work
practices required by 29 CFR
1910.119(f)(4).
29 CFR 1910.119(h)(3)(iv)

204

Findings

Required Training

Workers To Receive Training Minimum Training
Requirements

Contractors
Training
Documentation

All contract workers’ training (1) The contract employer
must document that each
contract worker has received
and understood the training
required by this paragraph.

29 CFR
1910.119(h) (3)(iii)

(2) The contract employer
must prepare a record that
contains the:
Identity of the contract
worker;
• Date of Training; and
• Means used to verify that
the employee understood
the training.
Affected employees shall be
informed of, and trained in,
the change prior to start-up of
the process or affected part of
the process.

•

Management of
Change Training
29 CFR
1910.119(l)(3)
Additional
training as
required

Employees involved in
operating a process and
maintenance and contract
employees whose job tasks
will be affected by a change
in the process
All affected workers (i.e.,
workers involved in
applicable job tasks or
potentially exposed to
hazards)

(1) Training specified in
applicable OSHA standards
such as 29 CFR
1910.1200(h)(3), Hazard
Communication Standard.
(2) Other required training
such as those specified by
trade schools (e.g.,
electricians).

205

Findings

Appendix L-2: Process Safety Management (PSM) of Highly Hazardous Chemicals Interim Year
Safety and Health Achievement Recognition Program (SHARP) Site Self-Evaluation Template
Name of Establishment:

Date:

1. Explain how all the findings from the previous Compliance Audit were resolved and if
documented corrective actions (29 CFR 1910.119(o)(4)) were all implemented and
functioning adequately.
2. Explain how all Process Hazard Analyses (PHA) findings (29 CFR 1910.119(e)(3) through
(e)(3)(vii)) were addressed (29 CFR 1910.119(e)(5)).
3. Was a PHA revalidation due? If yes, was it completed as specified in 29 CFR
1910.119(e)(4)&(6)? Please, provide a copy of the revalidated PHA, if applicable.
4. Was refresher training required for any operators this year (29 CFR 1910.119(g)(2))? If yes,
was it completed as required? Please, provide operators training record(s), if applicable.
5. Were any new operators and/or maintenance personnel hired? Were newly hired operators
provided initial training before being assigned tasks (29 CFR 1910.119(g)(1)(i))? Were newly
hired maintenance personnel trained as required before being assigned tasks (29 CFR
1910.119(j)(3))? Please provide training records, if applicable.
6. Have all previous incident investigation findings been resolved (29 CFR 1910.119(m)(5))? If
no, please explain. Please, provide the investigation report(s) and an explanation of how
findings were addressed.
7. Did any incident(s) occur involving the PSM covered process since the most recent SHARP
evaluation (29 CFR 1910.119(m) through (m)(7))? If yes, describe the incident(s), attach the
incident investigation report(s), include the measures taken to resolve findings (29 CFR
1910.119(m)(5)).
8. Was the schedule in the written plan for routine testing, inspection and maintenance of
equipment (29 CFR 1910.119(j)(2); 29 CFR 1910.119(j)(4) through (j)(4)(iv)) implemented
and followed as required? If not, please explain why. Please, submit equipment testing,
inspection and maintenance records.
9. Are engineering and administrative controls (29 CFR 1910.119(e)(3)(iii)) functioning and
maintained effectively to protect workers from exposure to hazards? Have there been any
issues with engineering controls; administrative controls; and/or personal protective
equipment, if applicable (29 CFR 1910.119(f)(1)(iii)(B); 29 CFR 1910.132))? Please, explain
your response.

206

10. Were operating procedures reviewed and certified annually as current and accurate (29 CFR
1910.119(f)(3))? If not, please explain; otherwise, submit a copy of the certified review
findings.
11. Have there been any changes that required applying the Management of Change (MOC)
procedures? If yes, were MOC procedures properly applied, and were they adequate for
safe operations (29 CFR 1910.119(l)(1) and (j)(5)? Please, describe the changes and MOC
procedures used, if applicable.
12. Describe any additional relevant self-evaluation findings.

This copy of the Process Safety Management (PSM) of Highly Hazardous Chemicals Interim
Year Safety and Health Achievement Recognition Program (SHARP) Site Self-Evaluation
Template is intended for example purposes only and not for program use. To view the current
version and OMB Number/Expiration Date, please go to the OSHA Information System (OIS).

Instructions:
1. Please, review the requested information and provide accurate responses to assess the
effectiveness of your PSM Program implementation.
2. Appropriate documentation may be submitted in lieu of explanations.
3. Please, implement corrective actions to address any findings and document them in this
report.
4. Employers participating in SHARP, completing this PSM Interim Year SHARP Site SelfEvaluation Template, must also complete Appendix E, Interim Year SHARP Site SelfEvaluation Template.

207

Appendix L-3: Determining the Applicability of the Process Safety Management Standard to
an Establishment
(1) Chemical Inventory Table: Gather Information on the chemicals used at the establishment.
List of Chemicals* Used at the
Establishment covered by the Process
Safety Management (PSM) Standard,
29 CFR 1910.119

Intended
Inventory
(according to the
employer; 29
CFR
1910.119(d)(2)(i)
(C))

Specify
OSHA
threshold
quantity

Quantity of
Chemical at
Establishment

Where in the
Process is the
Chemical Used?

Comments

(2) Review Any Claimed Exemptions such as:
o

Retail facilities (29 CFR 1910.119(a)(2)(i));

Oil or gas well drilling or servicing operations (29 CFR 1910.119(a)(2)(ii);

Normally Unoccupied Remote Facilities – NURF Decision (i.e., OSHA Letter of
Interpretation, Evaluation of scenarios regarding PSM requirements related to normally
unoccupied remote facilities and natural gas processing plants (gas plant), February 16,
2005; 29 CFR 1910.119(a)(2)(iii));

Aggregations (i.e. OSHA Letter of Interpretation, Remote distance, close proximity and
other PSM questions, February 15, 1994);

Hydrocarbon fuels used solely for workplace consumption as a fuel if such fuels are not
part of a process containing another highly hazardous chemical covered by 29 CFR
1910.119(a)(1)(ii)(A);

Flammable liquids with a flashpoint below 100oF (37.8oC) stored in atmospheric tanks or
transferred which are kept below their normal boiling point without benefit of chilling or
refrigeration - MEER Decision (i.e., OSHA Letter of Interpretation, OSHA enforcement
policy of the PSM standard distilleries and related facilities in SIC 2085, March 14, 2003;
29 CFR 1910.119(a)(1)(ii)(A)&(B));

Appropriations exemptions (farming, employer size) – Enforcement Exemptions and
Limitations under the Appropriations Act, CPL 02-00-051; and

Distillery exemption (OSHA Letter of Interpretation, OSHA enforcement policy of the
PSM standard distilleries and related facilities in SIC 2085, March 14, 2003).

Findings:

208

(3) Review PSM Guidance in Applicable OSHA Enforcement Memos (see:
www.osha.gov/enforcement; select the Enforcement Memos tab).
Findings:
(4) Verify PSM Applicability – Provide details on the scope and applicability of the PSM
standard to the establishment.
Findings:
*Note: Chemicals listed in 29 CFR 1910.119, Appendix A, at or above the threshold quantity set
by OSHA; or a flammable liquid or gas in a quantity of 10,000 pounds or more; or used in the
manufacture of explosives or pyrotechnics as defined in 29 CFR 1910.109.

This copy of the Determining the Applicability of the Process Safety Management Standard to an
Establishment worksheet is intended for example purposes only and not for program use. To view the
current version and OMB Number/Expiration Date, please go to the OSHA Information System (OIS).

209

Appendix L-4: Process Safety Management Evaluation Tips
This is not an all-inclusive list. For additional information visit the OSHA Safety and Health
Topics webpage for Process Safety Management (PSM) and www.osha.gov/enforcement; also
review 29 CFR 1910.119.
A.

Process Safety Information (PSI)
1. The employer must complete a written (documented) PSI before conducting any
Process Hazard Analysis (PHA) required by the PSM standard (see 29 CFR
1910.119(d)).
2. The written PSI will enable the employer and the employees involved in operating
the process to identify and understand the hazards posed by highly hazardous
chemicals (see 29 CFR 1910.119(d)).
3. PSI must include complete and accurate information about the hazards of highly
hazardous chemicals used or produced by the process; process technology; and
equipment used in the process (see 29 CFR 1910.119(d)). This information is
essential to implement an effective PSM Program and conduct an effective PHA.
4. Information on the hazards of the highly hazardous chemicals in the process must
consist of at least the following: toxicity, permissible exposure limits, physical data,
reactivity data, corrosivity data, thermal and chemical stability data, and the
hazardous effects of inadvertent mixing of different materials (see 29
CFR1910.119(d)(1)(i) through (d)(1)(vii)).
5. Information on the technology of the process must include at least the following: a
block flow diagram or simplified process flow diagram; process chemistry; maximum
intended inventory (i.e., employer established criteria for maximum inventory levels
for process chemicals, limits beyond which would be considered upset conditions);
safe upper and lower limits for such items as temperatures, pressures, flows or
compositions; and an evaluation of the consequences of deviations (or results of
deviation that could occur if operating beyond the established process limits),
including those affecting the safety and health of employees (see 29 CFR
1910.119(d)(2)(i)(A) through (d)(2)(i)(E)).
6. A block flow diagram is a simplified diagram used to show the major process
equipment and interconnecting process flow lines and flow rates, stream
composition, temperatures, and pressures when necessary for clarity.
7. Where the original technical information no longer exists, such information may be
developed in conjunction with the PHA in sufficient detail to support the analysis
(see 29 CFR 1910.119(d)(2)(ii)).
8. Information on the equipment in the process must include the following: materials
of construction; Piping and Instrumentation Diagrams (P&IDs); electrical
classification; relief system design and design basis; ventilation system design;
design codes and standards employed; material and energy balances for processes
built after May 26, 1992; and safety systems (e.g., interlocks, detection, or
suppression systems; see 29 CFR 1910.119(d)(3)(i)(A) through (d)(3)(i)(H)).
210

9. P&IDs are more complex than block flow diagrams. They are used to describe the
relationships between equipment and instrumentation and other relevant
information that will enhance process understanding. P&IDs show all main flow
streams including valves to enhance the understanding of the process; pressures
and temperatures on all feed and product lines within all major vessels; in and out of
headers and heat exchangers; and points of pressure and temperature control.
Materials of construction information; pump capacities and pressure heads;
compressor horsepower; and vessel design pressures and temperatures are shown
when necessary for clarity. In addition, major components of control loops are
usually shown along with key utilities.
10. The employer must document that equipment complies with recognized and
generally accepted good engineering practices (RAGAGEP; see 29 CFR
1910.119(d)(3)(ii)).
11. For existing equipment designed and constructed in accordance with codes,
standards, or practices that are no longer in general use, the employer must
determine and document that the equipment is designed, maintained, inspected,
tested, and operating in a safe manner (see 29 CFR 1910.119(d)(3)(iii)).
B.

Operating Procedures
1. Employers must develop and implement written (documented) operating
procedures, consistent with the PSI, that provide clear instructions for safely
conducting PSM process activities (see 29 CFR1910.119(f)(1)).
2. Operating procedures describe tasks to be performed, data to be recorded,
operating conditions to be maintained, samples to be collected, and safety and
health precautions to be taken.
3. Operating procedures will include specific instructions or details on what steps to
take to carry out the stated procedures.
4. For example, operating procedures for operating parameters will include
instructions about pressure limits; temperature ranges; flow rates; what to do when
an upset condition occurs, and the pertinent alarms and instruments.
5. Operating procedures should be reviewed by engineering staff and operating
personnel to ensure they are accurate and provide practical instructions on how to
carry out job tasks safely.
6. Operating procedures must be reviewed as often as necessary to ensure they reflect
current operating practices, including changes in process chemicals, technology, and
equipment; as well as changes to facilities (see 29 CFR 1910.119(f)(3)). This will
ensure that a ready and up-to-date reference is available, and form a foundation for
employee training.
7. The employer must certify annually that operating procedures are current and
accurate to guard against outdated or inaccurate operating procedures (see 29 CFR
1910.119(f)(3)).
8. Operating procedures must address at least the following elements:
o Steps for each operating phase (see 29 CFR 1910.119(f)(1)(i)(A) through
(f)(1)(i)(G)):
211

Initial startup;
Normal operations;
Temporary operations;
Emergency shutdown including the conditions under which emergency
shutdown is required, and the assignment of shutdown responsibility to
qualified operators to ensure that emergency shutdown is executed in a safe
and timely manner;
 Emergency operations;
 Normal shutdown; and
 Startup following a turnaround, or after an emergency shutdown
o Operating limits: Consequences of deviation and the steps required to correct or
avoid deviation (see 29 CFR 1910.119(f)(1)(ii)(A)&(B)).
o Safety and health considerations (see 29 CFR 1910.119(f)(1)(iii)(A) through
(f)(1)(iii)(E)):
 Properties of the chemicals used in the process and the hazards they
present;
 Precautions necessary to prevent exposure, including engineering controls,
administrative controls, and personal protective equipment;
 Control measures to be taken if physical contact or airborne exposure occurs;
 Quality control for raw materials and control of hazardous chemical
inventory levels; and,
 Any special or unique hazards.
o Safety systems (e.g., interlocks, detection or suppression systems) and their
functions (see 29 CFR 1910.119(f)(1)(iv)).
9. The employer must develop and implement safe work practices to provide for the
control of hazards during operations such as lockout/tagout; confined space entry;
opening process equipment or piping; and control over entrance into a facility by
maintenance, contractor, laboratory, or other support personnel. These safe work
practices must apply to (host) employees and contractor employees. (See 29 CFR
1910.119(f)(4)).
10. Operating procedures must be readily accessible to employees who work in or
maintain a process (see 29 CFR 1910.119(f)(2)).
11. Workers must receive training on the operating procedures (see Training below; 29
CFR 1910.119(g)).
12. If workers are not fluent in English, then procedures and instructions need to be
prepared in a language understood by workers. (See 29 CFR 1910.119(g)(3)).
13. When Management of Change actions result in a change in operating procedures or
practices, such procedures or practices must be updated (see 29 CFR 1910.119(l)(5)).
14. Prior to start-up of the process or affected part of the process, employees involved
in operating a process, and maintenance and contract employees whose job tasks
will be affected by a change in the process, must be informed of the change and
trained in the change (see 29 CFR 1910.119(l)(3)).

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
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Process Hazard Analysis (PHA)
1. A PHA (i.e., hazard evaluation) is one of the most important elements of a PSM
Program. The PHA is a thorough, orderly, systematic approach for identifying,
evaluating, and controlling the hazards of processes involving highly hazardous
chemicals.
2. The PHA must be appropriate to the complexity of the process and must identify,
evaluate, and control the hazards involved in the process (see 29 CFR
1910.119(e)(1)).
3. The PHA must address: the hazards of the process; identify any previous incident
that had a likely potential for catastrophic consequences in the workplace;
engineering and administrative controls applicable to the hazards and their
interrelationships; consequences of failure of engineering and administrative
controls; facility siting; human factors; and a qualitative evaluation of a range of the
possible safety and health effects of failure of controls on employees in the
workplace (see 29 CFR 1910.119(e)(3)(i) through (e)(3)(vii)).
4. For instance, a PHA will include an analysis of the potential causes and
consequences of fires, explosions, releases of toxic or flammable chemicals, and
major spills of hazardous chemicals at a facility.
5. The PHA will also evaluate equipment, instrumentation, utilities, human actions
(routine and non-routine), and external factors that might impact the PSM process
at a facility.
6. The employer must perform an initial PHA on all processes covered by the PSM
standard (see 29 CFR 1910.119(e)(1)).
7. Employers must determine and document the priority order for conducting PHA
based on a rationale which includes such considerations as extent of the process
hazards, number of potentially affected employees, age of the process, and
operating history of the process (see 29 CFR 1910.119(e)(1))).
8. The PHA must be updated and revalidated by a team meeting the requirements in
29 CFR 1910.119(e)(4) at least every 5-years after initial development to assure that
it is consistent with the current process (see 29 CFR 1910.119(e)(6)).
9. The employer must use one or more of the following methodologies that are
appropriate, to determine and evaluate the hazards of the process being analyzed:
What-if; Checklist; What-if/Checklist; Hazard and Operability Study; Failure Mode
and Effects Analysis; Fault Tree Analysis; or an appropriate equivalent methodology
(see 29 CFR 1910.119(e)(2)(i) through (e)(2)(vii)).
10. The selection of a methodology or technique for conducting the PHA is influenced by
many factors such as the size and complexity of the process. For instance, a checklist
methodology works well when the process is not very complex, like a storage
process.
11. Small businesses will often have processes that are not unique, such as cold storage
lockers or water treatment facilities. In these instances, a generic PHA evolved from
a checklist or what-if questions could be developed and used.
12. The employer must consult with employees and their representatives’ on the
conduct and development of PHA (see 29 CFR 1910.119(c)(3)).
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13. The PHA must be performed by a team with expertise in engineering and process
operations, and the team must include at least one employee who has experience
and knowledge specific to the process being evaluated. Also, one member of the
team must be knowledgeable in the specific PHA methodology being used. (See 29
CFR 1910.119(e)(4))
14. Team members need to provide expertise in areas such as process technology,
process design, operating procedures and practices, alarms, emergency procedures,
instrumentation, maintenance procedures, safety and health, and other relevant
subjects.
15. The employer must establish a system to promptly address the team's findings and
recommendations; assure that the recommendations are resolved in a timely
manner and that the resolution is documented; document what actions are to be
taken; complete actions as soon as possible; develop a written schedule of when
these actions are to be completed; communicate the actions to operating,
maintenance and other employees whose work assignments are in the process, and
who may be affected by the recommendations or actions (see 29 CFR
1910.119(e)(5)).
16. The employer must retain PHA and updates or revalidations for each process
covered by 29 CFR 1910.119(e), as well as the documented resolution of
recommendations described in 29 CFR 1910.119(e)(5) for the life of the process (see
29 CFR 1910.119(e)(7)).
D.

Mechanical Integrity (MI)
1. Equipment used to process, store, or handle highly hazardous chemicals needs to be
properly designed, constructed, installed, operated, and maintained to minimize the
risk of releases of such chemicals.
2. Therefore, the employer must establish and implement written procedures (i.e., an
MI program) to maintain the on-going integrity of the following process equipment:
pressure vessels and storage tanks; piping systems (including piping components
such as valves); relief and vent systems and devices; emergency shutdown systems;
controls, including monitoring devices and sensors, alarms, and interlocks; and
pumps (see 29 CFR 1910.119(j)(1)(i) through (j)(1)(vi) and (j)(2)).
3. Inspection and testing must be performed on process equipment, using procedures
that follow recognized and generally accepted good engineering practices. The
frequency of inspections and tests of process equipment must conform with
manufacturers’ recommendations and good engineering practices; or occur more
frequently if determined to be necessary by prior operating experience. Each
inspection and test on process equipment must be documented. The
documentation must identify the date of the inspection or test, the name of the
person who performed the inspection or test, the serial number or other identifier
of the equipment on which the inspection or test was performed, a description of
the inspection or test performed, and the results of the inspection or test. (See 29
CFR 1910.119(j)(4)(i) through (j)(4)(iv))
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4. Equipment deficiencies outside the acceptable limits defined by PSI must be
corrected before further use; or in a safe and timely manner when necessary means
are taken to assure safe operation (see 29 CFR 1910.119(j)(5)).
5. In constructing new plants and equipment, the employer must ensure that
equipment as it is fabricated is suitable for the process application that it will be
used for (see 29 CFR 1910.119(j)(6)(i)).
6. Appropriate checks and inspections must be performed to ensure that equipment is
installed properly and is consistent with design specifications and the
manufacturer’s instructions (see 29 CFR 1910.119(j)(6)(ii)).
7. The employer must also ensure that maintenance materials, spare parts, and
equipment are suitable for the process application they will be used for (see 29 CFR
1910.119(j)(6)(iii)).
8. Employees involved in maintaining the ongoing integrity of process equipment must
be trained in an overview of the process, its hazards, and in the procedures
applicable to the employees’ job tasks, to assure they can perform their job tasks in
a safe manner (see 29 CFR 1910.119(j)(3)).
9. Primary and secondary lines of defense will be properly designed, constructed,
installed, and maintained to minimize the risk of releases of highly hazardous
chemicals.
o Primary lines of defense for an employer are to prevent unwanted releases of
highly hazardous chemicals:
 Operate and maintain the process as designed and keep chemicals
contained.
 This is backed up by the controlled release of chemicals. For instance,
through venting to scrubbers or flares; or to surge or overflow tanks that are
designed to receive chemicals.
o Secondary lines of defense would control or mitigate hazardous chemicals once
an unwanted release occurs. These include fixed fire protection systems such as
sprinklers, water spray, or deluge systems; and properly designed drainage
systems.
E.

Management of Change (MOC) Procedures
1. The employer must establish and implement written procedures to manage changes
(except for “replacements in kind”) to process chemicals, technology, equipment,
and procedures; and changes to facilities that affect a covered process (see 29 CFR
1910.119(l)(1)).
2. Changes in process technology can result from changes in production rates, raw
materials, experimentation, new equipment, new product development, and
changes in operating conditions to improve yield or quality.
3. Equipment changes include change in materials of construction, equipment
specifications, piping pre-arrangements, alarms, and interlocks; experimental
equipment, and computer program revisions.
4. MOC procedures must assure the following considerations are addressed prior to
any change to a process (see 29 CFR 1910.119(l)(2)(i) through (iv)):
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The technical basis for the proposed change;
Impact of the change on employee safety and health;
Determination of any necessary revisions to operating procedures;
Identification of the necessary time period for the change; for instance:
 Temporary changes have caused a number of catastrophes over the years,
and employers need to establish ways to detect temporary changes as well
as those that are permanent. It is important that a time limit for temporary
changes be established and monitored, because without control these
changes may become permanent.
 Temporary changes are subject to MOC provisions. MOC procedures are
used to ensure that equipment and procedures are returned to their original
or designed conditions at the end of a temporary change. Proper
documentation and review of these changes is invaluable in assuring that
safety and health considerations are incorporated into operating procedures.
o Establishment of authorization requirements for the proposed change (29 CFR
1910.119(l)(2)(v); for instance:
 Minor changes: A checklist reviewed by an authorized person with proper
communication to affected employees may be sufficient when the impact of
the change is minor and well understood.
 Complex changes: A hazard evaluation procedure with approvals by
operations, maintenance, and safety departments may be appropriate when
the impact of the change is complex or involves a significant design change.
5. Impact of changes in the organization such as personnel qualifications, roles, staffing
levels, scheduling, and management responsibilities should be assessed. The
potential impact of organizational changes on operations or other aspects of a
business, and communication to all affected parties should be assessed.
6. Employees may develop a checklist or clearance sheet to facilitate processing of
changes through MOC procedures.
7. If a change results in a change in operating procedures or practices required by 29
CFR 1910.119(f), such information must be updated accordingly (29 CFR
1910.119(l)(5)).
8. If a change results in a change in PSI required by 29 CFR 1910.119(d) such
information must be updated accordingly (see 29 CFR 1910.119(l)(4)).
9. Changes in documents such as P&IDs need to be noted so that they can be made
permanent when the drawings and procedure manuals are updated.
10. Prior to start-up of the process or affected part of the process, employees involved
in operating a process, and maintenance and contract employees whose job tasks
will be affected by a change in the process, must be informed of the change and
trained in the change (29 CFR 1910.119(l)(3)).
o
o
o
o

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Pre-Startup Safety Review (PSSR)
1. It is important to do a safety review before any highly hazardous chemical is
introduced into a process.
2. Employers must perform PSSR for new facilities and for modified facilities when the
modification is significant enough to require a change in PSI (29 CFR 1910.119(i)(1)).
3. PSSR must confirm that prior to the introduction of highly hazardous chemicals to a
process (29 CFR 1910.119(i)(2)(i) through (i)(2)(iv)):
o Construction and equipment is in accordance with design specifications;
o Safety, operating, maintenance, and emergency procedures are in place and are
adequate;
o For new facilities, PHA has been performed and recommendations have been
resolved or implemented before startup; and modified facilities meet the
requirements contained in MOC; and
o Training of each employee involved in operating a process has been completed.
4. For new processes, the employer will find PHA helpful in improving the design and
construction of the process from a reliability and quality point of view. The safe
operation of the new process will be enhanced by making use of PHA
recommendations before final installations are completed.
5. The initial startup procedures and normal operating procedures need to be fully
evaluated as part of the pre-startup review to assure a safe transfer into the normal
operating mode for the process parameters.
6. When existing processes are shutdown (e.g., for turnaround or modification), the
employer must assure that changes other than "replacement in kind" made to the
process during shutdown go through MOC procedures (see 29 CFR 1910.119(l)(1)).
Any necessary updates resulting from process changes need to be made to
operating procedures or practices required by 29 CFR 1910.119(f) and process safety
information required by 29 CFR 1910.119(d) such as P&IDs (see 29 CFR
1910.119(l)(4)&(5)).
7. Employees involved in operating the process, and maintenance and contract
employees whose job tasks will be affected by the change in the process must be
informed of, and trained in the change prior to startup of the process or affected
part of the process (see 29 CFR 1910.119(l)(3)) .
8. Any incident investigation recommendations, compliance audits, or PHA
recommendations related to the PSSR need to be reviewed to identify any impacts
they may have on the process before beginning the startup.

Hot Work Permit
1. Hot work means work involving electric or gas welding, cutting, brazing, or similar
flame or spark-producing operations.
2. The employer must issue a hot work permit for hot work operations conducted on
or near a process covered by the PSM standard (see 29 CFR 1910.119(k)(1)).

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3. The permit must document that the fire prevention and protection requirements in
29 CFR 1910.252(a) have been implemented prior to beginning the hot work
operations; it must indicate the date(s) authorized for hot work; and identify the
object on which hot work is to be performed (see 29 CFR 1910.119(k)(2)).
4. Although, 29 CFR 1910.119(k) specifies that the permit must be kept on file until
completion of the hot work:
o To comply with the provisions of 29 CFR 1910.119(o)(1), an employer must audit
the procedures and practices required by PSM and assure they are adequate and
are being followed.
o Since hot work permits are part of the hot work procedure, OSHA expects that
employers would audit a statistically-valid number of hot work permits to assure
they were completed and implemented per their procedure.
o Therefore, the employer would need to retain a statistically-valid number of hot
work permits to comply with the audit requirements of 29 CFR 1910.119(o)(1)
(see OSHA Letter of Interpretation, PSM compliance for ammonia refrigeration
systems, July 12, 2006, response 10, updated July 7, 2015, Question #4), which
requires “employers to certify that they have evaluated compliance with the
provisions of 29 CFR 1910.119 at least every three years, to verify that the
procedures and practices developed under the standard are adequate and are
being followed.”
H.

Emergency Planning and Response
1. If, despite the best planning, an incident occurs, it is essential that emergency
planning and training make employees aware of, and able to execute proper actions.
2. The employer must establish and implement an Emergency Action Plan (EAP) for the
entire facility in accordance with the provisions of 29 CFR 1910.38 (see 29 CFR
1910.119(n)).
3. In addition, the EAP must include procedures for handling small releases of highly
hazardous chemicals (see 29 CFR 1910.119(n)).
4. An EAP must include at a minimum (see 29 CFR 1910.38(c)(1) through (c)(6)):
o Procedures for reporting a fire or other emergency;
o Procedures for emergency evacuation, including type of evacuation and exit
route assignments;
o Procedures to be followed by employees who remain to operate critical plant
operations before they evacuate;
o Procedures to account for all employees after evacuation;
o Procedures to be followed by employees performing rescue or medical duties;
and
o The name or job title of every employee who may be contacted by employees
who need more information about the plan or an explanation of their duties
under the plan.
5. An employer must have and maintain an employee alarm system. The employee
alarm system must use a distinctive signal for each purpose, and comply with the
requirements in 29 CFR 1910.165 (see 29 CFR 1910.38(d)).
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6. An employer must designate and train employees to assist in a safe and orderly
evacuation of other employees (see 29 CFR 1910.38(e)). For example, employees
who are physically impaired will have the necessary support and assistance to get to
a safe zone.
7. An employer must review the EAP with each employee covered by the plan: when
the plan is developed or the employee is initially assigned to a job; when the
employee's responsibilities under the plan change; and when the plan is changed
(see 29 CFR 1910.38(f)(1) through (f)(3)).
8. Employers covered by 29 CFR 1910.119 may also be subject to the hazardous waste
and emergency response provisions contained in 29 CFR 1910.120(a), (p) and (q)
(see 29 CFR 1910.119(n)).
9. Employers need to decide the actions employees are to take when there is an
unwanted release of highly hazardous chemicals:
o If specific trained employees control or stop minor incidental releases of highly
hazardous chemicals;
o If facility personnel will be trained and equipped to handle a significant release
such as staff a fire brigade, spill control team, or a hazardous materials team; or
o Whether all employees evacuate the area, promptly escape to a preplanned safe
zone, and allow outside services such as the local community emergency
response organization(s) to handle the release.
10. When the employer decides to make use of outside services such as the local
community emergency response organization(s) to handle the release of highly
hazardous chemicals, coordination with such organization(s) is vital; and the
development of mutual aid agreements with such organization(s) may be necessary.
I.

Employee Participation
1. Employers must develop a written plan of action to implement employee
participation requirements specified in 29 CFR 1910.119(c) (see 29 CFR
1910.119(c)(1)).
2. The PSM Program cannot be effectively implemented without employee
participation in all aspects of the program, without fear of retaliation.
3. Employers must consult with employees and their representatives on the conduct
and development of PHA and other elements of process safety management
specified in 29 CFR 1910.119 (see 29 CFR 1910.119(c)(2)), including employee
training requirements, to ensure they are met effectively.
4. Employers must provide to employees and their representatives access to PHA and
to all other information required to be developed under 29 CFR 1910.119 (see 29
CFR 1910.119(c)(3)).
5. Assessment of employee participation should cover not only the host employer’s
workers, but include other workers at the facility such as temporary workers and
contractors, as applicable.

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Contractors
1. Many categories of contract labor may be present at a facility, such workers may
actually operate the facility or do only a particular aspect of a job, because they have
specialized knowledge or skill. Others may work for only short periods when there is
an urgent need for more workers such as in turnaround operations. The PSM
standard includes special provisions for contractors and their employees, to
emphasize the importance of everyone at a facility working safely.
2. The PSM standard applies to contractors performing maintenance or repair,
turnaround, major renovation, or specialty work on or adjacent to a process covered
by the standard. However, the PSM standard does not apply to contractors
providing incidental services that do not influence process safety such as janitorial
work, food and drink services, laundry, delivery or other supply services. (See 29 CFR
1910.119(h)(1)).
3. When selecting a contractor the employer must obtain and evaluate information
regarding the contract employer's safety performance and programs (see 29 CFR
1910.119(h)(2)(i)). Host employers can accomplish this by establishing a screening
process to facilitate hiring contractors who can accomplish tasks without
compromising the safety and health of employees at the facility. Additionally, the
(host) employer must periodically evaluate the performance of contract employers
in fulfilling their obligations as specified in 29 CFR 1910.119(h)(3) (see 29 CFR
1910.119(h)(2)(v)). For example, does a demolition contractor swing loads over
operating processes to avoid such hazards?
4. To assess a contractor’s safety performance, the employer should obtain
information such as injury and illness rates, experience modification rate, and
references.
5. The (host) employer must inform contract employers of the known potential fire,
explosion, or toxic release hazards related to the contractor’s work and the process;
explain to contract employers the applicable provisions of the EAP required by 29
CFR 1910.119(n); and develop and implement safe work practices consistent with 29
CFR 1910.119(f)(4) to control the presence, entrance, and exit of contract employers
and contract employees in process areas covered by the PSM standard (see 29 CFR
1910.119(h)(2)(ii) through (iv)).
6. The use of a work authorization system to control contractors’ activities while they
are working on or near a covered process will keep the host employer informed, and
facilitate better coordination and oversight of contract work performed in a process
area.
7. The (host) employer must maintain a contract employee injury and illness log
related to the contractor's work in process areas (see 29 CFR 1910.119(h)(2)(vi)).
Injury and illness logs for host and contract employees will enhance the host
employer’s knowledge of process injuries and illnesses. These logs will also be
useful for PSM audits and incident investigations.
8. The contract employer must (see 29 CFR 1910.119(h)(3)(i)) through (h)(3)(v)):
o Ensure that contract employees are trained in the work practices necessary to
perform their job safely;
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o Ensure that contract employees are instructed in the known potential fire,
explosion, or toxic release hazards related to their job and the process, and in
the applicable provisions of the EAP;
o Document that each contract employee has received and understood the
training required by 29 CFR 1910.119(h), by preparing a record that contains the
identity of the contract employee, the date of training, and the means used to
verify that the employee understood the training;
o Ensure that each contract employee follows the safety rules of the facility,
including the safe work practices required by 29 CFR 1910.119(f)(4); and
o Advice the employer of any unique hazards presented by the contract
employer’s work or of any hazards found by the contract employer's work.
K.

Training
Before performing assigned tasks, all employees (including maintenance, contract, and
temporary workers) involved with highly hazardous chemicals in the process must
receive the appropriate training required to safely and effectively perform their specific
job functions or assigned tasks, including training on potential hazards and applicable
OSHA standard requirements (e.g., 29 CFR 1910.1200(h)(3); 29 CFR 1910.38(e); 29 CFR
1910.120(e)). For additional information, see OSHA publication 2254-09R 2015, Training
Requirements in OSHA Standards.
1. Initial Training (see 29 CFR 1910.119(g)(1) –
o Each employee involved in operating a process or before being involved in
operating a newly assigned process must be trained on the overview of the
process, and the operating procedures specified in 29 CFR 1910.119(f) (see 29
CFR 1910.119(g)(1)(i)).
o The training must include specific emphasis on the safety and health hazards,
emergency operations including shutdown, and safe work practices applicable to
the employee’s job tasks (see 29 CFR 1910.119(g)(1)(i)).
o The employer must train each employee involved in maintaining the on-going
integrity of process equipment in an overview of that process and its hazards,
and in the procedures applicable to the employee's job tasks to assure that the
employee can perform the job tasks in a safe manner (see 29 CFR
1910.119(j)(3)).
o Employee training must also cover 29 CFR 1910.1200 requirements (see 29 CFR
1910.1200(h)(1)); and applicable emergency evacuation and response
requirements (see 29 CFR 1910.119(n), 29 CFR 1910.38, and 29 CFR 1910.120 (a),
(p) and (q)).
o Routine and non-routine work authorization activities, and other topics relevant
to process safety and health should also be addressed.

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2. Refresher Training – Each employee involved in operating a process must receive
refresher training at least every three years, or more often if necessary, to assure
that they understand and adhere to current operating procedures. The employer, in
consultation with the employees involved in operating the process, shall determine
the appropriate frequency of refresher training. (See 29 CFR 1910.119(g)(2))
3. Management of Change Training – Employees involved in operating a process and
maintenance and contract employees whose job tasks will be affected by a change
in the process must be informed of, and trained in, the change prior to start-up of
the process or the affected part of the process (see 29 CFR 1910.119(l)(3)).
4. Training Documentation – Employers must prepare a record containing the identity
of employees trained, training date, and the means used to verify employees
understood training (see 29 CFR 1910.119(g)(3)).
5. Training format – Hands on training will enhance learning. For example, a simulated
control panel for operators who will work in a control room. On-the-job training can
also be effective for teaching some job tasks. An effective training program will
allow employees to fully participate in the training process, and to practice their
skills and knowledge properly.
6. Training Evaluation – Employers need to periodically evaluate their training
programs to see if the necessary skills, knowledge, and routines are properly
understood and implemented by trained employees. The means or methods of
evaluating the training should be developed with the training program goals and
objectives. If the evaluation indicates trained employees are not demonstrating the
expected level of knowledge and skill(s), the employer will need to revise the
training program, provide retraining, and/or provide more frequent refresher
training sessions.
7. Training Language – Employers need to ensure that training is provided in the
language(s) and at a literacy level that workers can understand.
8. Training Requirements Specified in 29 CFR 1910.119:
o 1910.119(g)(1)(i): Each employee presently involved in operating a process, and
each employee before being involved in operating a newly assigned process,
shall be trained in an overview of the process and in the operating procedures as
specified in paragraph (f) of this section. The training shall include emphasis on
the specific safety and health hazards, emergency operations including
shutdown, and safe work practices applicable to the employee's job tasks.
o 1910.119(g)(1)(ii): In lieu of initial training for those employees already involved
in operating a process on May 26, 1992, an employer may certify in writing that
the employee has the required knowledge, skills, and abilities to safely carry out
the duties and responsibilities as specified in the operating procedures.
o 1910.119(g)(2): Refresher training. Refresher training shall be provided at least
every three years, and more often if necessary, to each employee involved in
operating a process to assure that the employee understands and adheres to the
current operating procedures of the process. The employer, in consultation with
the employees involved in operating the process, shall determine the
appropriate frequency of refresher training.
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o 1910.119(g)(3): Training documentation. The employer shall ascertain that each
employee involved in operating a process has received and understood the
training required by this paragraph. The employer shall prepare a record which
contains the identity of the employee, the date of training, and the means used
to verify that the employee understood the training.
o 1910.119(h)(3)(i): The contract employer shall assure that each contract
employee is trained in the work practices necessary to safely perform his/her
job.
o 1910.119(h)(3)(ii): The contract employer shall assure that each contract
employee is instructed in the known potential fire, explosion, or toxic release
hazards related to his/her job and the process, and the applicable provisions of
the emergency action plan.
o 1910.119(h)(3)(iii):The contract employer shall document that each contract
employee has received and understood the training required by this paragraph.
The contract employer shall prepare a record which contains the identity of the
contract employee, the date of training, and the means used to verify that the
employee understood the training.
o 1910.119(h)(3)(iv):The contract employer shall assure that each contract
employee follows the safety rules of the facility including the safe work practices
required by paragraph (f)(4) of this section.
o 1910.119(h)(3)(v):The contract employer shall advise the employer of any
unique hazards presented by the contract employer's work, or of any hazards
found by the contract employer's work.
o 1910.119(j)(3): Training for process maintenance activities. The employer shall
train each employee involved in maintaining the on-going integrity of process
equipment in an overview of that process and its hazards and in the procedures
applicable to the employee's job tasks to assure that the employee can perform
the job tasks in a safe manner.
o 1910.119(l)(3): Employees involved in operating a process and maintenance and
contract employees whose job tasks will be affected by a change in the process
shall be informed of, and trained in, the change prior to start-up of the process
or affected part of the process.
L.

Compliance Audits
1. Employers must certify that they have evaluated compliance with the provisions of
the PSM standard at least every three years, to verify that the procedures and
practices developed under the standard are adequate and are being followed (see
29 CFR 1910.119(o)(1)).
2. A PSM audit includes a review of the relevant documentation and PSI; inspection of
the physical facilities, safety and health conditions, all control measures, including,
safe work practices; and interviews with all levels of personnel at the facility.

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3. An effective audit requires pre-planning to develop the audit procedure and
methodology to use (e.g., checklist). The audit team will systematically analyze
compliance with applicable provisions of 29 CFR 1910.119 and any relevant
corporate policies.
4. Audit team members should be chosen for their experience, knowledge, training,
and familiarity with the PSM process(es), work practices, procedures, and auditing
techniques.
5. The compliance audit must be conducted by at least one person knowledgeable in
the process (see 29 CFR 1910.119(o)(2)). A small process or facility may need only
one knowledgeable person to conduct an audit.
6. A report of the findings of the audit must be developed (see 29 CFR 1910.119(o)(3)).
7. Corrective action is one of the most important parts of an audit. The employer must
promptly determine and document an appropriate response to each of the findings
of the compliance audit, and document that deficiencies have been corrected (see
29 CFR 1910.119(o)(4)).
8. It is important to assure that for each identified deficiency, the recommended
corrective action(s) is appropriate, and verified as implemented and effective.
9. Employers must retain the two (2) most recent compliance audit reports (see 29 CFR
1910.119(o)(5)).
M.

Incident Investigations
1. An incident investigation is the process of identifying underlying causes of incidents
and implementing steps to prevent similar events from occurring. The focus should
be to obtain facts, not to assign blame.
2. The PSM standard requires the investigation of each incident that resulted in, or
could reasonably have resulted in a catastrophic release of a highly hazardous
chemical in the workplace (see 29 CFR 1910.119(m)(1)). Some of these events are
sometimes referred to as "near misses," meaning that a serious consequence did not
occur, but could have.
3. Incident investigations must be initiated as soon as possible, but not later than 48
hours after occurrence, for incidents that resulted in, or could reasonably have
resulted in the catastrophic release of highly hazardous chemicals (see 29 CFR
1910.119(m)(2)).
4. The employer must assemble an incident investigation team (see 29 CFR
1910.119(m)(3)).
5. The incident investigation team must include at least one employee knowledgeable
about the process area where the incident occurred; include a contract employee if
the incident involved the work of the contractor; and other persons with
appropriate knowledge and experience to thoroughly investigate and analyze the
incident (see 29 CFR 1910.119(m)(3)).
6. A multi-disciplinary team is better able to gather the facts of an event and to analyze
them and develop plausible scenarios as to what happened, why, and how. Team
members should be selected on the basis of their training, knowledge, and ability to
contribute to a team effort to fully investigate the incident.
224

7. The incident investigation team should be trained in the techniques of conducting an
investigation. The training should include how to interview witnesses,
documentation, report writing, evidence gathering, and analysis.
8. Employers must identify the factors that contributed to an incident (see 29 CFR
1910.119(m)(4)(iv)). To accomplish this, employers should focus on identifying the
root causes of an incident. This will help correct systemic errors, and prevent
reoccurrence. Root cause analysis requires answering the what, why, and how
questions.
9. A report must be prepared at the conclusion of the incident investigation (see 29
CFR 1910.119(m)(4)(i) through (m)(4)(v)).
10. The report must be reviewed with all affected personnel whose job tasks are
relevant to the incident investigation findings including contract employees where
applicable (see 29 CFR 1910.119(m)(6)) .
11. The employer must retain incident investigation reports for at least 5 years (see 29
CFR 1910.119(m)(7)).
12. The employer must establish a system to promptly address and resolve the incident
investigation report findings and recommendations. Resolutions and corrective
actions must be documented. (See 29 CFR 1910.119(m)(5))

225

Appendix M
Incident Investigation Reporting Template (SHARP and Pre-SHARP Establishments)
Note: When required in this Instruction to complete Appendix M, only the List of Hazards is
required (when applicable) and any other documentation deemed necessary by the CPM.
SECTION 1
Incident Investigation Date:
Request Number:

Visit Number:
User ID:

RID:

Region:

State:
Date of Incidence:

OSHA Inspection Date:

OSHA Inspection # (if applicable):
Select One:
Fatality

Catastrophe

Imminent Danger

Formal Complaint

Referral - Severe Injuries only
SECTION 2
Establishment Name:
Establishment Address:
OIS Site ID #:

NAICS:

Union Name (if applicable):

Select One Program: SHARP

Pre-SHARP

SHARP Pilot

Current Program Status:

Duration in Program:

Last Renewal Date of Program:

Last Evaluation Date of Program:

Number of Employees at the establishment:
Number of Contractors at the establishment:
Number of Temporary and/or Seasonal Employees at the establishment:
SECTION 3 (Please complete this section with information pertaining to the incident only)
Total Number of Fatalities:
Number of Employees:

Total Number Injured:

Fatalities

Injured
226

Total Number Ill:
Ill

Number of Contractors: Fatalities

Injured

Ill

Number of Temporary and/or Seasonal Employees: Fatalities

Injured

Ill

Were Employees Performing the Activities Related to the Incident?

Yes

Were Contractors Performing the Activities Related to the Incident? Yes
No
Were Temporary or Seasonal Employees Performing the Activities Related to the Incident?
Yes

SECTION 4
Description of Incident:
Instructions: Please provide a description of the incident (i.e., what happened, where, when, how).
On-Site Consultation program’s Findings (Root Causes):
[See OSHA’s Incident (Accident) Investigations: A Guide for Employers, December 2015]
Instructions:
In this section, the Consultation program will specify its investigation findings (i.e., root causes – Why did the
incident happen?) and the safety and health program deficiencies identified. For example, if a hazard assessment
was not conducted and resources were not provided to purchase an appropriate guard – this is a hazard
identification and control deficiency with a potential management leadership failure (to provide adequate
funding). Multiple deficiencies can occur concurrently.
On-Site Consultation program’s Recommendations for Corrective Actions:
Instructions:
The Consultation program will recommend specific corrective actions that the employer participating in SHARP
or Pre-SHARP must implement to address the deficiencies identified during the investigation. It is important to
assure a safe and healthful work environment that is the corner stone of SHARP. For example, train supervisors
on how to conduct hazard assessments (to find and fix hazards) and management should assure an adequate
budget for implementing safety and health measures. The recommendations may be included in the employer’s
Action Plan (as appropriate).
The safety and health of all employees at the establishment is paramount. The integrity of SHARP, the
Consultation program, and OSHA is vital.
Additional Information (if any): For example, include any additional input from the employer in this section.

This copy of the Incident Investigation Reporting Template (SHARP and Pre-SHARP Establishments is intended
for example purposes only and not for program use. To view the current version and OMB Number/Expiration
Date, please go to the OSHA Information System (OIS).

227

Investigation Reporting Guidance
Incident Example: OSHA Incident #1039807.015
To access this incident, visit OSHA.gov, select Data & Statistics, then select Inspection
Information.
Incident Description
An employee was operating a custom bending press break machine. He was bending a small
metal part, which kept slipping out of place. The employee tried to hold it in place with his
finger while operating the press with his foot to bend the metal. The metal slipped and the
press came down on his left index finger instead of the metal part, smashing and amputating it,
just proximal to the fingernail bed.
OSHA issued a citation to the employer with an initial penalty amount of $4,900 which was
reduced to $2,940 for not complying with 29 CFR 1910.212(a)(3)(ii).
1910.212(a)(3)(ii)
The point of operation of machines whose operation exposes an employee to injury, shall be
guarded. The guarding device shall be in conformity with any appropriate standards, therefore,
or, in the absence of applicable specific standards, shall be so designed and constructed as to
prevent the operator from having any part of his body in the danger zone during the operating
cycle.
Consultation program’s Findings (Root Causes): (See OSHA’s Incident (Accident)
Investigations: A Guide for Employers, December 2015.)
Below are some questions that the consultant or CPM may ask to identify safety and health
program deficiencies assuming this incident (#1039807.015) occurred at a SHARP
establishment:
Why was the point of operation of the press not guarded? Is this how the press has been
operated in the workplace? When was the press installed in the workplace? Was it installed
prior to the SHARP approval or afterwards? If it was in the workplace at the time of the SHARP
approval, was it assessed during the approval process (i.e., hazard assessment)? If yes, what
was the assessment finding? Did the employer have a guard for the point of operation at the
time of SHARP assessment? If yes, what happened afterwards? Subsequent to the SHARP
approval, was the press used without the guard (i.e., workplace modus operandi)?
If the press was installed after SHARP approval, did the employer notify the Consultation
program – as required for changes in the workplace that might introduce new hazards? If there
was no guard for the press - why was a guard not purchased? Are there adequate resources to
meet the safety and health needs of the workplace? Was a hazard assessment conducted for
the press? If not, why was a hazard assessment not conducted? Was the supervisor aware of
the regulatory requirement to guard the press? If not, why? If yes, why did the supervisor not
ensure compliance with the standard?
228

What did employees say about using the press (the consultant must interview employees who
use the press or work in the area and have observed the press in use)? Were employees aware
of the hazard? If yes, what action did they take to address it (e.g., express their concern to their
supervisor, submit a work order request for a guard)? If employees took any action, what was
the outcome? If employees did not take any action – why not? Did employees recognize the
hazard? Was the employee involved in the incident trained to use the press? Have other
employees who work with the press received training? Who provided the training? If the
training was provided in-house, was the trainer found to be proficient? Was training
effectiveness verified by the supervisor (e.g., observed employees using with the press)? Did
employees who use the press experience near-misses prior to this incident? What was the
proper procedure (i.e., if there was an established procedure) for employees to perform the
task?
Consultation Program’s Recommendations for Corrective Actions
Recommendations will be made to address findings or root causes. For example, if there was a
finding that the employee was never trained about the point of operation hazard and how to
operate the equipment properly – then establishing processes to ensure that all employees
receive the proper training before starting work for this operation and all other operations at
the SHARP establishment would be a recommendation. The recommendation must also include
verifying training effectiveness and retraining employees when necessary.

229

Appendix N
Employers’ Incentive Programs
The Occupational Safety and Health Administration’s (OSHA) mission is to assure safe
and healthful working conditions for working men and women. This is also a goal for
small businesses that have achieved SHARP status or are working towards attaining
SHARP status (i.e., Pre-SHARP establishments). These small businesses have the
opportunity to lead the way by example and to inspire positive and creative change
throughout their industries.
By working cooperatively, OSHA, Consultation programs, and SHARP/Pre-SHARP
participants can demonstrate that incentive programs (or similar practices, if any),
which emphasize positive employee engagement in safety and health activities such as
hazard reporting and correction, can be an important tool in an effective safety and
health program.
1.

Workplace incentives that promote safety and health awareness, injury
and illness reporting, and employee engagement are an acceptable part
of a SHARP injury and illness prevention program. A positive incentive
program encourages or rewards employees for participating in the injury
and illness prevention program, this includes reporting injuries, illnesses,
near-misses, or hazards. Examples of positive incentives include
providing tee shirts to employees serving on safety and health
committees, offering modest rewards for suggesting ways to strengthen
workplace safety and health, or throwing a recognition party at the
successful completion of a company-wide safety and health training.

Incentives that discourage employees from participating such as injury
and illness reporting are not acceptable and do not meet the injury and
illness prevention program requirements to qualify as a SHARP
participant. For example, an incentive program that focuses only on
injury and illness rates may have the effect of discouraging employees
from reporting an injury or illness. When an incentive program
discourages employees from reporting injuries or hazards or (in
particularly extreme cases) disciplines employees for reporting injuries or
hazards, problems remain concealed, investigations do not take place,
nothing is learned or corrected, and employees remain exposed to harm.

230

Appendix O
Guidance for Clarifying the Status of Enforcement Inspections at Establishments
This appendix highlights the procedure for inquiring about enforcement activities at workplaces
prior to conducting consultation visits. It also gives guidance on how to use the Establishment
Search on osha.gov to determine the status of OSHA enforcement inspection cases.
1.

Consultation programs shall take the following steps prior to conducting a consultation
visit:
a.

Inquire from the employer, at the time of the employer’s request for a
consultation visit, if OSHA (or State Plan) enforcement activity is “in-progress,”
including whether the employer has denied entry for OSHA (or State Plan)
enforcement activity at the establishment.

Inquire about enforcement activities again (see #1a), when confirming the date
for a consultation visit scheduled thirty (30) days or more after the request date.
In these instances, the employer must be contacted at least five (5) working days
before the scheduled consultation visit to confirm.

Use the Establishment Search on osha.gov (or State Plan equivalent) to
determine the status of an OSHA (or State Plan) enforcement inspection at the
establishment prior to conducting a consultation visit
(http://www.osha.gov/pls/imis/establishment.html).

Inquire about enforcement activities again (see #1a) during the opening
conference for the consultation visit.

Contact the Regional Office (or State Plan enforcement office) for clarification if
the status of an enforcement inspection is unclear. For example, an employer
reports an enforcement inspection to the Consultation program, but it is not
reflected in the Establishment Search or State Plan equivalent (as applicable).

If there has been an enforcement inspection, a consultation visit can only be conducted
after:
a.

An enforcement inspection has been closed with no citations, as noted in the
Establishment Search labeled “Inspection Detail 1” below.

An enforcement inspection resulted in a citation(s) and the citation(s) has
become final order. Final order (see OSHA Field Operations Manual, CPL-02-00164, Chapter 15, Section XIII.) is established when:
i.

The employer has not contested citations 15 working days after issuance.
The current date must be greater than 15 working days past the Issuance
Date (see Inspection Detail 2).

231

ii.

The employer has signed an Informal Settlement Agreement (ISA; See
Inspection Detail 3).
ISAs are signed within 15 working days of a citation being issued. ISAs are
indicated in the “Last Event” column of the Establishment Search. Note
that some items (such as grouped items) may not have an ISA noted in
the “Last Event” column. The Consultation program may proceed when
an ISA is indicated for any of the citations listed because this indicates
that the employer and OSHA have agreed to terms for the entire
enforcement inspection case.

iii.

The employer has contested the citations and there has been a Formal
Settlement for all citations issued (see Inspection Detail 4). Check the
“Last Event” column of the Establishment Search.

iv.

The employer has contested the citations and there has been a final
order from an Administrative Law Judge, Occupational Safety and Health
Review Commission, or Court of Appeals resolving all citations issued.
Inspection Detail (1)

In s p e ct io n : 16 9 18 79 .0 15 – Jo h n Do e , In c.
Inspection Information - Office: Las Vegas
Inspection Nr: 9999999.10
Report ID: 0123456
Date Opened: 06/26/2020
Site Address:
99 Sesame Street
Elmo, NV 01234
Mailing Address:
99 Sesame Street, Elmo, NV 01234
Union Status: NonUnion
SIC:
NAICS: 423990/Other Miscellaneous Durable Goods Merchant Wholesalers
Inspection Type: Referral
Scope: Partial
Advanced Notice: N
Ownership: Private

232

Safety/Health: Safety
Close Conference: 07/08/2020
Case Closed: 07/10/2020
Related Activity
Type

Activity Nr

Referral

0789101

Safety

Health
Yes

NOTE: THERE ARE NO CITATIONS ISSUED (OR LISTED) AND THE CASE IS CLOSED
______________________________________________________________________________
Inspection Detail (2)

In s p e ct io n 12 34 5 6 7.10 – Ja n e Do e , In c.
Inspection Information - Office: Utah
Inspection Nr: 1234567.10
Report ID: 07891011
Date Opened: 05/03/2019
Site Address:
99 Elmo Street
Sesame, UT 12345
Mailing Address:
99 Elmo Street, Sesame, UT 12345
Union Status: NonUnion
SIC:
NAICS: 452990/All Other General Merchandise Stores
Inspection Type: Referral
Scope: Partial
Advanced Notice: N
Ownership: Private
Safety/Health: Safety

233

Close Conference: 05/23/2019
Case Closed: 07/12/2019
Related Activity:
Type

Activity Nr

Referral

12345679

Safety

Health
Yes

Violation Summary
Serious Willful Repeat Other Unclass Total
Initial Violations 1
2
3
Current Violations 1
2
3
Initial Penalty
$5,000 $0
$0
$1,000 $0
$6,000
Current Penalty $5,000 $0
$0
$1,000 $0
$6,000
FTA Amount
$0
$0
$0
$0
$0
$0

Violation Items
# ID
Type
Standard
Issuance
Abate
Curr$ Init$ Fta$ Contest LastEvent
1. 01001A Serious 19100036 G02 05/30/2019 06/19/2019 $5,000 $5,000 $0
Z - Issued
2. 01001B Serious 19100036 G04 05/30/2019 06/19/2019 $0
$0
$0
Z - Issued
3. 01001C Serious 19100037 A03 05/30/2019 06/19/2019 $0
$0
$0
Z - Issued
4. 01001D Serious 19100037 B02 05/30/2019 07/05/2019 $0
$0
$0
Z - Issued
5. 02001A Other 19100022 A01 05/30/2019 06/19/2019 $1,000 $1,000 $0
Z - Issued
6. 02001B Other 19100176 B 05/30/2019 06/19/2019 $0
$0
$0
Z - Issued
7. 02002 Other 19100303 G01 05/30/2019
$0
$0
$0
Z - Issued

NOTE: THERE IS NO CONTEST INDICATED AND THE CURRENT DATE IS MORE THAN 15 DAYS
PAST THE ISSUANCE DATE
Inspection Detail (3)

In s p e ct io n 9 9 12 34 5 .0 15 – Jo h n Sm it h , In c.
Inspection Information - Office: Hartford
Inspection Nr: 9912345.015
Report ID: 099999
Date Opened: 01/22/2020
Site Address:
99 John Smith Road
Elmo, CT 09999
Mailing Address:

234

99 John Smith Road, Elmo, CT 09999
Union Status: NonUnion
SIC:
NAICS: 452990/All Other General Merchandise Stores
Inspection Type: Complaint
Scope: Partial
Advanced Notice: N
Ownership: Private
Safety/Health: Health
Close Conference: 01/22/2020
Case Closed: 08/24/2020
Related Activity:
Type

Activity Nr

Safety

Complaint

1234567

Yes

Health

Violation Summary

Serious Willful Repeat Other Unclass Total
Initial Violations 1
3
4
Current Violations
2
1
3
Initial Penalty
$6,361 $0
$275,671 $0
$0
$282,032
Current Penalty $0
$0
$171,000 $5,000 $0
$176,000
FTA Amount
$0
$0
$0
$0
$0
$0

# ID
1. 01001
2. 02001
Deleted 3. 02002
4. 02003

Type
Other
Repeat
Repeat
Repeat

Standard
19100157 E03
19100037 A03
19100157 C01
19100176 B

Issuance
07/16/2020
07/16/2020
07/16/2020
07/16/2020

Violation Items
Abate
09/01/2020
09/01/2020
09/01/2020
09/01/2020

Curr$
$5,000
$95,000
$0
$76,000

Init$
$6,361
$106,029
$84,821
$84,821

Fta$ Contest LastEvent
$0
I - Informal Settlement
$0
I - Informal Settlement
$0
I - Informal Settlement
$0
I - Informal Settlement

NOTE: THERE IS AN INFORMAL SETTLEMENT AGREEMENT (SEE “LAST EVENT” COLUMN)

235

Inspection Detail (4)

In s p e ct io n 12 34 5 6 78 9 .0 15 – Ja n e Sm it h , In c.
Inspection Information - Office: Washington Region 4
Inspection Nr: 123456789.015
Report ID: 999999.0
Date Opened: 11/02/2018
Site Address:
99 Jane Smith Road
Elmo, WA 99999
Mailing Address:
99 Jane Smith Road, Elmo, WA 99999
Union Status: NonUnion
SIC:
NAICS: 452990/All Other General Merchandise Stores
Inspection Type: Complaint
Scope: Complete
Advanced Notice: N
Ownership: Private
Safety/Health: Safety
Close Conference: 04/16/2019
Case Closed: 09/24/2019
Related Activity:
Type

Activity Nr

Safety

Complaint

1396513

Yes

Health

Violation Summary

Serious Willful Repeat Other Unclass Total
Initial Violations 5
7
12
Current Violations 5
4
9
Initial Penalty
$13,200 $490,000 $0
$0
$0
$503,200
Current Penalty $13,200 $280,000 $0
$0
$0
$293,200
FTA Amount
$0
$0
$0
$0
$0
$0

236

# ID
01001
1.
A
01001
2.
B
01001
3.
C
01002
Deleted 4.
A

Type
Willful
Willful
Willful
Willful

Standard
296-80031025(1)
296-80031010
296-80014025
296-80031025(1)

Violation Items

Issuance
04/23/20
19
04/23/20
19
04/23/20
19
04/23/20
19

Abate
11/02/20
18
11/02/20
18
11/02/20
18
11/02/20
18

Curr $

Init $

Fta $ Contest

$70,000 $70,000 $0

05/10/2019

$70,000 $0

05/10/2019

NOTE: THERE IS A FORMAL SETTLEMENT AGREEMENT (SEE “LAST EVENT” COLUMN)

237

LastEvent
F - Formal
Settlement
F - Formal
Settlement
F - Formal
Settlement
F - Formal
Settlement

File Type	application/pdf
File Title	Consultation and Policies Procedures Manual
File Modified	2024-08-22
File Created	2023-08-28