By and Under the Authority of
Charles N. Jeffress
Assistant Secretary

1. Purpose

2. Scope

3. References

4. Cancellation

5. Expiration Date

6. Federal Program Change

7. Action

8. Definitions

9. Background

10. Description of Interim Inspection Plan

11. Scheduling

12. Deletions

13. Inspection Procedures

14. Relationship to Other Programs

Recording and Tracking

Appendix A Top 99 Industries Ranked by 1996 BLS Lost Workday Injury and Illness (LWDII) Rate

INDEX

1. Purpose: This notice amends and replaces the April 10, 1998 notice that implemented OSHA's interim plan for inspection targeting.
2. Scope: This notice applies OSHA-wide.
3. References:

1. OSHA Instruction CPL 2.25I, Scheduling System for Programmed Inspections
2. OSHA Instruction CPL 2.103, Field Inspection Reference Manual (FIRM)
3. OSHA Instruction CPL 2.111, Citation Policy for Paperwork and Written Program Requirement Violations
4. OSHA Instruction CPL 2-0.119, OSHA High Injury/Illness Rate Targeting System and Cooperative Compliance Program
5. OSHA Instruction CPL 2-2.45A, Process Safety Management of Highly Hazardous Chemicals--Compliance Guidelines and Enforcement Procedures
6. OSHA Instruction, STP 2.22A, State Plan Policies and Procedures Manual
7. Log Data Collection System Procedures Manual: 1996 Log Data Collection Initiative
4. Cancellation: OSHA Notice 98-1 (CPL 2), Interim Plan for Inspection Targeting
5. Expiration Date: This notice will terminate on July 31, 1999.
6. Federal Program Change: This notice describes a Federal OSHA program change for which State adoption is not required.

The interim inspection targeting plan described in this notice is not required to be adopted by States; however, States are required to have their own inspection targeting systems (a "core inspection policy"), which must be documented in a State Plan supplement. States may choose to adopt the procedures contained in this notice. There are a number of options available to States:

1. Continue to use an existing State-developed high hazard inspection targeting system based on available State data.
2. Continue to use an existing high hazard inspection targeting system based on OSHA Instruction CPL 2.25I, which is based on Bureau of Labor Statistics (BLS) injury/illness rate data. (The Office of Statistics will continue to make these State-specific lists available to a State annually, upon specific request.)
3. Adopt an interim plan for inspection targeting established by this notice. The plan is based on BLS data plus establishment-specific employer LWDII data obtained through the Data Initiative. (The Office of Statistics will provide a Data Initiative list of high-rate employers within the State and criteria for inspection categories, upon specific request.)

A State choosing to adopt this interim targeting plan for its inspection targeting should indicate its anticipated adoption date on the two-way memorandum and submit the cover page of the State's implementing notice or memorandum to the Regional Administrator when the State change has been implemented.

7. Action: Regional Administrators and Area Directors in Federal enforcement states will ensure that the policies and procedures established in this notice are transmitted to, and implemented in all Area and District Offices.
8. Definitions:

Data Initiative (a.k.a. Data Survey): Nationwide collection of establishment-specific injury and illness data from approximately 80,000 employers with 60 or more employees in manufacturing and certain other industries.

LWDII Rate: Lost Workday Injury and Illness Rate. This includes cases of lost work days and restricted work activity and is calculated based on (N/EH) x (200,000) where N is the number of injuries and illnesses combined, EH is the total number of hours worked by all workers during the calendar year and 200,000 is the base for 100 full-time equiva-lent workers. For example:

Workers of an establishment including management, temporary, and leased workers worked 645,089 hours at his worksite. There were 22 lost workday injuries and illnesses from the OSHA 200 (totals in columns 2 and 9). The LWDII rate would be (22/645,089) x (200,000) = 6.8.

9. Background: On November 25, 1997, OSHA issued OSHA Instruction CPL 2-0.119, which initiated the use of a new high hazard targeting system that included a partnership component, the Cooperative Compliance Program (CCP). This new system was driven by establishment-specific illness and injury data, which was made available by OSHA's Data Initiative.

On February 17, 1998, the United States Court of Appeals for the District of Columbia Circuit stayed OSHA Instruction CPL 2-0.119, until the court could rule on the merits of the litigation challenging the instruction. The U.S. Chamber of Commerce, National Association of Manufacturers, American Trucking Association, and the Food Marketing

Institute had requested the stay, contending that OSHA Instruction CPL 2-0.119 did not comply with legal requirements.

In view of the delay likely to result during the litigation, and in order to have a national targeting inspection plan that will enable the Agency to fulfill its responsibilities under the statute, OSHA developed an interim plan to use until the court makes its determina-tion. The interim plan identifies high hazard industries using Bureau of Labor Statistics (BLS) data at the four-digit Standard Industrial Classification (SIC) level at which BLS makes those data available. It includes those industries with the highest average injury and illness rates for which establishment-specific data from the Data Initiative are available. The interim plan does not include a cooperative compliance component. OSHA notified the court of its intention to implement the interim plan for inspection targeting, and on April 6, 1998, the court clarified that its stay order of February 17, 1998, did not bar implementation of the interim plan.

On April 10, 1998, OSHA issued a notice implementing its interim plan for inspection targeting. Several questions from the field have necessitated this notice to clarify (1) size of inspection cycles, (2) Integrated Management Information System (IMIS) coding, (3) compliance officer verification of establishments' OSHA 200 log entries and SIC codes, and (4) how the interim targeting plan relates to Process Safety Management (PSM) Program-Quality-Verification (PQV) inspections.

10. Description of Interim Inspection Plan:

1. The interim targeting system targets individual worksites with elevated rates in approximately 100 industries. The interim plan first uses BLS data for 1996 to identify the industries, as characterized by four-digit SIC Codes, with the highest LWDII rates, excluding construction, agriculture, mining, and public administration. (Construction is excluded because construction work-places are inspected pursuant to a separate administrative plan. Agriculture is excluded because most agricultural workplaces are subject to a low level of OSHA regulation, and inclusion of agricultural workplaces in OSHA's general administrative inspection plan would therefore result in inefficient use of OSHA's resources. Mining is excluded because mining operations are subject to the Mine Safety and Health Act. Public administration is excluded because state and local governments are not subject to federal OSHA enforcement.) For those four-digit SIC Codes for which BLS did not report LWDII rates at the four-digit level (such as non-manufacturing), OSHA attributed the rate reported by BLS at the three-digit SIC level.
2. The interim inspection plan also uses establishment-specific injury and illness data obtained in OSHA's 1996 data survey. OSHA surveyed 80,000 establish-ments having 60 or more workers in manufacturing and fourteen other industries for their 1996 injury and illness experience.
3. Of the 107 SICs with the highest LWDII rates based on the 1996 BLS data, 99 were included in OSHA's 1996 data survey. Eight SICs were not included in OSHA's 1996 data survey, and there are therefore no establishment-specific LWDII data for them. They are:

1. SIC 4512, Air Transportation, Scheduled, and 4513, Air Courier Services, were not included in the 1996 data survey because, at the time the survey was designed, OSHA was uncertain about the extent to which these indus-tries included worksites that were within OSHA's jurisdiction. OSHA has since learned that these industries include auxiliary land operations that fall within OSHA's jurisdiction, and they are included in the 1998 survey, which will collect injury and illness data for calendar 1997.
2. The following SICs from the 1996 data survey were excluded for reasons such as a high concentration of public employers, regulation by other agencies, or a predominance of workplaces that are not readily subject to OSHA inspections or enforcement. They are: SIC 4111, Local and Suburban Transit; SIC 4119, Local Passenger Transportation, Not Else-where Classified; SIC 4131, Intercity and Rural Bus Transportation; SIC 4424, Deep Sea Domestic Transportation of Freight; SIC 4952, Sewerage Systems; and SIC 4959, Sanitary Services, Not Elsewhere Classified.
4. The interim plan applies to establishments in the 99 four-digit SICs with an LWDII rate of 6.4 or higher for which OSHA has establishment-specific data. (If all SICs with an LWDII rate of 6.3 were included, a list of 109 SICs would have been generated.) See Appendix A.
5. For each four-digit SIC on the list, each establishment in the SIC reporting in the 1996 survey an LWDII rate equal to or greater than the LWDII rate for that industry will be subject to inspection. An exception is made for establishments in SIC 8051, Skilled Nursing Care Facilities; SIC 8052, Intermediate Care Facilities; and SIC 8059, Nursing and Personal Care, Not Elsewhere Classified. This group of three industries contained many more establishments than the other SICs on the list. To avoid over concentration of inspections in this group of industries, only the top 20% of the establishments in these SICs with LWDII rates equal to or greater than the industry rate will be subject to inspection.
11. Scheduling. The national office has provided each Area Office with the first inspection cycle of ten randomly selected establishments, followed by a software package that allows each Area Office to create new cycles of 10, or 20, or 30 randomly selected establishments each. If the number of establishments available is less than ten, all establishments will be included on the list. The Area Office shall base its determination of cycle size (i.e., 10, 20, or 30) on considerations of available resources. Larger cycle sizes will allow greater flexibility and efficiency in scheduling, but it must be remembered that once begun, the cycle must be completed.

1. Within a cycle, the establishments may be scheduled and inspected in any order that makes efficient use of available resources.
2. When a cycle is completed, the Area Office may generate a new cycle using the software.
3. All of the establishments in a cycle must be inspected before any establishments in a new cycle may be inspected. Carryovers will be allowed, as provided in OSHA Instruction CPL 2.25I, at paragraph B.1.b.(1)(e).
12. Deletions: Area Offices will be responsible for making appropriate deletions to the inspection list, such as for establishments that are no longer in business.

1. Establishments that have received a comprehensive safety and health inspection after January 1, 1996, will be deleted from the inspection list.
2. Establishments included in the 1996 data survey were those with 60 or more workers. If an establishment to be inspected under the interim plan currently has fewer than 60 workers, the inspection will still be conducted, provided that it has more than ten workers.
3. During interim plan inspections, the OSHA 200 log for 1996 will be reviewed. The LWDII rate calculated during the inspection will be compared to the LWDII rate reported by the employer to the OSHA Data Initiative. (See paragraph VII, above, for an example of LWDII calculations.) A recalculation will not be performed if, for any reason, the relevant records are not immediately available.

1. If the data reported were correct, or if the recalculated LWDII rate is equal to or above the rate for the establishment's industry, the compliance officer will proceed with the inspection.
2. If the establishment's recalculated rate is below the national average for that industry, the compliance officer shall examine a sample of the OSHA-101s, Supplementary Record of Occupational Injuries and Illnesses, or equivalent. If this sample confirms that the establishment's rate is below the national average for that industry the compliance officer shall normally exit the facility. The compliance office should record the inspection as a "Records Only" inspection by using the "Records Only" block in the Scope section of the OSHA-1.

If recordkeeping violations are discovered, they shall be cited in accordance with OSHA Instruction CPL 2.111. Any serious violations that are observed in the vicinity or brought to the attention of the compliance officer shall be investigated and may be cited appropriately.

13. Inspection Procedures:

1. Scope: Inspections conducted under this program will be comprehensive programmed safety and health inspections as defined by the FIRM (OSHA Instruction CPL 2.103) and conducted in accordance with the procedures described there and in other guidance documents.
2. Citations: Other-than-serious, serious, repeat, willful, and failure-to-abate violations will be cited according to the FIRM (OSHA Instruction CPL 2.103) and other guidance documents.
3. SIC Code: All compliance officers shall confirm the accuracy of the SIC code for the establishment at the beginning of the inspection during the opening confer-ence. If the compliance officer finds the establishment to be in the wrong SIC code, that is, not one of the 99 in Appendix A of this notice, the compliance officer will exit the establishment.
4. Compliance Officers: Inspections under the interim plan may be conducted either as one combined safety and health inspection by a cross-trained compliance officer, or as separate safety and health inspections.
14. Relationship to Other Programs:
1. Special Emphasis Programs: Some establishments may be selected for inspection under the interim plan and also under one or more other OSHA initiatives (National Emphasis (NEP), Local Emphasis (LEP), or Experimental Programs).

Programs based upon particular hazards (such as silica, lead, or mechanical power presses) or on particular industries (such as logging or scrap yards) can be run concurrently with the interim plan; however, the interim plan inspections have priority. Wherever an employer shows up on the interim plan/NEP/LEP lists they should be scheduled at the same time for an inspection. Compliance officers will apply all IMIS codes applicable to the inspection. The employer's DUNS number should also be recorded for each inspection since it is important for tracking.

2. Unprogrammed Inspections: Complaints, referrals, fatalities, catastrophes and followups will be handled according to the FIRM (OSHA Instruction CPL 2.103) or other guidance documents. During these inspections the OSHA 200 log for 1996 will be reviewed, if the establishment's SIC and number of workers in 1996 places it within the group identified by the Data Initiative. If such an establish-ment does not appear on the Data Initiative list, the compliance officer will complete and submit a 1996 OSHA Data Initiative Information form to the OSHA Office of Statistics for future Data Initiative surveys.
3. Process Safety Management Inspections: Inspections conducted under the interim plan shall address process safety management if 29 CFR 1910.119 is applicable to the establishment being inspected. Such inspections shall be comprehensive safety and health inspections regardless of whether the establishment's SIC code is one of those specified in OSHA Instruction CPL 2-2.45 A; however, they will not normally be Program-Quality-Verification (PQV) inspections as defined by that instruction.
15. Recording and Tracking: The OSHA-1 Forms for all programmed inspections conducted under this interim plan shall be marked as "planned" in item 24h and the "NEP" box checked and the value "GSINTARG" recorded in item 25d. These inspections are being coded under the NEP for ease of tracking.

The DUNS number, which is a required entry for all interim plan inspections, must be recorded in the "optional information" field on the OSHA-1: N-10 NNNNNNNNN (DUNS number).

Agriculture

American Trucking Association

Area Directors

Area Office

Background

BLS

Bureau of Labor Statistics

Carryovers

Catastrophes

CCP

Citations

Complaints

Construction

Cooperative Compliance Program

CPL 2.103

CPL 2.111

CPL 2.25I

CPL 2-0.119

CPL 2-2.45A

Cycle size

Data Initiative

Data survey

Definitions

Deletions

DUNS number

Establishment-specific

Experimental Programs

Expiration date

Fatalities

Federal Program Change

Field Inspection Reference Manual

FIRM

Followups

IMIS

Inspection Procedures

Lead

Logging

LWDII rate

Mechanical Power Presses

Mining

National Association of Manufacturers

Nursing care facilities

OSHA 200 log

OSHA-1

Priority

Process Safety Management

Program-Quality-Verification (PQV)

Public administration

Purpose

References

Referrals

Regional Administrators

Scheduling

Scope

Scrap Yards

SIC

Silica

Special Emphasis Programs

Standard Industrial Classification

State

STP 2.22A

Supplementary Record

Tracking

U.S. Chamber of Commerce

United States Court of Appeals

Unprogrammed inspections