OSHA Instruction ADM 11-2.3C July 15, 1991 Office of Human Resources and Organizational Management

Subject: Field Organizational Changes Below the Regional Office Level

A. Purpose. This instruction transmits policy and procedures for accomplishing organizational changes in field offices below the regional office level.

B. Scope. This instruction applies OSHA wide.

C. Cancellation. OSHA Instruction ADM 11-2.3B, dated December 29, 1981 is canceled.

D. Action. Program Directors, Regional Administrators and Area Directors must follow the policy and procedures in this instruction for organizational structuring, opening, upgrading, downgrading and closing area offices and district offices; and adjusting and realigning area offices' and district offices' geographical boundaries.

E. Reference. OMB Circular A-105.

F. Objective. To effectively manage the organization of field structures below the regional office level to provide the most efficient and effective field office structure to support the attainment of the Agency's mission.

G. Definitions.

1. Area Office. That class of office which:

a. Has managerial and operational control of the Occupational Safety and Health Program throughout a geographical area usually consisting of one state. Geographical coverage may vary from responsibility for a portion of one state up to two states. The area office reports to a regional office.

b. Is established in a state with Federal enforcement jurisdiction or in a state for which OSHA has state plan monitoring responsibility. Organizational structure for these offices is as found in Appendix B.

c. Consists of an area director and a safety and health professional/investigative and administrative support staff. Total staff in a model area office (discussed in Appendix B) is recommended to be 24.

d. The recommended ranges for supervisory and administrative support ratios are:

(1) Supervisor:CSHO 1:5 to 1:8 (2) Supervisor:Investigator 1:5 to 1:7 (3) Administrative Support:Professional 1:5

e. Has authority to sign citations.

f. Is located in Federally owned or leased office space.

See Paragraph K for clearance requirements for proposed organization changes.

2. District Office. That class of office which:

a. Operates under the authority and control of the area office to which it reports.

b. Is delegated authority to sign citations.

c. Has its geographical boundaries and physical location within the geographical area covered by the area office to which it reports.

d. Consists of a GM-13 supervisor, a professional staff of between 5 to 8 CSHOs, and an administrative support staff with a ratio of 1:5 (administrative support: professional).

e. Is located in Federally owned or leased office space.

See Paragraph K for clearance requirements for proposed organizational changes.

3. Adjust Boundaries. To change the geographical boundaries of an office - including area offices - within a state, or to include the complete area of one, two or more states. This organizational change does not require OMB approval.

4. Realign Boundaries. To change area office boundaries to cover all or part of one state AND part of another. This organizational change requires OMB approval.

H. Responsibilities.

1. Office of the Assistant Secretary. The Assistant Secretary appoints an approving officer who approves/disapproves all proposed field organization structure changes.

2. Directorate of Administrative Programs. The Director is the approving officer for all field organizational changes.

3. Office of Human Resources and Organizational Management (DAP).

a. Liaison with Agency offices to disseminate information concerning organizational proposals, as required.

b. Agency liaison with the Department and the Office of Management and Budget (OMB).

c. Coordinates the review of field organizational proposals with the Office of Field Programs, Directorate of Compliance Programs, Directorate of Federal and State Operations, the Office of Program Budgeting, Planning, and Financial Management, and other interested offices.

4. Office of Program Budgeting, Planning, and Financial Management (DAP). Reviews proposals to determine if financial needs of the plan can be met and if personnel ceilings permit staff additions, if required by the proposal.

5. Office of Field Programs.

a. Reviews all proposals and determines if organizational changes should be approved based on their impact on operation of the OSHA program in the field.

b. Coordinates its review with the Directorates of Compliance Programs and Federal and State Operations, as appropriate.

c. Advises the Directorate of Administrative Programs of program approval/disapproval of proposed field organizational structure changes.

6. Directorate of Compliance Programs. The Director makes recommendations to the Director, Office of Field Programs, on program implications of field organizational changes.

7. Directorate of Federal and State Operations. The Director makes recommendations to the Director, Office of Field Programs, on program implications of field organizational changes.

8. Regional Office.

a. Prepares and clears proposals in accordance with the requirements of this instruction.

b. Clears proposals with regional OASAM, as appropriate.

c. Provides regional OASAM with the approved organizational change and other material needed for consultation with NCFLL representatives after all clearances and approvals are obtained.

d. Implements approved organizational changes.

I. OASAM and OMB Clearances. The establishment and realignment of area offices and district offices must be cleared through the Office of the Assistant Secretary for Administration and Management (OASAM). Office of Management and Budget (OMB) clearance will be necessary only if proposed boundaries do not satisfy the OMB requirements for establishing or realigning field offices contained in OMB Circular A-105. The Circular states, in part, that:

"Sub-regional office locations and boundaries should be established to maximize, in so far as possible, consistency and compatibility with the organizational structures of other Federal agencies, states, and local governments. As a minimum, sub-regional office boundaries with a region should be organized to maintain the integrity of the standard Federal regional boundary system and state boundaries. In the latter instance, there are several organizational patterns by which state boundaries are adhered to while providing management flexibility to meet agency needs. The following represent options consistent with this policy:

1. One or more offices located within a State, but whose boundaries are all coterminous with the state boundaries.

2. One office located within a State covering the complete territory of two or more states.

Establishment or realignment of sub-regional offices which will require deviation from this policy must be approved in advance by OMB."

J. Release of Information. Information on the status of a proposal must be handled and safeguarded as Administratively Controlled Information.

Disclosure of any information relating to a proposal before a final decision is made is prohibited; unless approval to release information is granted in advance by the Office of Intra- Governmental Affairs. This office will consult with the Director, Administrative Programs before approving release of the information.

K. Clearance Required. All proposals require approval within OSHA as specified in Appendix C, Paragraphs B and C. Appendix C provides intra- and inter-agency clearance procedures. Intra- agency clearances will be made on Form OSHA-83, OSHA Draft Clearance Request. Inter-agency clearances required consist of the following:

1. Area Offices. Establishment and closing actions, and realignment and adjustment of area office boundaries require:

a. Regional OASAM consultation.

b. Departmental OASAM clearance.

c. OMB clearance if the proposal deviates from OMB policy requirements as stated in Paragraph I.

2. District Offices. Establishment and closing actions require:

a. Regional OASAM consultation.

b. Departmental OASAM clearance.

L. Preparation of Proposal. Regional Administrators prepare proposals to establish, close, realign, or adjust area offices and district offices, and to change internal organization in area offices, as appropriate. See Appendix A for prescribed format.

M. Submission and Clearance of Proposal.

1. Appendix C provides submission and clearance procedures for field organizational changes below the regional office level.

2. NO PROPOSAL SUBMITTED THROUGH CHANNELS OTHER THAN THOSE PRESCRIBED BY THIS DIRECTIVE WILL BE PROCESSED.

Gerard F. Scannell Assistant Secretary

Distribution: National, Regional, Area Offices, Regional OASAMS

Appendix A

ORGANIZATIONAL CHANGE DOCUMENTATION

A. Area Office Changes (other than Internal). These changes include opening, downgrading, or closing an area office, adjusting area office boundaries within a state, or realigning area office boundaries to cover all or part of one state and part of another. If the only changes are internal organizational changes within one or more area offices, this paragraph does not apply. Requirements for making internal organizational changes within area offices are contained in Paragraph B of this Appendix. Upgrading of district offices to area office status is contained in Paragraph C of this Appendix.

1. Statement of Justification.

a. What existing conditions require that a change be made? Some conditions are increased workload, location of clientele, program changes, procedural or operational improvements, and the like. The conditions must be fully described, and wherever possible, appropriate statistical data furnished.

b. When realigning an area office, provide an analysis of the conditions in a. above.

c. What improvements or savings will result from the proposed change?

d. What is the degree of Federal versus state enforcement, if applicable?

e. Why was the proposed change selected over alternate changes? What alternate changes were considered?

2. Organization Charts (Area Office Opening, Downgrading, and Closing Only). Provide organizational charts for the existing organization and the proposed organization. The charts must include the organizational structure from the regional office level down to the level below the area office level. (See Appendix B for suggested structural options).

3. Mission and Function Statements (Area Office Opening, Downgrading, and Closing Only). Provide the mission and function statements for the affected area office. Provide mission and function statements for existing offices if their missions or functions are affected.

4. Budgetary and Personnel Ceilings (Area Office Opening, Downgrading and Closing Only.)

a. How will the change affect budget and personnel ceilings including average grade? Show the effect of the change in terms of dollars, number of positions, and any change in average grade.

b. If personnel ceilings must be revised, can the region adjust to the new employment levels with minimum disruption to current operations? If not, why?

5. Staffing Patterns.

a. To open, downgrade, or close an area office, list the existing and proposed staffing. The staffing lists should include the names, titles, and organizational location of ALL staff members. Show the existing and proposed staffing patterns on the organizational charts for the existing and proposed organizations. When closing an area office, show final disposition of terminated, transferred, or reassigned employees.

b. In addition to a. above, when realigning area office boundaries, conduct a comparative analysis of existing and proposed staffing levels in the affected area offices.

c. When only adjusting area office boundaries, show the staffing pattern for the existing organization and the proposed change.

6. Position Descriptions (Area Office Opening, Downgrading, and Closing Only). Provide copies of existing and proposed (area office openings only) position descriptions for all staff positions affected.

Note: GM-14 level positions require prior classification approval by the OSHA Office of Human Resources and Organizational Management (OHROM).

Submit the classification request

directly to OHROM.

7. Area Office Coverage.

a. What is the geographical area covered for each affected office? Provide maps showing affected area office coverage by county for the existing and proposed organizations.

Include a listing of county codes by area

office.

b. To realign area office boundaries, also provide a very detailed, specific description of, and rationale for the changes involved.

8. Cost (except Adjusting Area Office Boundaries Within a State).

a. Show total costs for the organizational change.

b. Show total personnel costs and other costs separately.

c. Itemize all costs not covered in your current budget including costs of personnel, rental of office space, moving, transportation, and travel expenses.

d. To realign area office boundaries, provide a five-year projection of costs directly associated with the proposed change including office and personnel relocation expenses, changes in administrative and logistical support costs, and other related items.

9. State Designated Planning Districts. Provide a statement that the state governor or designated agent has been consulted about the boundaries to assure compatibility, as far as possible, with state designated planning districts. If a deviation from state planning districts is necessary, provide a statement of the circumstances and a justification for the deviation.

10. Covered Establishments and Populations. Provide estimates of the following for the current and proposed organizations:

a. The number of covered establishments as shown in the Department of Commerce's current edition of the "County Business Patterns."

b. The number of employees covered in a. above.

c. The number of programmed inspection establishments as shown in the current edition of the "Inspection Planning Guide By Safety and Health."

d. The number of employees covered in c. above.

e. The ratio of the number of covered establishments to the number of CSHO's.

     11.  Comments (Realignment of Area Office Only).
           Provide a summary of the comments received from
          other Federal agencies, states, and local
          governments which were consulted on the proposed
          change.

12. Alternatives Considered. Provide a summary of all alternative proposals considered and explain why they were less acceptable than the proposal chosen.

13. Implementation. Provide a proposed schedule for implementing the proposed changes.

B. Specialty Positions in Area Offices (No Boundary Change). This includes the establishment of a new team for a compliance specialty (e. g., construction, maritime, petrochemical, discrimination) or the addition of the first position for a particular type of compliance specialty. However, no submission for organizational change approval is required for the addition within an existing area office of a clerk, a compliance program manager, or an additional compliance position (or team) of a type already present in the office.

1. Statement of Justification. The need for any new type of compliance specialist position or team must be fully described, and where possible, appropriate statistical data furnished. Why should the new type of position or team be established within the office? What conditions require that this change be made?

2. Organization Charts. Provide organization charts for both the existing and proposed organizations. Show the entire area office structure. (See Appendix B for suggested structure.)

3. Budgetary and Personnel Ceilings. Show the effect of the change in terms of budget, number of positions, and any change in average grade. If personnel ceilings must be revised, explain how the region can adjust to the new employment levels with minimum disruption to current operations.

4. Staffing Pattern. Show the staffing pattern for the present and proposed area office organization structure.

5. Position Descriptions. Provide copies of existing and proposed position descriptions for all staff positions affected.

6. Implementation. Provide a proposed schedule for implementing the proposed changes.

C. District Office Organizational Changes. These changes include opening, closing, downgrading, or upgrading district offices.

1. Statement of Justification. Why should we open, close, downgrade, or upgrade the district office? Indicate how CSHO travel time and expenses will be affected.

2. Organization Charts. Provide organization charts for both the existing and proposed organizations. Show the regional office level down to the organizational level below the involved office. (See Appendix B for suggested structure.)

3. Costs. Itemize all costs not covered in your annual budget including moving and rental costs. Show the total cost for the organizational change.

4. Staffing Pattern. Show the staffing pattern for the supervisory area office and the subordinate organization involved for the present and proposed organization.

5. Position Description. For GM-13 supervisory positions, provide the title and a copy of the position description for each proposed position.

6. Office Coverage. Provide maps showing the area, by county, covered by each affected office under the existing and proposed organizations. Include a listing of county codes by office. Give the name of the supervisory area office.

7. Covered Establishments and Publications. Provide the total number of programmed inspection establishments and the total number of employees from the current edition of the "Inspection Planning Guide by Safety and Health."

Appendix B

ORGANIZATIONAL STRUCTURE OPTIONS FOR OSHA FIELD OFFICES

A. Purpose. This attachment lists the organizational structure options for OSHA field offices. Regional Administrators may utilize these options in formulating changes for submission under this directive.

B. Position Definitions. Positions available to field managers are defined below. The organization of these positions should be in accordance with the options shown for area and district offices in states with Federal program jurisdiction, and area offices in states with state program monitoring responsibilities.

These structural options are contained in Figures B-1 through B-6. Positions contained in these offices are:

1. Area Director - GM/018-14. Directs the activities of the area office.

      2.  Compliance Program Manager - GS/GM-018/690.
           Manages the program information and data
          pertaining to the compliance program as operated
          by the area office.  Provides senior-level
          technical assistance and information to the
          remainder of the area office staff.  Directs the
          processing of complaints and coordinates outreach
          activities.  May supervise the administrative
          support staff, excluding the Secretary.  Acts for
          other supervisors or Area Director, as assigned.

3. Assistant Area Director for Safety Compliance - GM-018-13. Supervises a team of safety compliance officers and functions as Assistant Area Director.

4. Assistant Area Director for Occupational Health Compliance - GM-690-13. Supervises a team of health compliance officers and functions as Assistant Area Director.

5. Assistant Area Director for District Office Operations - GM-018-13. Supervises and directs the operations of a District Office which is under the jurisdiction of an area office. Supervises a multi-disciplined team of safety and health compliance officers and administrative support personnel.

6. Assistant area director for specialty programs (e. g., construction, maritime, petrochemical) - GM- 018/803/690-13 (optional). Supervises a team of compliance specialists in an office where inspection activity in the area of specialty is at a level where a separate team devoted primarily to this type inspection is warranted. Functions as Assistant Area Director.

7. Compliance Safety and Health Officers (Safety Specialist, Safety Engineer, Industrial Hygienist). Perform OSHA compliance inspections in a wide range of workplaces.

8. Compliance Specialists (e. g., construction, maritime, petrochemical). Perform OSHA compliance inspections predominantly in a specialty area.

Also able to perform inspections in a wide range of workplaces. Specialist designations may be indicated in area offices with a heavy workload in a specialty area.

9. Criminal and Discrimination Program Investigators and/or Supervisor (GS/GM-1801). Investigate potential criminal liability and implications associated with fatalities occurring in the workplace, and in other areas where OSHA may have criminal jurisdiction. Investigate issues involving discrimination and "whistleblower" coverage under 11(c)/405 and other regulations. A Supervisor may be required if a team of investigators is indicated due to workload in the area of jurisdiction.

10. Duty Officer (collateral duty, optional). A compliance officer who receives, screens, refers, and acts upon potential complaints and other inquiries from the public on matters under the jurisdiction of OSHA.

11. Supervisory Secretary/Secretary. Serves as secretary to the area director or a district office supervisor. May also supervise or direct the work of the administrative support staff of the office.

12. Safety and Health Clerk. Performs administrative work associated with OSHA program issues in the area or district offices.

C. Office Structures. The various options presented below reflect variations in how the compliance staff could be organized and supervised. Under each of these options, there are three alternatives/options for the assignment and supervision of the administrative support staff:

- Members of the administrative support staff are assigned to the various sections of the office. Under this "team assignment" approach, one or more clerks would work for each supervisor or manager.

- The administrative support staff operates as a unit or "pool" under the supervision of a Supervisory Secretary or the Area Director.

- The administrative support staff, except the Secretary, operates as a unit or "pool" under the supervision of the Compliance Program Manager.

1. Area Office - Federal Program Jurisdiction.

Figure B-1. (OPTION I) Suggested as the model organization for normal sized offices. Consists of 2 compliance teams (safety and health) and a Compliance Program Manager. Discrimination investigators may be assigned to compliance teams. Duty Officer may be directed to report through the Compliance Program Manager.

Figure B-2. (OPTION II) Suggested in situations where a compliance specialty team is indicated. The specialty team may be made up of CSHOs of various disciplines. The Compliance Program Manager is assigned. Investigators may be assigned to compliance teams.

Figure B-3. (OPTION III) Suggested in situations where an unusually heavy criminal and/or discrimination workload is present. A Criminal and Discrimination Investigation Supervisor may be required. A Compliance Program Manager is assigned.

Figure B-4. (OPTION IV) Suggested when a district office is under the jurisdiction of the area office.

Figure B-5. (OPTION V) Suggested organization for a large area office (approximately 30 or more compliance staff). A Compliance Program Manager in both safety and health may be required. A specialty compliance team may also be indicated.

2. District Office - Federal Program Jurisdiction.

See Figure B-4, mentioned above.

3. Area Office - State Monitoring Jurisdiction.

Figure B-6. (OPTION VI) Suggested for area offices in states where OSHA has a plan monitoring responsibility.

REFERENCE: Figures B-1, B-2, B-3, B-4, B-5, and B-6 can be viewed in the WordPerfect Version of this document. These figures are found on pages B-5, B-6, B-7, B-8, B-9, and B-10 of this document.

Appendix C

CLEARANCE PROCEDURES

A. Regional Clearance. Regional Administrators will:

1. Submit the proposal, an original and four copies, through the Office of Field Programs, to the Directorate of Administrative Programs.

2. Consult with the state, as appropriate, to ensure that the proposal is compatible with state designated planning districts. If a deviation is necessary, prepare a statement of the circumstances and justification to be included in the proposal documentation.

3. Coordinate with and obtain the written concurrence of the regional OASAM, as appropriate.

B. Intra-Agency Clearance.

1. Office of Human Resources and Organizational Management.

a. Receives and ensures that the proposal conforms to OSHA, Department, and OMB administrative guidelines.

b. Obtains all necessary intra- and inter-agency concurrences and approvals except for the concurrence of the regional OASAM (see A.3. above).

c. Notifies the Regional Administrator, the Office of Field Programs, the Directorate of Compliance Programs and the Directorate of Federal and State Operations when a proposal cannot be considered.

2. Office of Program Budgeting, Planning and Financial Management.

a. Reviews the proposal to certify that the change can be accomplished within the existing financial resources of the region or through reassignment of funds between regions.

b. Notifies the Office of Human Resources and Organizational Management of the result of its review.

3. Office of Field Programs.

a. Upon initial receipt of a proposal from a Regional Administrator, does a preliminary review for impact of the proposed change on operations of the OSHA program in the field. Unless a possibly significant negative impact is noted, forwards the proposal to the Directorate of Administrative Programs.

b. Upon receipt of a proposal during the intra- agency clearance process, reviews the proposal to insure consistency with the overall and individual annual Field Operations Program Plan prepared by each region and submitted to the National Office.

c. Determines if existing and projected workloads will be consistent with resources (staffing), proposed operating procedures (e.g. compliance officer travel time, mileage traveled, percentage of hazardous industries), and policy directives.

d. Considers recommendations from the Directorates of Compliance Programs and Federal and State Operations, as appropriate.

e. Advises the Directorate of Administrative Programs of program approval/disapproval of proposed field organizational structure changes.

4. Directorate of Compliance Programs. The Director recommends the approval/disapproval of the proposal to the Director, Office of Field Programs, as appropriate.

5. Directorate of Federal and State Operations. The Director recommends the approval/disapproval of the proposal to the Director, Office of Field Programs, as appropriate.

6. Office of Intra-Governmental Affairs.

a. Coordinates Congressional notification efforts with the Assistant Secretary for Congressional and Inter-Governmental Affairs, as appropriate.

b. Prepares for the notification of appropriate Congressional offices. The Congressional offices are notified after clearance of the proposal, if appropriate.

C. Agency Clearance.

1. The Office of Human Resources and Organizational Management.

a. Receives the reviewed proposal, including comments and/or modifications, from the Office of Field Programs and the Office of Program Budgeting, Planning and Financial Management.

b. Preliminary agency clearance occurs when a consensus is reached between the offices in C.1.a. above.

c. Forwards the cleared proposal to the Director, Administrative Programs.

2. Directorate of Administrative Programs. The Director either approves or disapproves the proposal.

D. Extra-Agency Clearance. The Directorate of Administrative Programs requests approval of the proposed change from the Department OASAM, Office of Position Management, Classification, and Organization when required by Paragraph K of the Instruction.

OASAM either approves or disapproves the proposal. OASAM will seek OMB clearance when the proposal does not meet the requirements of Paragraph I of the instruction.

E. Approval Notifications. The Directorate of Administrative Programs:

1. Notifies the Regional Administrator of approval/disapproval by OSHA, OASAM, or OMB as appropriate.

2. Sends copies of the approval letter to:

- Office of Field Programs

- Directorate of Compliance Programs

- Directorate of Federal and State Operations

- Office of Management Data Systems

- Office of Administrative Services

- Office of Program Budget, Planning, and Financial Management

- Office of Human Resources and Organizational Management (Labor Relations Officer)

- Office of Intra-Governmental Affairs

- Office of Information and Consumer Affairs

- All Directorates

F. Post-Approval Coordination.

          1.   Office of Intra-Governmental Affairs.
                Informs appropriate Congressional Offices.

2. Office of Information and Consumer Affairs

a. Coordinates with the Office of Intra- Governmental Affairs.

b. Makes public announcement of the organizational change and forwards a

copy of the announcement to the regional public affairs officer.

3. Regional Administrators.

a. Provide regional OASAM with materials for consultation with the NCFLL representatives. Request written notification of the result of the consultation.

b. Consult with regional OASAM to obtain office space if necessary.

c. Notify the Office of Administrative Services of the addresses and telephone numbers of the affected offices so the Directory of Field Locations can be updated.

d. Notify the Directorate of Administrative Programs of the anticipated opening date of the office or effective date of the organizational change approximately 30 days in advance of that date.

e. NO ORGANIZATIONAL CHANGE SHALL TAKE EFFECT UNTIL THE DIRECTOR, ADMINISTRATIVE PROGRAMS, IS NOTIFIED OF THE EFFECTIVE DATE OF THE ORGANIZATIONAL CHANGE.

---