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

This Instruction implements policy provided by OSHA Instruction ADM 8-0.2 and provides direction and procedures and assigns responsibility for the management of OSHA's non-policy issuances (NPI), including such supplementary guidance materials as Letters of Interpretation (LI).

This Instruction establishes OSHA's system for the management of the Agency's non-policy issuances (NPI), including such supplementary guidance materials as its Letters of Interpretation (LI), and other non-policy statements issued by the Agency, and fixes responsibility for the management, clearance, and release of NPIs by OSHA Directorates, Regions, and Offices. It requires the heads of Directorates, Regions and Offices that issue NPIs to establish written procedures for the review and clearance of such materials before their release by the Agency. Appendices are included that identify the elements which must be included in the written clearance procedures required to be established by National Office and field originators of NPIs.

Table of Contents

I. Purpose

II. Scope

III. Cancellations

IV. References

V. State Impact

VI. Action Information

VII. Actions Required

VIII. Responsibilities

IX. Limitations on Non-Policy Issuance Coverage

X. Written Procedures

XI. Required Process Steps

XII. Aids for Developing and Clearing Non-Policy Issuances

XIII. Required Training

XIV. Establishment and Maintenance of Clearance Records

XV. Use of Disclaimer Statement(s)

Appendix A Required Elements for Non-Policy Issuance (NPI) Written Procedures

Appendix B OSHA Non-Policy Issuance Process Flow Checklist

Appendix C NPI Process Check List

Appendix D OSHA Non-Policy Issuance Clearance

Non-Policy Issuances

1. Purpose. Effective administration of the Occupational Safety and Health Act of 1970 requires that OSHA provide information to its staff, partners, customers and stakeholders, and to the general public, and that its statements of Agency policy and procedure, and its non-policy issuances (NPI), including such supplementary guidance materials as Letters of Interpretation (LI) and other non-policy statements issued by the Agency, be reliable and accurate reflections of Agency positions; complete and up-to-date; easy to read and understand; and easy to locate and reference. The management of OSHA policy issuances is governed by OSHA Instructions ADM 8-0.2 and ADM 8-0.3. In order to effectively manage the communication of NPIs, this instruction establishes a system and fixes responsibility for the management, clearance and release of such materials by the Agency.
    
2. Scope. This instruction applies OSHA-wide.
    
3. Cancellations. None.
    
4. References. OSHA Instruction ADM 8-0.2, OSHA Policy Issuances; OSHA Instruction ADM 8-0.3, OSHA Directives System; OSHA Instruction ADM 12-0.1, OSHA Classification System, ADM 1-0.20, OSHA Internet and Intranet Policies and Guidelines.
    
5. State Impact. This Instruction is not a Federal Program Change requiring State adoption or notice, but States are encouraged to consider its implications for their operations.
    
6. Action Information.
    
   1. Responsible Office. Office of Management Systems and Organization (OMSO).
       
   2. Action Offices. National, Regional and Area Offices.
       
   3. Information Offices. State designees, consultation project managers.
       
7. Actions Required. All OSHA offices will implement the policy and procedures contained in this instruction.
    
8. Responsibilities.
    
   1. The Assistant Secretary of Labor for Occupational Safety and Health provides policy direction and oversight for managing OSHA's non-policy issuances (NPIs).
       
   2. The Director, Administrative Programs provides operational oversight and advice to OSHA Program Directors and Managers on compliance with this Instruction and on related processes.
       
   3. OSHA Program Directors, Regional Administrators and All Other OSHA Managers, Supervisors and Employees shall effectively implement and comply with the provisions of this and related Instructions.
       
   4. OSHA Program Managers and Regional Administrators Initiating NPIs shall comply with the provisions of this Instruction. They shall:
       
      1. Initiate and develop proposed NPIs within the scope of their authority or significantly affecting the operations of their program.
          
      2. Provide to all reviewers of proposed NPIs appropriate policy and other background information to assure that the proposed issuance is thoroughly understood and considered.
          
      3. Obtain and appropriately consider critical policy and other issues identified by subordinate staff and others in the development of such proposed NPIs.
          
      4. Considering the subject and intended application of a proposed NPI, request review and clearance proposed issuances by appropriate OSHA Directorates, Regions and Offices, the national or regional Office of the Solicitor, the Assistant Secretary, and other entities.
          
      5. Refer to their Deputy Assistant Secretary any unresolved disagreements or issues concerning the substance or potential policy implications of a proposed NPI, or the priority accorded to its review, that emerge during the clearance process.
          
   5. OSHA Program Directors and Regional Administrators Receiving a Proposed NPI for Review and Clearance shall carefully consider each such proposed NPI (and any associated critical policy or non-policy issues identified by their subordinate staff), and promptly respond to the originator, with respect to:
       
      1. Technical considerations;
          
      2. Its potential impact upon the programs and policies for which the Program Manager or Regional Administrator is responsible;
          
      3. Its implications for Agency-wide policy and operations; and
          
      4. Its anticipated reception by Agency customers or other interested parties.
          
9. Limitations on Non-Policy Issuance Coverage.
    
   1. New or Amended Policies or Procedures or Interpretations of the OSH Act. OSHA Instruction ADM 8-0.2 provides that, in order to ensure that OSHA's policies and procedures are effectively communicated to Agency staff and interested parties, the Agency shall state its policy and procedures through publication in the Code of Federal Regulations (CFR), the Federal Register (FR) and/or as an issuance of the OSHA Directives system, with exceptions as may be approved in writing by the Assistant Secretary (See ADM 8-0.2, Paragraph IX.). Agency policy or procedure, therefore, shall not be established or amended, nor shall the OSH Act be interpreted, by memorandum, letter, e-mail, report or any other non-policy format, regardless of medium.
       
   2. NPI Coverage. All other written materials issued by the Agency, ranging from Federal Register Notices that do not include new or revised statements of policy or procedure to fact sheets, from press kits to publications, and from health bulletins to e-mails providing interpretive guidance, are covered by this Instruction.
       
10. Written Procedures. The head of each OSHA Directorate, Region or Office that issues NPIs must develop and publish written procedures that define and specify mandatory Clearance Officials and processes for clearing each class of issuance, including standard clearance time frames and processes for the resolution of comments and, when necessary, re-clearance of materials. Such procedures shall also define formatting requirements, where appropriate. A copy of each such procedure and each amendment thereto must be provided to the Director, Administrative Programs. Such written procedures shall be constructed to ensure that Agency issuances of the category(ies) covered in the procedure:
     
    1. Adhere to established Agency policy and procedure regarding such issuances, and to the applicable provisions of OSHA Instructions ADM 8-0.2, ADM 8-0.3, and ADM 1-0.20.
        
    2. Are consistent with all other statements of Agency policy and procedure.
        
    3. Are necessary to the effective management of Agency policies, procedures and programs.
        
    4. Explicitly reference the governing policy or procedure, at a minimum through reference to the CFR, FR or OSHA Directives system number and effective date.
        
    5. Are maintained in files searchable by subject, date, and requestor name and location.
        
    6. Include a standardized disclaimer statement, appropriately highlighted.
        
11. Required Process Steps. Appendix A. lists the elements required to be covered in the written procedures to be established by each Directorate, Region or Office for the development of NPIs.
     
12. Aids for Developing and Clearing Non-Policy Issuances. Appendix B. provides guidance in determining whether proposed material is appropriate for release as an NPI. Appendix C. provides a check-list of steps for drafting and clearing a proposed NPI. Appendix D. is a new OSHA Form 202, OSHA Non-Policy Issuance Clearance, that may be used to document the clearance of a proposed NPI.
     
13. Required Training. The head of each OSHA Directorate, Region or Office that issues NPIs shall periodically provide training to involved staff to ensure that the established clearance procedures and processes are understood and consistently applied.
     
14. Establishment and Maintenance of Clearance Records. The head of each OSHA Directorate, Region or Office that issues NPIs must maintain, in a manner providing for easy retention and retrieval, a record documenting the views and clearance of each responsible position and entity identified in the applicable written procedure as a mandatory clearance point. The retention of such records is governed by OSHA Records Disposition Schedules.
     
15. Use of Disclaimer Statement(s). NPIs that provide guidance concerning compliance matters shall include a standardized disclaimer statement that shall be approved by the Assistant Secretary with advice from the Solicitor of Labor.
     

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