OSHA Instruction ADM 12-7.4 April 19, 1993 Office of Management Systems and Organization

SUBJECT: Safety Fatality and Catastrophe Inspection Case File Disposition.

A. Purpose. This instruction provides new disposition instructions based on the National Archives and Records Administration (NARA) reappraisal of safety fatality and catastrophe inspection case files.

B. Scope. This notice applies to all OSHA field offices.

C. Reference. OSHA Instruction ADM 12.5, OSHA Compliance Records.

Note: The information in this instruction will be included in a future update of OSHA Instruction ADM 12.5, OSHA Compliance Records.

D. Cancellation. OSHA Notice ADM 12, Safety Fatality and Catastrophe Inspection Case File Disposition, August 31, 1992 is canceled.

E. Action. Area offices shall suspend destruction of safety fatality and catastrophe inspection case files and apply the new disposition instructions in Appendix A.

F. Background.

1. NARA conducted a review of OSHA records in the Washington National Records Center (WNRC). During this review, NARA looked at an accession consisting of safety fatality and catastrophe inspection case files.

2. NARA reappraised the accession and declared it to have permanent and continuing value. This reappraisal has been applied by NARA to all safety fatality and catastrophe inspection case files.

G. New Records Schedule Authority.

1. The new records schedule authority for safety accident or fatality/catastrophe inspection case files is Schedule N1-100-90-1, item 23. The item is reproduced in Appendix A.

2. Do not apply the disposition instructions in items 9 and 24 of schedule NC1-100-82-1 to safety inspection case files falling under those items. Those items are contained in OSHA Instruction ADM 12.5, OSHA Compliance Records, Appendix F, OSHA Compliance Records Disposition Schedule.

3. Appendix B shows the superseded items (9 and 24) of schedule NC1-100-82-1.

H. Item 24, Safety Inspections Closed on or before September 30, 1982.

1. Item 24 of Schedule NC1-100-82-1 covers all safety inspections closed on or before 9-30-82. This item is not limited to safety fatality and/or catastrophe inspections.

2. The disposition period for item 24 was changed to PERMANENT so that OSHA personnel would not be required to review all safety inspections closed on or before September 30, 1982 and which are still in existence.

3. Any of these files which are still in existence should have been previously transferred to a Federal Records Center (FRC) for storage. These records may not be destroyed. Any such records still located in OSHA offices should immediately be transferred to an FRC for storage unless the office is retaining them due to unique processes or for other similar reasons. If so, retire the records to the FRC after administrative needs cease.

I. NARA Accessioning of the Records.

1. NARA will review any safety inspection case files closed on or before September 30, 1982 and still in existence in the FRC and remove all safety fatality/catastrophe inspection case files when the files are eligible for transfer to NARA.

2. NARA will request that OSHA formally transfer the records to NARA ownership. NARA will make the request on an SF-258, Request to Transfer, Approval, and Receipt of Records to National Archives of the United States. The SF-258 is usually sent to the transferring office.

3. Only persons delegated responsibility by the Secretary are authorized to transfer ownership of Department of Labor records to another agency. In the field, those persons are the OASAM regional directors.

4. Area offices are responsible for sending the SF-258 to the OSHA regional office to be completed.

5. Regional offices are responsible for reviewing SF-258's and determining if ownership of the records is to be transferred to NARA or if ownership will continue to be held by OSHA for a specific period of time. The regional office will forward the SF-258 to the Regional OASAM for signature and transmittal to NARA.

J. Videotaped Inspections. We are currently requesting that NARA determine where OSHA field offices will send inspection case files containing videotapes. Longer retention videotapes, such as those in safety fatality/catastrophes and health with sampling data inspection case files, need to be stored under climate-controlled conditions or the film becomes brittle or the emulsion breaks down and the magnetic information can be lost. We will issue a comprehensive directive on retirement of videotaped inspection case files as soon as a decision is made by NARA.

K. Field Office Actions.

1. Inspection case files previously sent to an FRC under schedule NC1-100-82-1, Item 9 and 24 will not be recalled by OSHA. NARA will screen and purge files in the FRC, after obtaining OSHA approval to transfer selected files to NARA and destroy the remainder of these safety inspection case files.

2. Any field offices holding safety inspection case files including accident or fatality/catastrophe files from September 30, 1982 and prior shall send them to the FRC under the new disposition authority of schedule N1-100-90-1. If the office is retaining them due to unique processes or for another similar reason, retire the records to the FRC after administrative needs cease. These records may NOT be destroyed.

3. Mark Items 9 and 24 in Schedule NC1-100-82-1 of OSHA Instruction ADM 12.5, Appendix F, as superseded by schedule N1-100-90-1, item 23. The instruction will be updated at a later date.

4. Until a decision is made by NARA concerning videotaped inspections, do not retire safety fatality/catastrophe or health with sampling data inspection case files containing videotapes to the FRC. All other inspection case files, including those containing videotapes, may be retired to the FRC provided the retiring office places the paper and videotape records into SEPARATE boxes in the SAME accession or retires the different media in separate accessions on the same SF-135.

5. The area office will, upon receipt of an SF-258, determine if any affected inspection case files need to be retained by OSHA for reference beyond the scheduled transfer date. The area office will send the SF-258 to the regional office together with either a statement the records are no longer needed or a justification for continued retention within the agency including a new transfer date for the records. The regional office will forward the SF-258 to the regional OASAM for signature or provide a justification for continued retention of the records in OSHA including a date to review OSHA's need for the records.

David C. Zeigler Director Administrative Programs

Distribution: National, Regional and Area Offices OASAM's

RECORDS SCHEDULE FOR SAFETY FATALITIES AND CATASTROPHES

A. New Schedule Item. The new records schedule item show below is Records Disposition Schedule N1-100-90-1, Item 23. This item replaces Items 9 and 24 on Schedule NC1-100-82-1 in Appendix B.

ITEM TITLE DESCRIPTION DISPOSITION

23. Safety Fatality Correspondence, memoranda, Retire to FRC no and/or inspections, reports, and more than 3 years Catastrophe other records involving after case is closed. Inspection Case safety inspections Files involving fatalities DO NOT DESTROY.

and/or catastrophes including follow up a. Significant cases inspections and Proposed selected by the Modification of Abatement National Archives. monitoring reports. PERMANENT. Arranged alphabetically by Transfer to NARA the name of the company 20 years after being inspected. case is closed. Supersedes NC1-100-82-1, items 9 and 24. b. All other cases.

NARA will destroy This item is cited on during archival SF-135's as: NC1-100-90-1, processing. Item 23. (Do not cite a. or b.)

Note that extra suspense or convenience copies of safety fatality/catastrophe inspection case files held in field offices may be destroyed when files are consolidated or when the extra copies are no longer needed for reference purposes.

Note that all safety inspections closed on or before September 30, 1982 have been reclassified as PERMANENT records by NARA under this schedule and item number. These case files must be retired to the FRC for proper disposition.

A. Superseded Schedule Items. Items 9 and 24 of Schedule NC1-100-82-1 from OSHA Instruction ADM 12.5, OSHA Compliance Records, Appendix F have been superseded by schedule N1-100-90-1, item 23, in Appendix A.

Item Title Description Disposition

9 Safety Case files of safety a. Record Copy. Fatalities/ inspections involving Transfer to FRC Catastrophes fatalities and/or not later than 3 catastrophes. Includes years after case related follow up is closed. inspections and PMA Destroy 10 years monitoring reports. after case is closed.

b. Other Copies. Destroy material not placed in the record copy when file is consolidated.

24 Safety Includes all safety a. Record Copy. Inspections inspection case files Transfer to FRC Closed on or closed on or before if 3 years of before September 30, 1982. retention period September 30, remains. Destroy 1982 10 years after case is closed.

b. Other Copies. Destroy material not placed in the record copy when file is consolidated.

Note that ALL safety inspections closed on or before September 30, 1982 (item 24 above) are now classified as permanent retention records in the new schedule (N1-100-90-1), item 23 in Appendix A.

All records in item 24 above were included in item 23 in Appendix A to avoid requiring OSHA offices to separate safety fatality/catastrophe inspection case files from all other safety inspection case files.