Outline for the Submission and Review of State Plans

NOTE: Although this outline is tailored to the specific requirements of State Plans submitted under 29 CFR Part 1956, State Plans submitted under 29 CFR Part 1902 should also follow this outline.

Introduction
Introductory Outline
Comprehensive Outline

INTRODUCTION

This outline describes the content and format of a State public employee plan as authorized under Part 1956 of Title 29 of the Code of Federal Regulations.

The legal documents reviewed for this outline included 29 CFR 1956, 29 CFR 1952, 29 CFR 2200, 29 CFR 1903, 29 CFR 1904, 29 CFR 1905, OSHA, Chapter 17 of the OSHA Field Manual, and various State plan documents previously submitted to the Directorate of Federal-State Operations.

This outline describes the content and format of a State public employee plan as authorized under Part 1956 of Title 29 of the Code of Federal Regulations.

With respect to the format of the State public employee plan, the outline directs the State to divide its responses to the required issues into two major components-the Narrative Section and the Appendices. In the Narrative Section, the State is asked to describe or identify how the State plan provides for or addresses the specific Part 1956 requirements. In addition, the outline contains the appropriate cross references to other applicable OSHA requirements so that the State may review these requirements in developing its responses. In the Appendices, the State is directed to provide documentation in support of its Narrative Section responses.

The outline is presented in the following two sections. The first section is a summary of the outline heading and is intended to serve as a brief reference or checklist. The second section contains detailed instructions for completing the various Narrative Sections and Appendices.

INTRODUCTORY OUTLINE FOR STATE PUBLIC EMPLOYEE PLANS UNDER OSHA

NARRATIVE
Appendix B
1. General Background and Legal Authority
  1. History
  2. Existing Legal Authority
    1. Further executive or legislative action
      1. copy of bill
      2. statement of Governor's support
      3. legal opinion
      4. timetable
  3. Employee Coverage
    1. Covered employee groups
    2. Excluded employees
    3. Breakdown of employment
    4. Description of work
  4. Issue Coverage
  Appendix A
2. Designated State Agency
  1. State Designee
  2. Authority and Responsibilities
  3. Extent of Delegation
3. Standards and Variances
  1. Identical Standards
  2. Identical Standard Procedures
  3. Alternative Standards Procedures
    1. Expert input
    2. Interested persons input
    3. Participation in hearings
  4. Emergency Temporary Standards
  5. Contents of Standards
    1. Toxic materials exposure
      1. consideration of best evidence
    2. Employee exposure information
    3. Personal protective equipment
    4. Identical standards meet requirements
  6. Continued Standards Effectiveness
    1. Timing for permanent standards
    2. Timing for emergency temporary standards
  7. Procedures for Variances
    1. Future effect
    2. Public notice
    3. Employer notice to employees
    4. Interested persons input
    5. Conduct of hearing
      1. modification of variances
      2. pre-hearing conferences
      3. filing of exceptions
      4. judicial review
    6. Temporary variances
      1. unavailability of personnel or equipment
      2. implementation of all available safeguards
      3. effective program for compliance
    7. Permanent variances
  Appendix C
4. Enforcement
  1. Regulatory Basis
  2. Inspection Procedures
    1. Authority to inspect
    2. Right of entry
    3. Means to compel entry
    4. Right to question privately
    5. Right to review records
    6. Advance notice prohibited
    7. Employee walk-around
    8. Imminent danger provision
      1. notice to employees
      2. steps to abate hazard
      3. legal restraints
  3. Complaint Procedures
    1. Filing of possible violations
    2. Notification of no compliance action
    3. Informal review of no compliance action
    4. Confidentiality
    5. Nonformal complaint procedure
  4. Nondiscrimination Protections
    1. Necessary and appropriate protections
    2. Filing of complaint
    3. Time frame for agency decision
    4. Compensatory action
    5. Mechanism for assuring no further discrimination
  5. Methods for Compelling Compliance
    1. Notice to employers and employees
      1. posting of citations
      2. notice to employer of proposed sanctions
    2. Abatement data
    3. Alternative sanctions
      1. administrative orders
      2. judicial and mandamus action
      3. red tag procedures
      4. expanded employee rights
        
        right to contest citations
        
        agency self-inspection procedures
        
        employee complaint procedures
    4. Proposed first instance sanctions
      1. repeated violations
      2. serious violations
      3. other than serious violations
      4. failure to abate
      5. willful violations
      6. willful violations resulting in death
      7. factors for assessment of penalty
  6. Review System for Contested Cases
    1. Time frame
    2. Employer contest of citation, penalty, and abatement periods
    3. Employee contest of abatement periods
    4. Employee participation in review
    5. Informal (pre-contest) review
    6. Formal review mechanism
    7. Judicial appeal
    8. Compulsory process to obtain evidence
  7. Employee Access to Information
    1. Toxic materials exposure
      1. employee observation
      2. access to records
      3. notice by employer
      4. corrective action information
    2. Provision of protections and obligations
  8. Other prohibited Actions and Sanctions
    1. Advance notice
    2. False statements
    3. Violation of posting requirements
  9. Inspection Scheduling System
    1. Priorities by type of inspection
    2. Priorities by type of hazard, etc.
  10. Voluntary Compliance Program
    1. Training and education
    2. Priorities for scheduling
    3. Public information programs
    4. On-site consultations
    5. Agency self-inspection programs
  11. Laboratory Support Services
  12. Continued Enforcement Effectiveness
  Appendix D
5. Record-Keeping and Reports
  1. Record and Report Requirements
    1. Public sector requirements
      1. annual summary
      2. retention of records
      3. reporting of fatality/catastrophes
      4. penalties
      5. BLS activity
    2. Annual survey
  2. Management Information Systems
    1. Stage in development
    2. Use of data
  3. Form and Content of Reports
    1. Quarterly reports
    2. Annual BLS survey
    3. Inspection and compliance activities
    4. Illness, injury, and death statistics
    5. Periodic reports
      1. performance measures
      2. output measures
      3. evaluation of effectiveness
  Appendix E
6. Personnel
  1. Sufficient Numbers
    1. Safety compliance officers
    2. Health compliance officers
    3. Other compliance officers
    4. On-site consultants
    5. Training/educational staff
    6. Total staff
    7. Justification
  2. Staff Organization
  3. Staff Qualifications
    1. Minimum qualifications
    2. Training programs
      1. Chicago Institute on-the-job training in-house training
  4. State's Merit and Hiring Systems
    1. Merit system requirements
      1. standards under 45 CFR Part 70
      2. standards under Section 208 of the IPA
      3. at least as effective guidelines
    2. Affirmative action program
  Appendix F
7. Budget and Funding
  1. Adequate Funds Commitment
    1. Available funds
    2. Source of funds
    3. 50% commitment
  Appendix G
Comprehensive Developmental Schedule
1. Comprehensive Breakdown
  1. Proposed State Actions
  2. Three Years Completion
  3. Intermediate and Final Action Dates

COMPREHENSIVE OUTLINE FOR STATE PUBLIC EMPLOYEE PLANS UNDER OSHA

INSTRUCTIONS

The State should address all the issues raised in the Narrative Section (Section I) in a concise narrative form and should provide documentation where appropriate according to the Appendix Instructions which follow at the end of each topic section. For developmental plans, the State must provide in the Narrative Section satisfactory assurances that the State plan will conform to the criteria established under 29 CFR Part 1956 within three (3) years from the commencement of the plan's operation, and the State should also describe the specific actions it proposes to take. A comprehensive developmental schedule describing the completion of the above actions within three (3) years and the dates within which intermediate and final action will be taken should be submitted under Section II of this Outline. As final actions are taken by the State with respect to the developmental aspects of the plan, these items should be submitted to OSHA for insertion in the appropriate State plan appendix throughout the life of the State plan. References to 29 CFR Part 1956, entitled "State Plans for the Development and Enforcement of State Standards Applicable to State and Local Government Employees in States Without Approved Private Employee Plans," and other appropriate OSHA regulations and policy directives are located in the left margin of the Outline where applicable.

NARRATIVE
Appendix B Instructions:

Appendix B must include the following:
1. General Background and Legal Authority
  1. History
    
    Describe the history of State activities relating to occupational safety and health conditions for public employees.
    
    [29 CFR 1956.2(b)]
  2. Existing Legal Basis for State Plan
    
    Identify the existing legal basis for the State public employee plan. (Basic legislation must be in place.)
    1. If the State plan is a developmental plan, and if program changes are necessary which require further executive or legislative action to meet the requirements of OSHA and Part 1956, identify such changes and submit the following:
      1. A copy of the appropriate order or a copy of the bill or a draft of the legislation that has been or will be proposed for enactment;
      2. A statement of the Governor's support of the legislation and order;
      3. A legal opinion that the proposed legislation or executive action will meet the requirements of OSHA and Part 1956 in a manner consistent with the State's constitution and laws; and
      4. A timetable for the adoption of the legislation or order.
    [29 CFR 1956.2(c)]
  3. Employee Coverage
    
    Describe the scope of coverage with respect to public employees under the State plan, including the following:
    1. Identify those employee groups (both State and local) who are covered under the State plan;
    2. If any political subdivision employees are excluded from the State plan's scope of coverage, identify the limitation in either the State law or constitution which prohibits the State from constitutionally regulating occupational safety and health conditions in political subdivisions;
    3. Provide a breakdown of employment by agency/subdivision;
    4. Describe the types of work performed (assignment of SIC (Standard Industrial Classification Manual) to each workplace is encouraged).
    [29 CFR 1956.2(c)(2)]
  4. Issue Coverage
    
    Identify any occupational, industrial, or hazard grouping excluded from coverage under the state plan and provide details as to why coverage is unnecessary in these excluded areas.
  Appendix A Instructions:
  
  Appendix A must include the following:
  1. Enacted legislation or executive order;
  2. For developmental plans:
    1. A draft of any proposed supplemental legislation or order;
    2. A statement of the Governor's support of the proposed legislation and/or order;
  3. A legal opinion (i.e., from the State Attorney General).
2. Designated State Agency
  [29 CFR 1956.10(b)]
  1. State Designee
    Identify the State agency or agencies responsible for administering the State plan throughout the state.
    
    [29 CFR 1956.10(b)(2)]
  2. Concurrent Authority and Responsibilities
    Describe the concurrent authority and responsibilities of the designated agency other that regulation of occupational safety and health conditions.
    
    [29 CFR 1956.1C(b)(2)]
  3. Delegation
    If delegation to or contracts with other statewide agencies is intended by the designated State agency, describe those responsibilities subject to delegation or contracts as well as the controls over the delegated or contracted agency which the designated State agency intends to implement.
  1. A letter from the Governor designating the State agency;
  2. Contracts and/or agreements with delegated agencies, or a time frame and the nature of intended contracts if in the developmental stage.
3. Standards and Variances
  [29 CFR 1956.11(A)(1)]
  
  [29 CFR 1956.10(c)]
  
  [29 CFR 1956.11(b)(2)(iv)]
  
  Appendix C Instructions:
  
  Appendix C must include the following:
  
  Note: As new standards are adopted over the life of the State Plan, they should be added to this Appendix.
  1. Identical Standards
    State whether the State agency has adopted or intends to adopt the same standards established by the Assistant Secretary under OSHA or whether alternative standards will be adopted by the State.
    
    [29 CFR 1956.11(a)(1)]
  2. Procedures for Identical Standards
    Describe the procedures for the adoption of the same permanent standard established under Section 6 of OSHA.
    
    [29 CFR 1956.11(a)(2)]
  3. Procedures for Alternative Standards
    Describe the procedures for the development and adoption of (29 CFR 1956.11(b)(2)(iii)) alternative standards, including:
    1. Consideration of expert technical knowledge;
    2. Provision for interested persons to submit information requesting the development or promulgation of new standards, or the modification or evaluation of existing standards;
    3. Provision which gives interested persons an opportunity to participate in any hearing in the development, modification, or establishment of standards.
    [29 CFR 1956.11(b)(2)(v)]
  4. Emergency Temporary Standards
    Describe the procedures for prompt and effective standards setting actions for the protection of employees against new and unforeseen hazards, including the authority to establish emergency temporary standards. This authority should include those situations where public employees are exposed to unique hazards for which existing standards do not provide adequate protection.
  5. Issues to Be Addressed by Standards
    Identify how the State standards provide for the following:
    
    [29 CFR 1956.11(b)(2)(i)]
    
    [29 CFR 1956.11(b)(2)(vii)]
    1. In the case of any State standards dealing with toxic material or harmful physical agents, describe how the standards in this area adequately assure, to the extent feasible, that no employee will suffer material impairment of health or functional capacity even if such employee has regular exposure to the hazard addressed by such standard for the period of his working life.
      1. In responding to the above, also address how the development of State standards in this area considers the best available evidence through such avenues as research, demonstration, experiments, and experience under OSHA and any other safety and health laws.
    2. Identify how State standards contain appropriate provision for the furnishing to employees of information regarding hazards in the workplace, including information about suitable precautions, relevant symptoms, and emergency treatment in case of exposure. In addition, the procedures for furnishing this information should include labeling, posting, and where appropriate, result of medical examinations being furnished only to the appropriate State officials and, if the employee so requests, to his physician.
    3. Describe how the State standards contain, where appropriate, specific provision for the use of suitable protective equipment and for control or technological procedures with respect to such hazards, including the monitoring or measuring of such exposure.
    4. If the State adopts identical existing OSHA standards, such standards will be deemed to meet the requirements of a, b, and c above. However, since states may also establish standards in areas not yet addressed by OSHA, the State should respond to the issues raised in a, b, and c above for those standards.
  6. Assurance for Continued Effectiveness
    Provide assurances that the State will continue to develop or adopt standards which are or will be at least as effective as those established under Section 6 of OSHA. In providing the above, the State should address the following issues:
    1. Adoption of State permanent standards within six (6) months from the promulgation of the federal regulation establishing the standard under Section 6 of OSHAct.
    2. Adoption of emergency temporary standards within thirty (30) days from the promulgation of the emergency temporary standard under Section 6 of OSHAct.
  7. Procedures for Granting Variances
    Describe the procedures for the granting of variances, including how the State plan provides authority for the granting of variances from State standards upon application of a public employer which corresponds to variances authorized under OSHA (see 29 CFR Part 1905 and Section 6 of OSHAct). In addition, describe how the procedures allow for the modification, revocation, and renewal of variances. In describing the variance procedures, the following issues should be addressed:
    
    [29 CFR 1956.11(b)(2)(iv)]
    1. That any variance granted may only have future effect;
    2. There must be a procedure for public notice for every action granting a variance, limitation, variation, tolerance, or exemption;
    3. Employer notice procedures to the employees or authorized representative where the employer has applied for the variance including giving a copy of the application to the employees' authorized representative, posting a statement, giving a summary of the application, and specifying where a copy may be examined (at the places where notices to employees are normally posted), and by other appropriate means;
    4. Procedures which allow for the consideration of view of interested parties when a variance had been applied for, including: giving affected employees both notice of and the opportunity to participate in hearings (such as procedures which allow affected public employers and employees to request a hearing while the application is pending) or other appropriate proceedings relating to the applications for variances;
    5. Procedures for the conduct of a hearing, including the following:
      1. Procedures which allow for the modification, revocation, and renewal of variances;
      2. Procedures which allow for the official conducting the hearing to hold pre-hearing conferences, as well as establishment of consent findings, discovery, etc.;
      3. Procedures which allow for the filing of exceptions to the decision of the hearing official, and the transmission of the hearing record to the State administrative authority for its review and decision;
      4. Procedures which allow for judicial reviews of the State administrative authority's final agency action.
    6. Describe the procedures for the granting of temporary variances, as well as the modification, revocation, or renewal of the variances (see Section 6 of OSHA and 29 CFR Section 1905.10), including how such procedures address the following criteria before a variance can be granted:
      1. The public employer is unable to comply with a standard by its effective date because of the unavailability of professional or technical personnel or of materials and equipment needed to come into compliance with the standard or because necessary construction or alterations of facilities cannot be completed by the effective date;
      2. The public employer is taking all available steps to safeguard his employees against the hazards covered by the standard; and
      3. The public employer has an effective program for coming into compliance with the standard as quickly as possible.
      [29 CFR 1956.11(b)(2)(iv)]
    7. Describe the procedures for the granting of permanent variances, as well as the modification, revocation, or renewal of these variances (see Section 6(d) of OSHA and 29 CFR Section 1905.11). Procedures for the granting of permanent variances should address the issue as to whether the proponent of the variance has demonstrated by a preponderance of the evidence that conditions, practices, means, methods, operations, or processes used or proposed to be used by a public employer will provide employment and places of employment to the public employees which are as safe and healthful as those which would prevail if the public employer complied with the standard.
    1. Standard promulgation procedures (such as the State's Administrative Procedures Act) equivalent to 29 CFR Part 1911 and/or state equivalents, or a time frame for the development of such procedures;
    2. State standards equivalent to existing federal standards under OSHA, or a timetable for the development thereof;
    3. Standards comparisons for alternative standards (in a specified format), or a timetable for the development and submission thereof;
    4. Variance regulations equivalent to 29 CFR Part 1905 or a timetable for the development thereof.
4. Enforcement
  [29 CFR 1956.11(c)(2)(v)]
  
  [1956.11(c)(2)(vii)]
  
  [1956.11(c)(2)(xi)]
  
  [29 CFR 1956.11(c)(2)(vi)]
  
  [1956.11(c)(2)(x)]
  
  [29 CFR 1956.11(c)(2)(xii)]
  1. Regulatory Basis for Enforcement Program
    Identify how the State law and/or regulations include the provisions set forth below as well as how the State intends to implement these provisions through its enforcement program.
  2. Inspection Procedures
    The State should address the following issues (see Section 8 of OSHA and 29 CFR Part 1903 and the Field Operations Manual):
    
    [29 CFR 1956.11(c)(2)(i)]
    
    [29 CFR 1956.11(c)(2)(ii)]
    
    [29 CFR 1956.11(c)(2)(vii)]
    1. Identify the State's authority to inspect covered workplaces including inspections in response to complaints where there are reasonable grounds to believe a hazard exists;
    2. Identify the State's authority to enter without delay, and at reasonable times, any factory, plant, establishment, construction site, or other area, workplace, or environment where work is performed by an employee of a public employer;
    3. Describe the State's procedures for termination of inspections when a public employer refuses to permit an inspection, and appropriate action by the enforcement agency (such as obtaining compulsory process) when there has been a refusal;
    4. Describe the procedures which permit the enforcement agency to question privately any public employer, operator, agent, or employee;
    5. Describe the State's right to review records which are required to be maintained under the State program and other records which are directly related to the purpose of the inspection;
    6. Identify the prohibitions against advance notice of inspections, except in special, defined circumstances (see 29 CFR Section 1903.6);
    7. Describe how the state establishes a mechanism whereby a representative of the public employer and a representative of the employee have an opportunity to accompany the inspector during the physical inspection of the workplace. If there is no authorized representative for the employees, then there should be a provision for consultation by the inspector with a reasonable number of employees;
    8. Describe the procedures for the prompt restraint or elimination of any conditions or practices in covered places of employment which could reasonably be expected to cause death or serious physical harm immediately or before the imminence of such danger can be eliminated through the enforcement procedures otherwise established in the State plan. Such procedures should address the following issues:
      1. Immediately informing employees and employers of such hazards, and that the State enforcement agency is recommending a civil action to restrain such conditions or practices;
      2. Taking steps to obtain immediate abatement of the hazard by the employer;
      3. Authority to initiate necessary legal proceedings to require such abatement, such as judicial restraint of the conditions or practices.
  3. Complaint Procedures
    The State should address the following issues:
    
    [29 CFR 1956.11(c)(2)(ii)]
    
    [29 CFR 1956.11(c)(2)(iii)]
    
    [29 CFR 1956.11(c)(2)(v)]
    1. Describe how the State plan provides for an opportunity for employees and their representatives to bring possible violations to the attention of the designated state or local agency with responsibility before, during, and after inspections;
    2. Identify how the State plan provides for notification of employees (or their representatives) when the State decides not to take compliance action where violations are alleged by the employees or their representatives;
    3. When a decision not to take compliance action is made, describe the informal review process should include written notification of decisions not to take compliance action and the accompanying reasons as well as a description of the informal review process and written statements of the dispositions of such review;
    4. Describe how the State protects the confidentiality of the complainant employee, such as the withholding of the names of complainants from the public employer upon the request of the complainant employee;
    5. Describe the State's nonformal complaint procedures.
  4. Nondiscrimination Protections
    Identify those provisions in the State plan which provide for the following nondiscrimination protections and procedures (equivalent to 29 CFR 1977):
    1. Necessary and appropriate protection to an employee against discharge or discrimination with respect to terms and conditions of employment for filing a complaint, testifying, or otherwise acting to express his rights under the State program for public employees;
    2. Filing of a discriminations complaint within a specified time;
    3. A specified time frame in which agency decisions regarding a discrimination complaint will be rendered;
    4. Ability of the State agency to initiate compensatory actions including back-pay and reinstatement of the employee;
    5. An appropriate mechanism for assuring that no further discrimination will occur.
  5. Methods for Compelling Compliance
    Identify those methods which the State uses or intends to use in compelling employer compliance as well as the procedures for abatement of hazards. Such methods and procedures should address the following issues:
    
    [29 CFR 1956.11(c)(2)(x)]
    
    [29 CFR 1956.11(c)(2)(x)]
    1. Prompt notice to public employers and employees is effected when an alleged violation of standards has occurred, including the proposed abatement requirements. Such notice should include the following requirements:
      [29 CFR 1956.11(c)(2)(ix)]
      1. Issuance of a written citation to the public employer and posting of the citation at or near the site of the violation. Citations should describe with particularity the nature of the alleged violation, including a reference to the provision of the State law, standard, rule, regulation, or order alleged to be violated. Any citation should also fix a reasonable time or times for the abatement of the alleged violation. If the citation is a result of an employee requested inspection or employer notification of a violation, a copy should also be sent to the employee or representative of employees who made such request or notification;
      2. Advising the public employer of any proposed sanctions, wherever appropriate, including a notice to the employer by certified mail within a reasonable time of any proposed sanctions. Such notices should be after or concurrent with the issuance of a citation, and within a reasonable time after the termination of the inspection. The employer should also be notified of his right to contest the citation or the notification of the proposed penalty;
    2. Submission by interested persons of data relating to the abatement of a hazard and a consideration by the State agency of such data prior to the issuance or modification of an abatement order;
    3. If a system of monetary penalties is not the most appropriate enforcement mechanism under the State program, describe the alternative enforcement mechanism, and address the following issues, which may include:
      1. Administrative orders;
      2. Judicial orders and mandamus actions;
      3. Red Tag procedures;
      4. Expanded employee rights and participation in enforcement, including:
        
        the right to contest citations as well as abatement periods;
        
        mandatory agency self-inspection procedures;
        
        employee complaint procedures.
    4. The proposed first instance sanctions/penalties and the relationship between these penalties and the gravity of the violation including penalties or "alternative sanctions" for:
      1. Repeated violations;
      2. Serious violations:
        A serious violation exists if there is a substantial problem that death or serious physical harm could result from a condition which exists, or from one or more practices, means, methods, operations, processes which have been adopted or are in use in the place of employment unless the employer did not and could not with the exercise of reasonable diligence, know of the presence of the violation.
      3. Other than serious violations;
      4. Failure to abate a violation within the period permitted for its correction;
      5. Willful violations;
      6. Willful violation which leads to the death of any employee;
      7. Factors for assessment and reduction of penalties including due consideration of the appropriateness of the penalty with respect to the size of the public employer's activity being charged, the gravity of the violation, the fault of the public employer, and the history of previous violations.
  6. Review System for Contested Cases
    Identify the review system for contested cases with respect to violations alleged by the State as well as abatement periods, proposed penalties, or alternative sanctions. The review system should include the following:
    1. A time frame for the filing of contested cases;
    2. Procedures whereby an employee has a right to contest citation, penalty and abatement periods;
    3. Procedures whereby an employee has a right to question the reasonableness of abatement periods;
    4. Procedures which permit employees or their authorized representatives to have an opportunity to participate in the review proceedings;
    5. Informal (pre-contest) review procedures;
    6. Formal review proceedings (including the right of administrative appeal from the decision of the hearing examiner);
    7. Procedures for appeals of administrative decisions to a judicial body;
    8. The ability of the State agency to obtain, through the appropriate compulsory process, necessary evidence or testimony in connection with inspection and enforcement proceedings, such as discovery depositions, interrogatories, and subpoenas.
  7. Employee Access to Information
    Describe how the State plan addresses the issue or employee access to information and posting of notices to employees. Specifically, the following issues should be addressed:
    1. Identify the provision whereby employees have access to information on their exposure to toxic materials or harmful physical agents and how employees receive prompt information when they have been or are being exposed to such materials or agents at levels in excess of those prescribed by the applicable safety and health standards. The provision should incorporate the following mechanisms:
      1. Observation by employees of the monitoring or measuring of such materials or agents;
      2. Employee access to the records of such monitoring or measuring;
      3. Prompt notification by a public employer to any employee who has been or is being exposed to such agents or materials in excess of the applicable standards; and
      4. Information to such employees of corrective action being taken.
  8. Other Prohibited Actions and Sanctions
    Identify how the State provides penalties for the following types of prohibited actions:
    1. Penalties for any person who gives advance notice of any inspection without authority from the designated agency;
    2. Penalties for any person who makes any false statement in any application, record, plan, or other document filed or required to be maintained under the State plan;
    3. Penalties for public employers who violate any of the required posting requirements.
  9. Inspection Scheduling System
    Describe how the State program provides for an inspection scheduling system, including how the system addresses the following priorities:
    1. Priorities by type of inspection (i.e., complaints, general schedule, etc.);
    2. Priorities by hazard, workplace, equivalent SIC (Standard Industrial Classification Manual).
  10. Voluntary Compliance Program
    Identify how the State will undertake programs to encourage voluntary compliance by public employees and employers, including the following:
    1. Training and education of public employers and employees, including types of courses, etc.;
    2. Priorities for the scheduling of training programs;
    3. Public information programs;
    4. On-site consultations to public employee sites;
    5. Encouragement of agency self-inspection programs.
  11. Laboratory Support Services
    Describe how the State enforcement program provides for and utilizes laboratory support services.
    
    [29 CFR 1956.10(d)(1)]
  12. Assurances for Continued Effectiveness
    Provide assurances that the State's enforcement program for public employees will continue to be at least as effective as the federal program in the private sector.
  Appendix D Instructions:
  
  Appendix D must include the following:
  1. Regulations or procedures equivalent to 29 CFR Part 1903 or a timetable for the development thereof;
  2. Regulations or procedures equivalent to 29 CFR Part 1977 or a timetable for the development thereof;
  3. Inspection scheduling system (high hazard/worst first) or timetable for the development thereof;
  4. Procedures for on-site consultation or a timetable for their development;
  5. Regulations or procedures which are equivalent to 29 CFR Part 2200 or a timetable for their development;
  6. State Field Operations Manual and Industrial Hygiene Manual or timetable for their development (this may be a separate volume if desired).
5. Record-Keeping and Reports
  [29 CFR 1956.10(i)]
  1. Record and Report Requirements
    Describe how the State compiles injury/illness statistics under the State public employee program, and address the following requirements:
    
    [29 CFR 1956.10(i)]
    1. Provide assurances and identify how public employers covered by the State plan will maintain records and make reports of occupational injuries and illnesses in a manner similar to those required of private employers under OSHA (see Section 24(e) of OSHA and 29 CFR Part 1904), including:
      1. Annual summary of occupational illnesses and injuries;
      2. Retention of records for five (5) years;
      3. Reporting of fatality or multiple hospitalization accidents within forty-eight (48) hours after the occurrence of an employment accident;
      4. Penalties for falsification or failure to keep records and reports;
      5. Description of the State's statistical program and BLS activity.
    2. An annual survey to establish incidence rates, etc., through participation in the BLS program.
  2. Management Information System
    Describe the State's management information system, and address the following issues:
    1. Stage in development (manual, automated);
    2. How data is used for managing the State public employee's program.
  3. Form and Content of Reports
    Provide assurances that the designated agency shall make such reasonable reports to the Assistant Secretary in such for and containing such information as he may from time to time require, including the following:
    1. Quarterly reports to be submitted to the Assistant Secretary within ten (10) days from the close of the quarterly period;
    2. Participation in the annual BLS survey;
    3. Data and information on the implementation of the specific inspection and voluntary compliance activities included within the State plan;
    4. Statistical information pertaining to work related deaths, injuries, and illnesses in employment and places of employment covered by the State plan as the Assistant Secretary may from time to time require;
    5. Periodic reports to the Assistant Secretary on the extent to which the State, in the implementation of its plan, has attained those goals established for the State plan which are consistent with OSHA's goals, including:
      1. Measures of performance;
      2. Measures of output;
      3. Results which will determine the efficiency and effectiveness of the State program for public employees.
  Appendix E Instructions:
  
  Appendix E must include the following:
  1. Regulations or procedures equivalent to 29 CFR Part 1904 or a timetable for the development thereof;
  2. Management Information System
  3. Reporting Requirements
6. Personnel
  [29 CFR 1956.10(g)]
  1. Sufficient Numbers of Personnel
    Provide assurances that the designated agency or agencies and all government agencies to which authority has been delegated, have, or will have a sufficient number of adequately trained and qualified personnel necessary for the enforcement and administration of the State program. With respect to sufficient numbers of personnel, the following issues should be addressed:
    1. Number of present safety compliance officers and the anticipated number of safety compliance officers over the next three (3) years;
    2. Number of present health compliance officers (industrial hygienists) and the anticipated number of health compliance officers over the next three (3) years;
    3. Number of other compliance officer at the present time (specify the different classifications) and the anticipated number of such inspectors over the next three (3) years;
    4. Number of present on-site consultants and the anticipated number of such consultants over the next three (3) years;
    5. Number of training/educational staff;
    6. Total funded staff;
    7. If under or over OSHA's benchmark, provide a justification for this result.
  2. Organization of Staff
    Describe the organization of the staff, including supervisors and support staff.
  3. Qualified Staff Requirements
    With respect to whether the staff is adequately trained and qualified, provide the following information:
    1. Minimum qualifications for state administrative and enforcement positions;
    2. Training programs for staff, including:
      1. Attendance at Chicago Institute course;
      2. On-the-job training;
      3. In-house training programs
    [29 CFR 1956.10(g)]
  4. State's Merit and Hiring Systems
    Describe the State's merit system and hiring system and address the following issues:
    1. Conformance with the merit system requirements described below:
      1. Standards for a Merit System of Personnel Administration, 45 CFR Part 70, issued by the Secretary of Labor, including any amendment thereto;
      2. Any standards by the U.S. Civil Service Commission, pursuant to Section 208 of the Intergovernmental Personnel Act of 1970, modifying or superseding the above standards;
      3. Guidelines on "at least as effective as" staffing derived from the federal private employee program.
    2. The states commitment to affirmative action in the hiring of State employees.
  Appendix F Instructions:
  
  Appendix F must include the following:
  1. A current staffing/organizational chart (including cooperating agencies) as well as a chart which describes the State's staffing and organization as projected over a three (3) year period;
  2. State job descriptions for all positions in the State program;
  3. Supplemental assurances required for merit system approval or a timetable for submission of the above;
  4. Affirmative action plan or a timetable for the development of the plan.
7. Budget and Funding
  [29 CFR 1956.10(h)]
  1. Commitment of Adequate Funds
    Provide satisfactory assurances that the State will devote adequate funds to the administration and enforcement of the public employee program, and include the following:
    1. Funds available for the administration and enforcement of the State public employee program;
    2. Source of the State's funding for the public employee program;
    3. Fifty percent (50%) commitment of State funds to the overall costs of the State public employee program.
  Appendix G Instructions:
  
  Appendix G must include the following:
  1. A detailed budget for the State program's first year's operations (using grant format);
  2. Projection for the next two year's budgets for the administration and enforcement of the State public employee program.
COMPREHENSIVE DEVELOPMENTAL SCHEDULE
1. For each item addressed in the Narrative Section, which is in a developmental stage, provide a comprehensive schedule which indicates the following:
  1. Identifies the specific actions the State proposes to take;
  2. A schedule for the completion of such actions within three (3) years; and
  3. The dates within which intermediate and final action will be taken.