DIRECTIVE NUMBER:CPL 2-0.102A |
EFFECTIVE DATE: November 10, 1999 |
SUBJECT: Procedures for Approval of Local Emphasis
Programs (LEPs) |
ABSTRACT
Purpose: |
This instruction establishes procedures for the approval of Local Emphasis
Programs. |
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Scope: |
OSHA-wide |
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References: |
OSHA Instructions:
CPL 2.25I,, Scheduling System for Programmed Inspections;
CPL 2-0.51J, Exemptions and Limitations Under the Appropriations Act
CPL 2.103, the Field Inspection Reference Manual (FIRM);
STP 2.22A, State Plan Policies and Procedures Manual;
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Cancellations: |
OSHA Instruction CPL 2.102, March 28, 1994. |
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State Impact: |
This Instruction describes a Federal Program Change for which State
adoption is not required (see Paragraph VI). |
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Action Offices: |
National, Regional, and Area Offices |
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Originating Office: |
Directorate of Compliance Programs |
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Contact: |
Russelle R. McCollough
U.S. Department of Labor - OSHA
200 Constitution Ave. NW - Rm. N-3603
Washington, DC 20210 |
By and Under the Authority of
Charles N. Jeffress
Assistant Secretary
TABLE OF CONTENTS
- Purpose.
- Scope.
- References.
- Action Information.
- Action.
- Federal Program Change.
- Definition.
- Approval Procedures for LEPs.
- Area/District Office.
- Regional Office.
- National Office Units.
- Evaluations.
Appendix A Program Evaluation Items for Local Emphasis Programs (LEP's)
INDEX
- Purpose. This instruction establishes procedures for the approval of Local Emphasis
Programs (LEPs).
- Scope. This instruction applies OSHA-wide.
- References.
OSHA Instruction CPL 2.103, the Field Inspection Reference Manual (FIRM), September
26, 1994
OSHA Instruction STP 2.22A CH-2, State Plan Policies and Procedures Manual, January
29, 1990:
OSHA Instruction CPL 2.25I, Scheduling System for Programmed Inspections, January 4,
1995:
OSHA Instruction CPL 2-0.51J, Exemptions and Limitations Under the Appropriations
Act, May 28, 1998:
- Action Information.
- Responsible Office. General Industry Compliance Assistance
- Action Offices. Regional, Area, and District Offices and State Plan States.
- Information Offices. Consultation Project Offices.
- Action. OSHA Regional Administrators, Area Directors, and National Office Directors
will ensure that the guidelines and procedures for approval of Local Emphasis Programs
set forth in this instruction are followed.
- Federal Program Change. This instruction describes a Federal program change for
which State adoption is not required. States are asked to keep their Regional
Administrators informed of State-developed local emphasis programs, experimental
programs, local problem solving projects, etc., including any that relate to State Strategic
Plan goals; and to coordinate with their Regional Administrator to request assignment of
the appropriate IMIS identifier code.
- Definition.
Local Emphasis Programs (LEPs) are a type of Special Emphasis Program, as described
in OSHA Instruction CPL 2.25I, in which one or more Area Offices of a Region
participate. LEPs are generally based on knowledge of local industry hazards or
knowledge of local industry injury/illness experience. Whenever one or more Area Offices
of a Region targets inspections to a specific industry(ies), hazard(s), or other workplace
characteristic(s) -- e.g., as part of or in conjunction with a local initiative or problem-solving project-an LEP must be developed and approved . LEPs may be originated at the
Area Office/District Office level, or by the Regional Office.
LEPs may include targeting of employers with 10 or fewer employees, as long as they do
not conflict with restrictions under congressional Appropriations Act riders as described in
OSHA Instruction CPL 2-0.51J or successor guidance. All LEPs should involve one or
more of the identified hazards or the targeted industries defined in the Agency's current
Strategic Plan; exceptions to this rule must be specifically authorized by the Regional
Administrator.
NOTE: Programs formerly defined as "Experimental Programs" are now redefined as
LEPs, with approval authority at the Regional level.
- Approval Procedures for LEPs. Regional Administrators are authorized to approve
LEPs with the concurrence of the Regional Office of the Solicitor of Labor (RSOL). All
LEPs will involve one or more of the three hazards or the five targeted industries defined
in the Agency's Strategic Plan, unless specifically authorized by the Regional
Administrator. The following procedures will apply:
- Area/District Office. LEPs may originate at the Area Office/District Office level,
or by the Regional Office. Area Directors will submit their LEP request to the
Regional Administrator after completing the following:
- Developing a Regional CPL Notice (directive) for the LEP. (Notices differ
from instructions in that they remain in effect no longer than one year and
carry a specific cancellation date.) The notice must conform to the
guidelines for directives in OSHA Instruction ADM 8.1C.
- Ensuring that the Regional directive contains:
- Appropriate documentation and rationale for the LEP.
- A list of establishments or a method of generating a list of
worksites from available sources; e.g., Federal, State, and local
agencies, National Directory, and Local Employer Industrial
Classification Manual.
- A selection process to set forth administratively neutral criteria
(e.g., random numbering system) to identify establishments for
inspection. (See OSHA Instruction CPL 2.25I.)
- An evaluation component for determining the relative success of
the LEP. (See Appendix A.)
NOTE: If an LEP will target employers with 10 or fewer employees, the
Regional directive must contain a statement explaining why it is
appropriate for the LEP.
- Regional Office. The Regional Administrator is authorized to approve LEPs
requested by an Area Director/District Supervisor or developed by the Regional
Office. When an LEP is developed by the Regional Office, the conditions outlined
above at A.1. through A.2. must be met.
The following conditions will apply to the Regional Office:
- For new LEPs, concurrence must be obtained from the RSOL with regard
to the legal sufficiency of the proposed targeting system and procedures,
i.e., whether neutrality requirements for inspection scheduling are met.
The RSOL may address additional issues reflecting local experience in
obtaining and enforcing compulsory process. LEPs proposed for renewal
must also be submitted to the RSOL for concurrence, unless the renewed
LEP is identical to its predecessor. (See Appendix A of this instruction,
question 5.)
- The Regional Administrator will ensure that the LEP is assigned an IMIS
identifier code for Item 25c of the OSHA-1 Form by the Office of
Management Data Systems prior to the start of the LEP. The request will
be initiated by calling the Office of Management Data Systems.
- The approval period will be no more than one year. LEPs may be renewed
year-by-year, subject to the recommendations of the LEP evaluation.
- The Regional Administrator must provide a copy of the implementing
Regional directives for all approved LEPs (including the IMIS identifier
code) to the RSOL, the Directorate of Compliance Programs and the
Directorate of Construction if it applies to construction.
- National Office Units.
- The Directorate of Compliance Programs/Directorate of Construction
shall:
- Keep copies of all LEPs and track them in all regions.
- Provide copies of LEP documentation to the Office of Management
Data Systems.
- Provide technical assistance and advice to field offices in preparing
LEP evaluation criteria and/or reports.
- Review annual LEP evaluation reports submitted by Regional
Administrators and look for possible national applications of LEPs.
- Provide information on LEPs and LEP evaluation reports from
other regions to Regional Administrators for their review regarding
possible applications within the region.
- Provide copies of LEPs and evaluation reports, if requested, to
other Regions.
- Provide overall direction and guidance in establishing Agency
procedures for LEPs.
- The Office of Management Data Systems will provide requested IMIS
codes to Regional Administrators as soon as possible after receipt of the
request.
- Evaluations. The Regional Administrator must ensure that an evaluation of each
LEP is completed and submitted to the Directorate of Compliance Programs and
the Directorate of Construction (only if it applies to construction), no later than
November 30th of each year in which the LEP is active.
- The evaluation must, at a minimum, address the LEP's role in meeting
goals of OSHA's Strategic Plan, such as:
- The number of employees covered
- Reduction in the number of injuries and illnesses.
- The number of workers removed from hazards.
- Reductions in employee exposures.
- Abatement measures implemented.
- Number of violations related to specific targeted hazards.
- In addition, the evaluation must respond to the questions outlined in
Appendix A of this instruction.
Appendix A
Program Evaluation Items for
Local Emphasis Programs (LEP's)
The program evaluations of LEPS required by this instruction shall address the following items:
- What is the goal of the LEP? Briefly describe the purpose of the LEP (e.g., eliminate
dangerous process(es), exposure to safety and health hazards, injuries/illnesses, or
fatalities) and include any specifics that caused you to choose this program. How does it
support OSHA's Strategic Plan?
- In your opinion, did the LEP meet its goal?
Indicate if the program was:
* highly effective,
* effective,
* less than effective, or
* ineffective.
If this determination is not possible, indicate accordingly and briefly explain.
- What data and information do you have to support your conclusion(s)?
At a minimum, consider the following areas of information in making your response. Note
that some of the subjects listed at 3.a. through g. will not apply to every LEP. Where a
subject is clearly not applicable or no responsive information can be ascertained, this
should be so noted in the evaluation.
- Enforcement statistics. Include:
* Number of inspections;
* Number of inspections in compliance;
* Number of "no inspection" cases;
* Percent of violations cited that are serious;
* Number of employees covered by inspection;
* Dollar amount of penalties assessed;
* Percent of citations contested;
* Number of significant cases;
* Average violations per inspection; and
* Any other data which may be relevant to supporting your conclusion.
- Significant and egregious cases:
List and briefly describe all significant and egregious cases, if any.
- Serious hazards eliminated.
In responding, consider important:
(1) |
Repeat violations. |
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(2) |
Hazards cited for a given employer that do not reappear once
abated, such as hazardous airborne substances in an unventilated
workplace area. |
- Evaluate and briefly comment on the overall list of standards cited to
determine whether the LEP is addressing the goal.
- Decline in occupational injuries, illnesses, and fatalities for the
establishments covered by the LEP:
- Have injuries, illnesses, and/or fatalities declined in the Region
because of the program?
- Did the program cause a reduction of specific injuries, illnesses
and/or fatalities that are common to the covered industries?
- Impact on covered, non-inspected employers (deterrent effect on
employers):
Were covered employers who were not inspected aware of the LEP, and
did they eliminate serious hazards targeted by the program? If so, briefly
describe significant example(s).
NOTE: Information regarding a deterrent effect might be detected from
outreach sessions, new constituency groups, informal conferences, and
speech and information requests.
- Impact on suppliers of production equipment (shadow effect on suppliers):
Were manufacturers of production equipment aware of the LEP, and did
they respond by modifying their products to minimize employee exposure
to occupational hazards? If so, briefly describe significant example(s).
- Should the LEP be continued?
Answer "yes" or "no" and give a brief rationale.
- Have any legal issues arisen that should be brought to the attention of RSOL if the LEP is
to be proposed for renewal?
If "yes," describe them in sufficient detail for SOL to make a determination.
- Are there any other comments or recommendations?
Consider any findings which might influence Regional or National OSHA programs and
policies. Also, consider economic and technological factors impacting industries covered
under the LEP, which could only be changed by revising the production process and
would be beyond the employer's current financial capabilities.
INDEX
Abatement
Appendix
Approve
Area Office
Classification
Compliance
Directive
Employer
Enforcement
Evaluation
Exemptions
Federal Program Change
IMIS
Inspection
Integrated Management Information System
LEP
Local Emphasis Program
Regional Administrator
Regional Office
State
State Plan
Table of Contents
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