[Federal Register Volume 64, Number 196 (Tuesday, October 12, 1999)]
[Notices]
[Pages 55390-55403]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-26558]
[[Page 55389]]
Part IV
Department of Labor
_______________________________________________________________________
Occupational Safety and Health Administration
_______________________________________________________________________
Voluntary Protection Programs To Provide Safe and Healthful Working
Conditions, Draft Revisions; Notice
Federal Register / Vol. 64, No. 196 / Tuesday, October 12, 1999 /
Notices
[[Page 55390]]
DEPARTMENT OF LABOR
Occupational Safety and Health Administration
Draft Revisions to the Voluntary Protection Programs To Provide
Safe and Healthful Working Conditions
AGENCY: Occupational Safety and Health Administration (OSHA), Labor.
ACTION: Notice, request for comments.
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SUMMARY: The Occupational Safety and Health Administration would like
to obtain stakeholder and public comments on proposed revisions to its
Voluntary Protection Programs (VPP), published in Draft below. The
revisions include several new criteria intended to make the VPP more
challenging and to raise the level of safety and health achievement
expected of participants. New eligibility categories allow previously
ineligible worksites to apply. The criteria also have been rewritten to
make them more easily understood and to bring the VPP's basic program
elements into conformity with OSHA's Safety and Health Program
Management Guidelines. OSHA will consider submitted comments when it
develops the final version of these revisions.
DATES: Written comments must be submitted on or before November 26,
1999.
ADDRESSES: Send two copies of your comments to: Docket Office, Docket
No. C-06, Room N-2625, Occupational Safety and Health Administration,
U.S. Department of Labor, 200 Constitution Ave., NW, Washington, DC
20210. Comments limited to 10 pages or less may also be transmitted by
FAX to 202-693-1648, provided that the original and one copy of the
comment are sent to the Docket Office immediately thereafter.
Comments may also be submitted electronically through OSHA's Web
site at the following address: http://www.osha-slc.gov/e-comments/e-
comments-vpp.html. Information such as studies and journal articles
cannot be attached to electronic submissions and must be submitted in
duplicate to the Docket Office. Such attachments must clearly identify
the respondent's electronic submission by name, date, and subject, so
that they can be attached to the correct submission.
The entire record for the proposed revisions to the Voluntary
Protection Programs is available for inspection and copying in the
Docket Office, Docket No. C-06, telephone 202-693-2350.
FOR FURTHER INFORMATION CONTACT: Bonnie Friedman, Director, Office of
Public Affairs, Occupational Safety and Health Administration, Room
N3647, 200 Constitution Ave., NW, Washington, DC 20210, (202) 693-1999.
SUPPLEMENTARY INFORMATION:
I. Introduction
A. Background
The Voluntary Protection Programs (VPP), adopted by OSHA in Federal
Register Notice 47 FR 29025, July 2, 1982, have established the
efficacy of cooperative action among government, industry, and labor to
address worker safety and health issues and expand worker protection.
VPP participation requirements center on comprehensive management
systems with active employee involvement to prevent or control the
safety and health hazards at the site. Employers who qualify generally
view OSHA standards as a minimum level of safety and health performance
and set their own more stringent standards where necessary for
effective employee protection.
OSHA's experience with VPP and other programs led it to publish its
voluntary ``Safety and Health Program Management Guidelines'' (the
Guidelines) in the Federal Register on January 26, 1989, 54 FR 3904.
The Guidelines present effective criteria for organizing a managed
safety and health program. To maintain consistency in OSHA's approach
to safety and health program management, the Agency has decided to
reorganize the VPP criteria to conform more closely to the Guidelines.
This reorganization has been accomplished by merging the six
elements of the VPP into the four elements of the Guidelines.
Specifically, Management Commitment and Planning has become Management
Leadership and Employee Involvement; Hazard Assessment has become
Worksite Analysis; Hazard Correction and Control has become Hazard
Prevention and Control; Safety and Health Program Evaluation has become
part of Management Leadership and Employee Involvement; and Safety and
Health Training continues as one of four basic program elements.
The VPP criteria also have been rewritten to make them more easily
understood. This has involved changes in both language and
organization. However, except for a variety of minor clarifications,
the substance of the criteria has changed little. The two most notable
changes are an expansion of eligibility to certain classes of worksites
previously not covered by the program, and a new illness rates
reporting requirement. The latter means OSHA will consider a worksite's
illness performance as well as its injury performance when assessing
the site's level of achievement.
B. Statutory Framework
The Occupational Safety and Health Act of 1970, 29 U.S.C. 651 et
seq. (the Act and the OSH Act), was enacted ``to assure so far as
possible every working man and woman in the Nation safe and healthful
working conditions and to preserve our human resources. * * *''
Section 2(b) specifies the measures by which the Congress would
have OSHA carry out these purposes. They include the following
provisions which establish the legislative mandate for the Voluntary
Protection Programs:
``* * * (1) by encouraging employers and employees in their
efforts to reduce the number of occupational safety and health
hazards at their places of employment, and to stimulate employers
and employees to institute new and to perfect existing programs for
providing safer and healthful working conditions;''
``* * * (4) by building upon advances already made through
employer and employee initiative for providing safe and healthful
working conditions;''
``* * * (5) * * * by developing innovative methods, techniques,
and approaches for dealing with occupational safety and health
problems;''
``* * * (13) by encouraging joint labor-management efforts to
reduce injuries and disease arising out of employment.''
II. Program Changes and Rationale
A. Language and Organization
With this Notice OSHA proposes extensive editorial changes in the
language and organization of The Voluntary Protection Programs,
published as Draft below. The intent is to make the VPP criteria more
understandable.
B. Changes in Eligibility
1. Draft Section D.1., General, provides that Federal agency
worksites subject to 29 CFR part 1960 are now eligible to apply. OSHA
wants to extend recognition for safety and health program excellence to
federal sector worksites. As a result of a successful Demonstration
Program, this section now also provides that resident contractors at
participating VPP sites may make application to the VPP for their
operations at those sites. The Demonstration Program established that
at existing VPP sites, resident contractors can provide effective
safety and health protection to their employees even though they do not
control the worksite.
2. Draft Section D.2, Unionized Sites, is changed to clarify the
degree of union involvement that triggers the requirement for union
concurrence in
[[Page 55391]]
VPP participation. The old language, ``a significant portion of its
employees organized by one or more collective bargaining units,'' was
open to wide interpretation. The new language makes clear that the
concurrence of all unions is expected at any worksite where one or more
collective bargaining agents represent employees.
C. Changes in Assurances
1. Draft Section E.1. requires VPP applicants to submit assurance
that they will correct all hazards addressed by OSHA's safety and
health standards and regulations and the OSH Act's ``general duty
clause,'' Section 5(a)(1). Full compliance with OSHA's requirements has
always been a requirement of the VPP but is now made an explicit part
of the Assurances.
2. Draft Section E.2. requires the applicant to provide assurance
that site employees support the VPP application. At unionized sites,
this is accomplished by the authorized collective bargaining
representative(s) either signing the VPP application or submitting a
signed statement of support. OSHA also needs assurance that employees
at non-unionized sites support VPP participation.
3. Draft Section E.5. expands on previous language and now requires
that applicants certify to OSHA that hazards discovered through any
means will be corrected in a timely manner, with interim protection
provided as necessary. This section further provides that site
deficiencies related to compliance with OSHA requirements and
identified during the OSHA preapproval onsite review will be corrected
within 90 days. This expansion is needed to make clear to applicants
that elimination or control is expected of all identified hazards, and
not just hazards identified by the means listed in the Notice.
4. Draft Section E.10. expands the information that participating
sites must submit to OSHA each year by February 15.
a. Requiring sites to report injury and illness rates, rather than
just injury rates, will help ensure that VPP continues to set the
standard for excellence by recognizing worksites that effectively
address the full range of workplace safety and health problems.
b. OSHA needs to have participants report the injury/illness and
lost work day case numbers as well as the rates to ensure that the
rates have been calculated correctly.
c. OSHA needs to examine the participant's annual evaluation of its
safety and health program in order to determine if the site's program
is continually improving and also to spot potential program
deficiencies.
d. Because examination of contractors' rates is now part of the VPP
requirements, the injury/illness and lost workday case numbers and
rates of prominent (500 hours or more onsite in a calendar quarter)
contractors' site employees need to be submitted annually to OSHA, just
as the rates for regular site employees must be submitted annually.
e. To better understand a worksite's safety and health efforts, to
help spread the lessons learned in VPP to other worksites, and to
communicate the value of VPP, OSHA needs information on success stories
and VPP outreach efforts at each participating worksite.
D. Changes in The Star Program
1. The Purpose of the Star Program, Draft Section F.1., is expanded
to indicate that OSHA expects Star participants to share their safety
and health expertise and to encourage others to work toward comparable
success.
2. Injury/Illness Performance, Draft Section F.4., includes the
following changes:
a. Star performance criteria have changed by adding:
(1) The use of injury/illness rates to determine VPP eligibility;
(2) A requirement that rates be below rather than at or below the
industry average; and
(3) An alternative method of calculating injury/illness incidence
rates for qualifying small worksites.
The addition of illnesses and the change in minimum rates
requirements will make these requirements more reflective of the health
aspects of a safety and health program and generally more stringent.
These changes will help ensure that VPP continues to serve as a model
of excellence for the larger work community. The alternative
calculation method will help small sites to qualify for Star even when
they have experienced 1 year of abnormally high rates.
b. Calculating, collecting, and submitting contractor rates are new
VPP requirements that will enable OSHA to better determine the quality
of safety and health protection afforded to all employees on a
worksite. The requirements for contract employee coverage appear at
Draft Section F.4.a.(2).
3. Safety and Health Program Qualifications for the Star Program,
Draft Section F.5., is revised as follows:
a. OSHA has condensed from six elements to four elements the Safety
and Health Program Qualifications for the Star Program. This is done so
that the VPP requirements will conform with OSHA's Voluntary Safety and
Health Program Management Guidelines. Similarly, the names of the
activities required under each element have been changed, as
appropriate. The changes are:
(1) In Draft Section F.5.a., the name of the first element has
changed from Management Commitment and Planning to Management
Leadership and Employee Involvement. The activity Employee
Participation has changed to Employee Involvement. This activity and
the activity Safety and Health Program Evaluation are now made part of
this element.
(2) In Draft Section F.5.b., the name of the second element has
changed from Hazard Assessment to Worksite Analysis.
(3). In Draft Section F.5.c., the name of the third element has
changed from Hazard Correction and Control to Hazard Prevention and
Control.
b. The following revisions are made in Draft Section F.5.a.,
Management Leadership and Employee Involvement:
(1) Commitment to Safety and Health Protection now includes the
requirement for an established and communicated goal for the safety and
health program and results-oriented objectives for meeting that goal,
an activity that is included in the Guidelines.
(2) Written Safety and Health Program has changed slightly to
reflect the merging of the original six basic elements into four.
(3) Management Involvement is now Management Leadership. OSHA has
added two new required activities to Management Leadership so that the
list of actions will reflect the Guidelines. These additional
activities are:
(a) Creating employee access to top management, and
(b) Ensuring that all workers at the site, including contract
workers, are provided equally high-quality safety and health
protection.
(4) New language on defining responsibility, assigning authority,
and affording adequate resources is intended to emphasize the need for
these management actions.
(5) Holding managers, supervisors, and employees accountable (line
accountability) is tied more clearly to meeting responsibilities. OSHA
no longer differentiates between managing accountability at general
industry and construction worksites, because in the Agency's experience
effective management does not differ significantly at different types
of worksites.
[[Page 55392]]
(6) Employee Involvement includes an additional requirement that
worksites must establish at least three different active and meaningful
ways for employee involvement. This requirement is intended to ensure
that employee involvement is an integral part of the safety and health
program. Also, worksites that choose to meet this requirement by
establishing safety and health committees are cautioned to ensure such
committees are established in a manner consistent with applicable law.
(7) OSHA has substantially rewritten the section Contract Worker
Coverage and expanded the requirements for contract workers to include:
(a) Documentation that contractors maintain effective safety and
health programs, and
(b) Documentation that participants maintain effective oversight of
their onsite contractors.
(c) Documentation of the participant's plan for working with a
contractor whose rates are above its industry average, in order to
reduce those rates to below average within 2 years.
This brings contractor requirements in line with current VPP
practice.
(8) OSHA has rewritten Safety and Health Program Evaluation in
order to make the requirements more understandable and participants'
evaluations more effective. The section now clearly states that all
elements of the program must be evaluated. Third parties who may be
employed to conduct the evaluation must have appropriate training and/
or experience. Also, this section provides that construction companies
must submit a final evaluation immediately prior to completion of
construction. Construction companies that fail to submit this
evaluation will not be allowed to submit VPP applications for other
sites. To emphasize the importance OSHA places on outreach activities,
OSHA now requires participants to report outreach efforts when they
submit their annual evaluation report.
c. In addition to revisions that create a more logical flow, Draft
Section F.5.b., Worksite Analysis, contains the following changes:
(1) The requirement for comprehensive safety and health surveys is
expanded to clarify and strengthen industrial hygiene requirements.
(2) OSHA has added a new requirement to analyze injury and illness
trends, intended to ensure that complete worksite analysis is being
performed.
(3) The Medical Program is renamed the Occupational Health Care
Program to better reflect its nature, and requirements are expanded and
moved to Draft Section F.5.c., Hazard Prevention and Control, to better
reflect the function of an occupational health care program.
d. OSHA has made the following revisions in Draft Section F.5.c.,
Hazard Prevention and Control:
(1) In order to complete the list of means for eliminating or
controlling hazards, OSHA has added administrative controls. The four
control methods are listed in their preferred order.
(2) Work Practice controls, Draft Section F.5.c.(1)(c), is expanded
to incorporate the requirement that the rules must be understood and
followed; must be incorporated in training, positive reinforcement, and
correction programs; and must be equitably enforced through
disciplinary rules.
(3) Monitoring and Maintenance, Draft Section F.5.c.(3), includes
the additional requirement to document this system.
(4) The Occupational Health Care Program (formerly the Medical
Program), Draft Section F.5.c.(4), is expanded to include the concept
of using occupational health care professionals in hazard analysis and
prevention. The expansion addresses the need to involve occupational
health professionals in a site's program.
(5) Emergency Procedures, Draft Section F.5.c.(5), now requires
that the written procedures must include provision for emergency
training drills for all shifts. With this change, a participant's
written procedures will reflect a requirement to conduct annual
practice drills that has been in effect for some time. Requiring drills
for all shifts will help ensure protection for all employees.
e. Safety and Health Training, Draft Section F.5.d., now specifies
that training must ensure that managers understand and are able to
carry out their safety and health responsibilities.
E. Changes in The Demonstration Program
Draft Section G.3. now provides for Demonstration Program
evaluations every 12 to 18 months instead of every 12 months.
F. Changes in The Merit Program
1. Qualifications for Merit, Draft Section H.2., contains the
following changes:
a. The addition of illnesses to the rates requirements. Previously,
only injury rates were considered.
b. A restriction on participation by sites with above average
rates. Such sites must have a plan to achieve Star rates requirements
within 2 years, it must be statistically possible to achieve this goal,
and the site's safety and health program must be at Star quality within
3 years.
c. The addition of a requirement to report contractor rates.
d. In the Merit Program for the construction industry, OSHA must
approve the designated geographical area from which company injury/
illness and lost workday incidence data are obtained.
These changes are designed to ensure that VPP participants are of
the highest caliber and that sites approved to Merit can realistically
achieve Star in a reasonable time period.
2. Term of Participation, Draft Section H.3., establishes a 3-year
time limit for a term in the Merit Program. It also explains the
circumstances that may lead OSHA to approve a second term of
participation.
3. Multi-Site Eligibility, Draft Section H.4., is a new section
that announces OSHA's expectation that companies with large numbers of
applicants may be responsible for bringing their worksites up to Star
quality before making application.
G. Changes in Application for VPP
1. Submission, Draft Section I.3., now requires applicants to
submit to the appropriate OSHA office the requested number of
application copies. This procedure is intended to expedite processing.
2. Acceptance of Application, Draft Section I.4., now permits OSHA
to return as unacceptable an incomplete application if 90 days have
passed since OSHA requested additional information and the applicant
has not responded. This provision eases both OSHA's and the applicant's
burden by establishing clear time frames for accepting complete
applications.
H. Changes in Pre-Approval Onsite Review
1. Purpose, Draft Section J.1., clarifies the VPP onsite review
team's non-enforcement nature.
2. Preparation, Draft Section J.2., is changed to emphasize the
importance of the VPP review team's having a back-up team leader
whenever possible.
3. Duration, Draft Section J.3., now reflects the reality that, on
average, 4 days onsite are needed for a review.
4. Scope, Draft Section J.4., is expanded because the onsite review
must reflect the added VPP criteria
[[Page 55393]]
proposed in this Federal Register Notice.
a. Document review must include the site contractor employees' OSHA
Form 200 log, baseline safety and industrial hygiene surveys, annual
safety and health program evaluations and audits, preventive
maintenance program documentation, accountability documentation, and
contractor safety and health programs.
b. Employee interviews must include interviews with contract
workers.
I. Changes in Recommendation for Program Denial
Draft Section L.1. is expanded to define a reasonable time for the
applicant to withdraw its application as ``not to exceed 30 calendar
days.''
J. Changes in Inspection Provisions
1. Programmed Inspections, Draft Section M.1., now explains OSHA's
rationale for removing a VPP participant from programmed inspection
lists. It also provides that a VPP applicant will be removed from
OSHA's programmed inspection lists no more than 75 calendar days prior
to the commencement of the scheduled pre-approval onsite review. The
need for this time limit stems from occasional delays in application
processing, i.e., the time from application submission to scheduled
onsite review. These delays, in turn, are due to the growth of interest
in VPP and increasing numbers of applications. The section also
provides that VPP worksites may choose to remain on the programmed
inspection lists.
2. Workplace complaints, fatalities and catastrophes, and other
significant events have been grouped together in Draft Section M.2.,
because all of these events mandate normal OSHA enforcement procedures.
3. The intent of Draft Section M.3. is to ensure that participants
understand they are subject to investigation by VPP personnel when
other significant accidents and events occur at their worksites,
whether or not normal enforcement procedures apply to the situation and
whether or not injuries occur. OSHA may decide that investigation is
necessary to determine if a serious deficiency exists in the safety and
health program.
K. Changes in Post-Approval Contact/Assistance
Draft Section N. is changed to clarify the continuing participation
steps a Star Program participant must take if the participant's 3-year
rate(s) move above the industry average.
L. Changes in Periodic Onsite Evaluation of Approved Worksites
1. Frequency of Star Program evaluation, Draft Section O.1.b, is
changed to reflect Star evaluation periods of 30 to 60 months.
2. Scope of Star Program evaluation, Draft Section O.1.c., is
expanded to include evaluation of the newly required contractor rates.
To ensure fairness, the section also includes a timetable for phasing
in the new data reporting requirements.
3. Measures of Effectiveness, Draft Section O.1.d., adds continuous
improvement in the safety and health program to the measures of
effectiveness. This section now more accurately reflects what has
always been expected of participants.
4. Evaluation Decisions and Recommendations, Draft Sections O.1.e.
and O.3.e, authorize the Regional Administrator to make the decision to
continue a participant in the Star or Merit program. The sections also
clarify the recommendations that a team may make after conducting an
evaluation.
5. Frequency of Demonstration Program evaluation, Draft Section
O.2.b., now gives the Agency greater scheduling flexibility by
requiring evaluations every 12 to 18 months instead of every 12 months.
6. Frequency of Merit Program evaluation, Draft Section O.3.b.,
changes the scheduling of Merit evaluations. OSHA and the participant
will agree on a schedule, with the first evaluation occurring within 24
months (and preferably 18 months) after approval. This scheduling will
give OSHA greater flexibility in using its resources when conducting
Merit evaluations.
M. Changes in Termination or Withdrawal
1. Reasons for Termination, Draft Section P.1.i., allows OSHA to
terminate a VPP worksite where evidence is presented that the trust and
cooperation among labor, management, and OSHA, upon which approval was
based, no longer exist. Recent experience has demonstrated a need for
this flexibility.
2. Termination Notification and Appeal or Withdrawal, Draft Section
P.2., establishes the site's right to submit a written appeal of OSHA's
decision to terminate.
3. Reapplication Following Termination, Draft Section P.4.,
requires a terminated site to wait 3 years before reapplying to the
VPP. This requirement clarifies that reapplication will be considered
only after the worksite has had sufficient time to reestablish an
effective safety and health program.
Draft: The Voluntary Protection Programs
A. Purpose of the Voluntary Protection Programs
OSHA has long recognized that a multifaceted approach is the best
way to accomplish all the goals of the Act. Compliance with
occupational safety and health standards, OSHA regulations, and the
general duty clause--all the requirements of the Act--is essential.
Rulemaking and enforcement alone, however, cannot replace the
understanding of work processes, materials, and hazards that comes with
employers' and employees' daily on-the-job experience and commitment to
workplace safety and health. This knowledge, combined with an ability
to evaluate and address hazards rapidly, enables employers and
employees to take responsibility for their own safety and health in
ways not available to OSHA. Further, OSHA's substantial experience with
site-based safety and health programs has shown the value of a
comprehensive, systematic approach to worker protection. It is OSHA's
policy, therefore, to promote safety and health programs tailored to
the needs of particular worksites.
The purpose of the Voluntary Protection Programs (VPP) is to
emphasize the importance of, encourage the improvement of, and
recognize excellence in employer-provided, employee-participative, and
generally site-specific occupational safety and health programs. These
programs are comprised of management systems for preventing or
controlling occupational hazards. Sites employing these systems not
only are working to remain compliant with OSHA's rules, but also are
striving to excel by using flexible and creative strategies that go
beyond the requirements to provide the best feasible protection for
their workers. In the process, these worksites serve as models for
effective safety and health programs in their industries while reducing
employee injuries and illnesses well below industry averages. Moreover,
the demonstrated workers' compensation cost reductions, reduced
employee turnover, quality improvements, and other benefits to which
VPP worksites testify are helping to convince skeptics that
productivity, quality, profitability, and safety are complementary
goals.
VPP participants enter into a new relationship with OSHA. In this
innovative public/private partnership, cooperation and trust nourish
improvements in safety and health, not just at VPP sites, but also
beyond the
[[Page 55394]]
worksite boundaries. VPP companies have frequent opportunity to provide
the Agency with input on safety and health matters. At the same time,
the recognition and status gained by their participation in VPP, and
their commitment to improving their industries and communities, enable
them to accomplish a broad range of safety and health objectives. VPP
participants mentor other worksites interested in improving their
safety and health programs; conduct safety and health training and
outreach seminars; and hold safety and health conferences that focus on
leading-edge safety and health issues. VPP participants also
participate with OSHA on VPP onsite reviews. This unique program gives
private and public sector safety and health professionals the
opportunity to exchange ideas, gain new perspectives, and grow
professionally.
Worksites in the VPP are removed from programmed inspection lists
for the duration of their participation, unless they choose to remain
on the lists. This helps OSHA to focus its inspection resources on
establishments that are less likely to meet the requirements of the OSH
Act. However, OSHA continues to investigate valid employee safety and
health complaints, fatalities and catastrophes, and other significant
events at VPP sites according to established Agency procedures.
Participation in any of the programs does not diminish existing
employer and employee responsibilities and rights under the Act. In
particular, OSHA does not intend to increase the liability of any party
at an approved VPP site. Employees or any representatives of employees
taking part in an OSHA-approved VPP safety and health program do not
assume the employer's statutory or common law responsibilities for
providing safe and healthful workplaces; nor are employees or their
representatives expected to guarantee a safe and healthful work
environment.
The programs included in the VPP are voluntary in the sense that no
employer is required to participate. Compliance with OSHA's
requirements and applicable laws remains mandatory. Initial achievement
and then continuing maintenance of the VPP requirements are conditions
of participation.
The Assistant Secretary for Occupational Safety and Health
determines approval for initial participation in the VPP, advancement
to the Star Program, all participation in Demonstration Programs, and
termination from the VPP. The OSHA Regional Administrator who has
jurisdiction over a participant determines approval for continuation in
the Star (including 1-year Conditional Star participation) and Merit
Programs.
B. Purpose of This Notice
This notice describes the criteria for admission to the Voluntary
Protection Programs (VPP); the conditions of participation,
termination, or withdrawal; and the means of reinstatement.
C. Program Description
1. General
The VPP emphasize the importance of comprehensive worksite safety
and health programs--safety and health management systems--in meeting
the goal of the Act ``to assure so far as possible every working man
and woman in the Nation safe and healthful working conditions and to
preserve our human resources. * * *'' This emphasis is demonstrated
through assistance to employers in their efforts to reach the VPP level
of excellence; through cooperation among government, labor, and
management to resolve safety and health problems; and through official
recognition of excellent safety and health programs. VPP sites are
expected to effectively protect their workers from the hazards of the
workplace through their safety and health programs. They do this by
meeting established, rigorous safety and health program management
criteria.
The VPP consist of three programs: Star, Demonstration, and Merit.
The Star Program recognizes worksites that are self-sufficient in their
ability to control hazards at the worksite. The Demonstration Program
recognizes worksites that have Star quality safety and health programs
but require demonstration and/or testing of experimental approaches
that differ from current Star requirements. The Merit Program
recognizes worksites that have good safety and health programs but must
take additional steps to reach Star quality.
2. Recognition
When OSHA approves an applicant for participation in the VPP, the
Agency recognizes that the applicant is providing, at a minimum, the
basic elements of ongoing, systematic protection of workers at the site
in accordance with rigorous VPP criteria. This protection makes general
schedule inspections unnecessary. Therefore, the site is removed from
OSHA's programmed inspection lists (unless the participant chooses not
to be removed). The VPP symbols of recognition are certificates and
plaques of approval and flags identifying the program in which the site
participates. The participant also may choose to use program logos on
such items as letterhead, shirts, and mugs.
3. Cooperative Relationship
VPP participants work cooperatively with the Agency, both in the
resolution of safety and health problems and in the promotion of
effective safety and health programs. This cooperation takes such forms
as presentations before meetings of labor, industry, and government
groups; input in OSHA rulemaking; and participation in activities
including OSHA Volunteers, mentoring, outreach, and training. OSHA
designates a contact person, usually the Regional VPP Manager, who
coordinates each approved site's contact with the Agency.
D. Eligibility
1. General
The VPP accepts applications from private sector general industry,
maritime, and construction worksites, and from federal agency worksites
subject to 29 CFR part 1960, that have implemented a safety and health
program. VPP accepts applications from owners and site managers (such
as a construction site's general contractor or construction manager)
who control site operations and have ultimate responsibility for
assuring safe and healthful working conditions at the site. VPP also
accepts applications from resident contractors at participating VPP
sites for the contractors' operations at those VPP sites. Site
management submits the application, but it must reflect the support of
site employees and, where applicable, their collective bargaining
representatives.
2. Unionized Sites
At sites with employees organized into one or more collective
bargaining units, the authorized representative for each collective
bargaining unit must either sign the application or submit a signed
statement indicating that the collective bargaining agent(s) support
VPP participation. Without such concurrence from all such authorized
agents, OSHA will not accept the application.
3. OSHA History
If an applicant has been inspected by OSHA within the 36-month
period preceding application, the inspection, abatement, and/or any
other history of interaction with OSHA must indicate good faith
attempts to improve safety and health. An applicant's history must
include no open investigations and no pending or open contested
citations at
[[Page 55395]]
the time of application, and no affirmed willful violations during
those prior 36 months.
E. Assurances
Applications for the Star, Demonstration, and Merit Programs must
be accompanied by certain assurances describing what the applicant
agrees to do if the application is approved. The applicant must assure
that:
1. The applicant will correct in a timely manner all hazards
addressed by OSHA's safety and health standards and regulations and by
Section 5(a)(1) of the Act.
2. Site employees support the VPP application.
3. VPP elements are in place, and the requirements of the elements
will be met and maintained.
4. Employees, including newly hired employees and contract
employees when they reach the site, will have the VPP explained to
them, including employee rights under the program and under the Act.
5. Hazards discovered through employee notification, self-
inspections, an OSHA onsite review, accident investigations, process
hazard reviews, annual evaluations, or any other means of report,
investigation, or analysis will be corrected in a timely manner, with
effective interim protection provided as necessary. Site deficiencies
related to compliance with OSHA requirements and identified during the
OSHA preapproval onsite review will be corrected within 90 days.
6. Employees given safety and health duties as part of the
applicant's safety and health program will be protected from
discriminatory actions resulting from their carrying out such duties,
just as section 11(c) of the Act protects employees who exercise their
rights under the Act.
7. Employees will have access to the results of self-inspections,
accident investigations, and other safety and health program data upon
request. At unionized construction sites, this requirement may be met
through employee representative access to these results.
8. The information listed below will be maintained and available
for OSHA review to determine initial and continued approval to the VPP:
a. Written safety and health program;
b. All documentation enumerated under Section J.4. of this notice;
and
c. Any agreements between management and the collective bargaining
agent(s) concerning safety and health.
9. Any data necessary to evaluate the achievement of individual
Merit or One-Year Conditional goals not listed above will be made
available to OSHA for evaluation purposes.
10. Each year by February 15, each participating site will send to
its designated OSHA VPP Manager (described in Section N.1.) the site's
injury/illness incidence and lost/restricted workday case numbers and
rates, hours worked, and estimated average employment for the past full
calendar year; a copy of the most recent annual evaluation of the
site's safety and health program; a description of worksite outreach
activities; and any success stories, e.g., reductions in workers'
compensation rates, increases in employee involvement in the program,
etc.
In addition, each participating general industry or maritime site
will send to the designated OSHA VPP Manager the site's injury/illness
incidence and lost/restricted workday case numbers and rates, hours
worked, and estimated average employment for the past full calendar
year for each applicable contractor's employees who worked 500 or more
hours in any calendar quarter at the site and who are covered under
Section F.4.a.(2).
11. Whenever significant organizational or ownership changes occur,
the site shall provide OSHA a new Statement of Commitment signed by
both management and any authorized collective bargaining agents.
12. Whenever a change occurs in the authorized collective
bargaining agent, a new signed statement shall be provided indicating
that the new representative supports VPP participation.
F. The Star Program
1. Purpose
The Star Program recognizes leaders in occupational safety and
health who are successfully protecting workers from death, injury, and
illness by implementing comprehensive and effective safety and health
programs. Star participants willingly share their experience and
expertise, and they encourage others to work toward comparable success.
2. Term of Participation
The term for participation in an approved Star Program is open-
ended so long as the participating site:
a. Continues to maintain its excellent safety and health program as
evidenced by favorable evaluation by OSHA every 30 to 60 months; and
b. Submits the annual information required, e.g., annual rates data
and program evaluation (see Section E.8.).
Note: In the construction industry, participation ends with the
completion of construction work at the site.
3. Experience
All safety and health program elements needed for program success,
as delineated in F.5. below, must be operating for a period of not less
than 12 months before Star approval.
4. Injury/Illness Performance
a. The general industry or maritime applicant at the time of
approval must meet the following criteria:
(1) For site employees--Both the 3-year injury and illness
incidence rates and the lost/restricted workday injury and illness case
rates for the most recent 3 calendar years must be below the most
recent specific industry (at the three-or four-digit level) national
averages published by BLS.
Some applicants, usually smaller worksites with limited numbers of
employees and/or hours worked, may use an alternative method for
calculating incidence rates. The alternative method allows the employer
to use the best 3 out of the most recent 4 years' injury and illness
experience.
(a) To determine whether the employer qualifies for the alternative
calculation method, do the following:
Using the most recent employment statistics (hours worked
in the most recent calendar year), calculate a hypothetical rate for
the employer assuming that the employer had two cases during the year;
Compare that hypothetical rate to the most recently
published BLS rate for the industry; and
If the hypothetical rate (based on two cases) gives the
firm a rate equal to or higher than the national average for its
industry, the following alternative calculation method can be used. (If
not, it cannot be used.)
(b) If the employer qualifies for the alternative calculation
method, the best 3 of the last 4 calendar years shall be used to
calculate the 3-year rates for the employer.
(2) For contract employees--The injury and illness and lost/
restricted workday injury and illness case rates (called the site
contractor's employee rates) for the most recent calendar year for each
applicable contractor's employees assigned to site also should be below
the most recent specific industry national averages published by BLS.
(a) Applicable contractors are those employers who have contracted
with the site to perform certain jobs and whose employees worked a
total of 500 or more hours in at least 1 calendar quarter at the
worksite.
[[Page 55396]]
(b) The industry averages used shall be determined by the Standard
Industrial Classification (SIC) Code at the three-or four-digit level
for each type of work performed.
(c) At worksites where an applicable contractor's site rates may be
above the national average for the work being performed, the site must
describe the steps it is taking to ensure the contractor's site
employees are provided effective protection. The site also must
describe how it is working with the contractor to develop a plan to
reduce those rates within 2 years to below the industry average for the
work being performed.
b. The construction applicant, at the time of approval, must meet
the following criteria:
(1) The site for which VPP application is being made must have been
in operation for at least 12 months.
(2) The applicant's combined injury and illness incidence rate and
lost/restricted workday injury and illness case rate from site
inception until time of application must include all workers of all
subcontractors and must be below the national average for the type of
construction at the site according to the most precise SIC code. The
site's SIC code is determined by the type of construction project, not
individual trades.
c. Federal agency applicants shall follow the same requirements as
general industry and maritime (see a. above), except that 3-year rates
may be calculated by fiscal year instead of calendar year.
5. Safety and Health Program Qualifications for the Star Program
a. Management Leadership and Employee Involvement. Each applicant
must be able to demonstrate top-level management leadership in the
site's safety and health program. Management systems for comprehensive
planning must address protection of worker safety and health. Employees
must be meaningfully involved in the safety and health program.
(1) Commitment to Safety and Health Protection. Authority and
responsibility for employee safety and health must be integrated with
the overall management system of the organization and must involve
employees. This commitment includes:
(a) Policy. Clearly established policies for worker safety and
health protection that have been communicated to and understood by
employees; and
(b) Goal and Objectives. Established and communicated goal(s) for
the safety and health program and results-oriented objectives for
meeting that goal, so that all members of the organization understand
the results desired and the measures planned for achieving them,
especially those factors that are applicable directly to them.
(2) Commitment to VPP Participation. Management must also clearly
demonstrate commitment to meeting and maintaining the requirements of
the VPP.
(3) Planning. Planning for safety and health must be a part of the
overall management planning process. In construction, this includes
pre-job planning and preparation for different phases of construction
as the project progresses.
(4) Written Safety and Health Program. All critical elements of a
basic systems management safety and health program must be part of the
written program. These critical elements are management leadership and
employee involvement, worksite analysis, hazard prevention and control,
and safety and health training. All aspects of the safety and health
program must be appropriate to the size of the worksite and the type of
industry. Some formal requirements, such as certain written procedures
or documentation, may be waived for small businesses where the
effectiveness of the systems has been evaluated and verified. Waivers
will be decided on a case-by-case basis.
(5) Management Leadership. Managers must provide visible leadership
in implementing the program. This must include:
(a) Establishing clear lines of communication with employees;
(b) Setting an example of safe and healthful behavior;
(c) Creating an environment that allows for reasonable employee
access to top site management;
(d) Ensuring that all workers at the site, including contract
workers, are provided equally high quality safety and health
protection;
(e) Clearly defining responsibility in writing, with no unassigned
areas. Each employee, at any level, must be able to describe his/her
responsibility for safety and health;
(f) Assigning commensurate authority to those who have
responsibility;
(g) Affording adequate resources to those who have responsibility
and authority. This includes such resources as time, training,
personnel, equipment, budget, and access to expert information,
including appropriate use of certified industrial hygienists (CIH) and
certified safety professionals (CSP) as needed, based on the risks at
the site; and
(h) Holding managers, supervisors, and non-supervisory employees
accountable for meeting their responsibilities, so that essential tasks
will be performed. In addition to clearly defining and implementing
authority and responsibility for safety and health protection,
management leadership entails evaluating managers and supervisors
annually, and operating a documented system for reinforcing good and
correcting deficient performance.
(6) Employee Involvement. The site culture must enable and
encourage employee involvement in the planning and operation of the
safety and health program and in decisions that affect employees'
safety and health. The requirement for employee participation may be
met in a variety of ways, as long as employees have at least three
active and meaningful ways to participate in safety and health problem
identification and resolution. This involvement must be in addition to
the individual right to notify appropriate managers of hazardous
conditions and practices and to have issues addressed. Examples of
acceptable employee involvement include but are not limited to the
following:
(a) Participating in ad hoc safety and health problem-solving
groups,
(b) Participating in audits and/or worksite inspections,
(c) Participating in accident and incident investigations,
(d) Developing and/or participating in employee improvement
suggestion programs,
(e) Training other employees in safety and health,
(f) Analyzing job/process hazards,
(g) Acting as safety observers,
(h) Serving on safety and health committees constituted in
conformance to the National Labor Relations Act.
(7) Contract Worker Coverage. All contractors and subcontractors,
whether in general industry, construction, or maritime, are required to
follow worksite safety and health rules and procedures applicable to
their activities while at the site.
(a) Essentially, participants are expected to require of their
contractor(s) what OSHA requires of them, an effective safety and
health program management system in place with injury and illness rates
for site contractor employees below the averages for their industries.
(b) Participants must demonstrate that they have considered the
safety and health programs and/or performance history of all
contractors during the evaluation and selection of these contractors.
(c) Participants must document that all contractors and
subcontractors operating routinely at the site maintain effective
safety and health programs and
[[Page 55397]]
comply with applicable safety and health rules and regulations.
Such documentation must describe the authority for the
oversight, coordination, and enforcement of those programs by the
applicant, and there must be documentary evidence of the exercise of
this authority at the site.
Such documentation must describe the means for prompt
elimination or control of hazards, however detected, by the applicant
in the event that contractors or individuals fail to correct or control
such hazards.
Such documentation must describe how the contractor
submits the injury/illness incidence and lost/restricted workday data
as described in F.4.a.(2) and how, if the applicable contractor's
employee rates are above the BLS averages for their industries, the
participant will work with the contractor to ensure that these rates
will be reduced to below average within 2 years.
Such documentation must describe the penalties, including
contractor correction and/or dismissal from the worksite, for willful
or repeated non-compliance by contractors, subcontractors, or
individuals.
(8) Safety and Health Program Evaluation. The applicant must have a
system for annually evaluating the operation of the safety and health
program. This system will judge success in meeting the program's goal
and objectives, and will assist those responsible to determine and
implement changes for continually improving worker safety and health
protection.
(a) The system must provide for an annual written narrative report
with recommendations for timely improvements, assignment of
responsibility for those improvements, and documentation of timely
follow-up action or the reason no action was taken.
(b) The evaluation must assess the effectiveness of all elements
described in F.5. and any other elements of the site's safety and
health program.
(c) When a participant submits its annual evaluation report to
OSHA, the site must also provide a report describing its outreach
activities, including efforts such as mentoring other worksites, making
presentations at meetings and conferences, providing input into OSHA's
rulemaking, and generally helping OSHA to carry out its mission.
(d) The evaluation may be conducted by competent corporate or site
personnel or by competent private sector third parties who are trained
and/or experienced in performing such evaluations. The evaluation
should follow any format recommended by OSHA.
(e) In construction, the evaluation must be conducted annually and
immediately prior to completion of construction. The final evaluation
is to determine what has been learned about safety and health
activities that can be used to improve the contractor's safety and
health program at other sites. If a construction company does not
provide this final evaluation, OSHA will not consider subsequent VPP
applications for other sites operated by that company.
b. Worksite Analysis. Management of safety and health programs must
begin with a thorough understanding of all hazardous situations to
which employees may be exposed and the ability to recognize and correct
all hazards as they arise. This requires:
(1) Procedures to ensure analysis of all newly acquired or altered
facilities, processes, materials, equipment, and/or phases before use
begins, to identify hazards and the means for their prevention or
control.
(2) Comprehensive safety and health surveys, at intervals
appropriate for the nature of workplace operations, which include:
(a) Identification of safety hazards accomplished by an initial
comprehensive baseline survey and then subsequent surveys as needed;
(b) Identification of health hazards and employee exposure levels
accomplished through an industrial hygiene sampling rationale and
strategy. Sampling rationale should be based on data including reviews
of work processes, material safety data sheets, employee complaints,
exposure incidents, medical records, and previous monitoring results.
The sampling strategy should include baseline and subsequent surveys
that assess employees' exposure through screening and full shift
sampling when necessary; and
(c) The use of nationally recognized procedures for all sampling,
testing, and analysis with written records of results.
(3) Routine examination and analysis of safety and health hazards
associated with individual jobs, processes, or phases and inclusion of
the results in training and hazard control programs. This may include
job hazard analysis and/or process hazard review. In construction, the
emphasis must be on special safety and health hazards of each craft and
each phase of work.
(4) A system for conducting, as appropriate, routine self-
inspections that follows written procedures or guidance and that
results in written reports of findings and tracking of hazard
elimination or control to completion.
(a) In general industry and maritime, these inspections must occur
no less frequently than monthly and must cover the whole worksite at
least quarterly;
(b) In construction, these inspections must cover the entire
worksite at least weekly.
(5) A reliable system for employees, without fear of reprisal, to
notify appropriate management personnel in writing about conditions
that appear hazardous and to receive timely and appropriate responses.
The system must include tracking of responses and tracking of hazard
elimination or control to completion.
(6) An accident/incident investigation system that includes written
procedures or guidance, with written reports of findings and hazard
elimination or control tracking to completion. Investigations are
expected to seek out root causes of the accident or event and to cover
``near miss'' incidents.
(7) A system to analyze trends through a review of injury/illness
experience and hazards identified through inspections, employee
reports, accident investigations, and/or other means, so that patterns
with common causes can be identified and the causes eliminated or
controlled.
c. Hazard Prevention and Control. Based on the results of worksite
analysis, identified hazards must be eliminated or controlled by
developing and implementing the systems enumerated beginning at (2)
below.
(1) The following hierarchy shall govern actions to eliminate or
control hazards, with (a) being the most desirable:
(a) Engineering controls are the most reliable and effective type
of controls. These are design changes that directly eliminate (ideally)
or limit the severity and/or likelihood of the hazard, e.g. reduction
in pressure/amount of hazardous material, substitution of less
hazardous material, reduction of noise produced, fail-safe design, leak
before burst, fault tolerance/redundancy, ergonomics, etc. Although not
as reliable as true engineering controls, this category also includes
protective safety devices such as guards, barriers, interlocks,
grounding and bonding systems, pressure relief valves to keep pressure
within a safe limit, etc. These items typically seek to reduce
indirectly the likelihood of the hazard. These controls are often
linked with caution and warning devices like detectors and alarms that
are either automatic (do not require a human response) or manual
(require a human response);
[[Page 55398]]
(b) Administrative controls that significantly limit daily exposure
to hazard by control or manipulation of the work schedule or manner in
which work is performed, e.g., job rotation;
(c) Work Practice controls, a type of administrative control that
includes workplace rules, safe and healthful work practices, and
procedures for specific operations. Work Practice controls modify the
manner in which an employee performs assigned work. This modification
may result in a reduction of exposure through such methods as changing
work habits, improving sanitation and hygiene practices, or making
other changes in the way the employee performs the job. These controls
must be:
Understood and followed by all affected parties;
Appropriate to the hazards of the site;
Equitably enforced through a clearly communicated written
disciplinary system that includes procedures for disciplinary action or
reorientation of managers, supervisors, and non-supervisory employees
who break or disregard safety rules, safe work practices, proper
materials handling, or emergency procedures;
Written, implemented, and updated by management as needed,
and must be used by employees; and
Incorporated in training, positive reinforcement, and
correction programs; and
(d) Personal protective equipment.
(2) A system for initiating and tracking hazard elimination or
control in a timely manner;
(3) A written system for, and ongoing documentation of, the
monitoring and maintenance of workplace equipment such as preventive
and predictive maintenance, to prevent equipment from becoming
hazardous;
(4) An occupational health care program that uses licensed health
care professionals to assess employee health status for prevention of
and early recognition and treatment of illness and injury; and that
provides, at a minimum, certified first aid and cardiopulmonary
resuscitation (CPR) providers onsite for all shifts, and physician and
emergency medical care available within a reasonable time and distance.
Occupational health care professionals should be used as appropriate to
accomplish these functions; and
(5) Procedures for response to emergencies on all shifts. These
procedures must be written and communicated to all employees, must list
requirements for personal protective equipment, first aid, medical
care, and emergency egress, and must include provisions for emergency
telephone numbers, exit routes, and training drills including, at a
minimum, annual evacuation drills.
d. Safety and Health Training. Training is necessary to reinforce
and complement management's commitment to prevent exposure to hazards.
All employees must understand the hazards to which they may be exposed
and how to prevent harm to themselves and others from such hazard
exposure. Effective training enables employees to accept and follow
established safety and health procedures. Training for safety and
health must ensure that:
(1) Managers and supervisors understand their safety and health
responsibilities (see F.5.a.) and are able to carry them out
effectively;
(2) Managers, supervisors, and non-supervisory employees (including
contract employees) are made aware of hazards, and are taught how to
recognize hazardous conditions and the signs and symptoms of workplace-
related illnesses;
(3) Managers, supervisors, and non-supervisory employees (including
contract employees) learn the safe work procedures to follow in order
to protect themselves from hazards, through training provided at the
same time they are taught to do a job and through reinforcement;
(4) Managers, supervisors, non-supervisory employees (including
contractor employees), and visitors on the site understand what to do
in emergency situations; and
(5) Where personal protective equipment is required, employees
understand that it is required, why it is required, its limitations,
how to use it, and how to maintain it; and employees use it properly.
6. Compliance with OSHA Requirements
All Star sites are expected to comply with OSHA requirements. Any
site deficiencies related to compliance that are uncovered through an
OSHA onsite review, an internal inspection, an employee report, or
other means shall be corrected promptly.
G. Demonstration Programs
1. Program Purpose and Approval
a. Demonstration Programs provide the opportunity for companies
and/or worksites to demonstrate the effectiveness of alternative
methods of achieving safety and health program excellence that could be
substituted for current Star requirements. OSHA may approve a
Demonstration Program for such purposes as:
(1) Exploring the application of VPP in industries where OSHA lacks
substantial experience;
(2) Testing alternative application and approval protocols that may
enable sites currently ineligible for VPP to qualify for participation;
and
(3) Demonstrating the feasibility of joint federal agency
oversight, including joint audits, in the area of workplace safety and
health.
b. A Demonstration Program also may be used to demonstrate the
potential for a new VPP program.
c. The basic parameters of a Demonstration Program shall be
developed at the National Office or Regional level and shall include a
clear outline of specific requirements.
d. The decision to implement a Demonstration Program shall be
approved by the Assistant Secretary before any worksite is considered
for participation.
2. Qualifications for Demonstration Programs
a. Safety and Health Program Requirements. Demonstration Program
applicants must have a site safety and health program that, at a
minimum, addresses the basic elements (management leadership and
employee involvement, worksite analysis, hazard prevention and control,
and safety and health training) described for Star in Section F.5.
above. How the applicant implements these elements may be the subject
of demonstration so long as Star quality protection is afforded to all
employees and contractors. Further, where an alternative is being
tested, the applicant may not be required to meet each of the specific
elements that comprise each basic element.
b. Injury and Illness Rates. These are identical to Star Program
rates requirements. See F.4.
c. Applicants must demonstrate to the Assistant Secretary's
satisfaction that the alternative approach shows reasonable promise of
being successful and of leading to changes in the Star Program
requirements.
3. Term of Participation
Worksites may be approved to a Demonstration Program for the period
of time agreed upon in advance of approval, but not to exceed 5 years
and subject to regular evaluation every 12 to 18 months.
4. Approval of Demonstration Program Worksite to Star
a. Approval to Star is contingent upon:
(1) Successful demonstration of the alternative aspects of the
safety and health program; and
[[Page 55399]]
(2) A decision by the Assistant Secretary that changing the
requirements of the Star Program to allow inclusion of these
alternative provisions is desirable and will result in a continuing
high level of worker protection.
b. Once a decision has been made by the Assistant Secretary to
change Star requirements, those changes will be effective on the date
they are announced to the public.
c. When the change has become effective, the Demonstration site(s)
may be approved to Star without submitting a new application or
undergoing further onsite review, provided that the approval occurs no
later than 1 year following the last evaluation under the Demonstration
Program. If more than 1 year has elapsed, an evaluation shall be
conducted prior to recommending the worksite for approval to the Star
Program.
5. Demonstration Termination
a. OSHA will terminate a Demonstration Program for the following
reasons:
(1) The Demonstration is likely to endanger workers at the approved
site(s).
(2) It is unlikely that the Demonstration will result in
participating sites' approval to the Star Program or creation of a new
Program.
(3) The Demonstration period has expired.
b. When a Demonstration Program ends, any participating sites not
approved to Star will be terminated from the VPP.
H. The Merit Program
1. Purpose
The Merit Program is aimed at employers in any industry who do not
yet meet the qualifications for the Star Program but who have
implemented a safety and health program and who want to work toward
Star Program participation. If OSHA determines that an employer has
demonstrated the commitment and possesses the resources to achieve Star
requirements within 3 years, Merit is used to set goals that, when
achieved, will qualify the site for Star participation.
2. Qualifications for Merit
a. Safety and Health Program Requirements. An eligible applicant to
the Merit Program must have a written safety and health program that
covers the essential elements described in Section F.5. for Star.
(1) The basic elements (management leadership and employee
involvement, worksite analysis, hazard prevention and control, and
safety and health training) must all be operational or, at a minimum,
in place and ready for implementation by the date of approval. For the
construction industry, each site must have in place an active program
that provides for safety and health inspections involving trained
employees before approval.
(2) The eligible applicant may not have met each of the specific
Star requirements comprising each basic element. Participation in Merit
is an opportunity for employers and their employees to work with OSHA
to improve the quality of their safety and health programs and, if
necessary, reduce their injury and illness rates to meet the
requirements for Star. The site's safety and health program must be at
Star quality within 3 years.
b. Injury and Illness Rates.
(1) For general industry and maritime, if the applicant's 3-year
injury and illness incidence and/or lost/restricted workday case rate
for the last 3 calendar years prior to approval does not meet the Star
rates requirement (F.4.a.), the applicant must have a plan to achieve
Star rates requirements within 2 years. It must be statistically
possible to achieve this goal.
For each applicable contractor working at the site (for definition
see F.4.a.(2)(a)), if one or both rates are above the national average,
the site must demonstrate what action will be taken to reduce the
rate(s) so that within 2 years they are below the applicable contractor
industry average(s) for the work being performed at the site.
(2) For construction, if the injury and illness rates for the
applicant site are not below the industry averages as required for
Star, the applicant company must demonstrate that the company's 3-year
injury and illness rates are below the most recently published BLS
national average for the industry (at the three-digit level). The
injury and illness incidence rate and the lost/restricted workday case
rate must each be calculated over the last 3 complete calendar years.
The rate must include all the applicant's employees who are actually
employed at construction sites in that SIC. The applicant may use
nationwide employment or may designate, with OSHA approval, an
appropriate geographical area that includes the site for which
application is made.
c. Goals/Annual Evaluation. In consultation with the applicant,
OSHA will set goals to bring Merit sites up to Star level. Site
deficiencies related to compliance with OSHA rules will be listed as
90-day items and not included in longer-term Merit goals. How a site is
working toward or has achieved its Merit goals must be discussed in the
site's annual evaluation of its safety and health program (Section
F.5.a.(12)).
3. Term of Participation
Worksites will be approved to the Merit Program for a period of
time agreed upon in advance of approval but not to exceed 3 years. The
term will depend upon how long it is expected to take the applicant to
accomplish the goals for Star participation. Participation is canceled
at the end of the term unless approval for a second term is recommended
and is approved by the Assistant Secretary. Approval for a second term
will be recommended only when unanticipated unique circumstances slow
the participant's progress toward accomplishing the goals.
4. Multi-Site Eligibility
OSHA expects that companies having many sites applying to the VPP
will be able to learn from the experience of their first few approved
sites and, therefore, will be able to bring their remaining sites to
Star quality before submitting VPP applications. If OSHA determines
that any such company has the resources to develop Star quality
worksites, OSHA, at its discretion, may limit the number of Merit sites
approved in the VPP from that company. In situations where this limit
has been imposed and reached, and where a VPP team determines that an
additional site is not at Star quality, the team shall give the site a
list of goals to be met and documented and a minimum time frame of at
least 1 year before a team will return to the site for further review.
I. Application for VPP
1. Instructions
OSHA will prepare, keep current, and make available to all
interested parties application guidelines that explain the information
to be submitted for OSHA review.
2. Content
a. Eligible applicants are required to provide all information
described in the most current version of the relevant application
instructions.
b. Amendments to submitted applications shall be requested when the
application information is insufficient to determine eligibility for
onsite review.
c. Materials needed to document the safety and health program that
may involve trade secrets or employee privacy interests must not be
included in the application. Instead, such
[[Page 55400]]
materials must be described in the application and provided only for
viewing at the site during an application assistance visit and/or
during the Pre-Approval Onsite Review.
3. Submission
The number of application copies requested by OSHA shall be
submitted to the appropriate OSHA Regional Office or, in the case of
some Demonstration Program applications, to OSHA's Directorate of
Federal-State Operations in Washington, DC. Normally, at least two
copies will be required, but the number requested may vary depending
upon circumstances particular to the program and/or the applicant.
4. Acceptance of Application
a. OSHA conducts an initial review of each application to determine
whether it meets VPP criteria that can be substantiated by the site's
written safety and health program and supporting documentation. The
applicant shall be given the opportunity to improve its application by
submitting amended or additional materials.
b. If the application is incomplete, and if after notification the
applicant has not responded within 90 days to OSHA's request for more
information, the Agency will consider the application unacceptable and
will return it to the site. The site may resubmit the application when
it is complete.
5. Withdrawal of Application
a. Any applicant may withdraw a submitted application at any time.
When the applicant notifies OSHA of its desire to withdraw, the
original application(s) will be returned to the applicant.
b. OSHA may keep the assigned VPP Manager's marked working copy of
the application for a year before discarding it, in order to respond
knowledgeably should the applicant raise questions concerning the
handling of the application. Once an application has been withdrawn, a
new submission of an application is required to be considered for VPP
approval.
6. Public Access
The following documents shall be maintained by OSHA for public
access beginning on the day the site attains VPP approval and
continuing for so long as the site remains in VPP:
a. In the National Office--Site information and the general
description of the site's safety and health program from the
application; pre-approval report and subsequent evaluation reports
prepared by OSHA; the Regional Administrator's letter of
recommendation; transmittal memoranda to Assistant Secretary; and the
Assistant Secretary's and Regional Administrator's approval letters.
b. In the Regional Office--Complete VPP application and amendments;
pre-approval report and subsequent evaluation reports; the Regional
Administrator's letter of recommendation; Regional Administrator
transmittal memoranda to Assistant Secretary via the Director of
Federal-State Operations; the Assistant Secretary's approval letters;
the memorandum to the appropriate Area Director removing the approved
site from the general inspection list; and related correspondence.
J. Pre-Approval Onsite Review
1. Purpose. The pre-approval review, which OSHA conducts in a non-
enforcement capacity, is a review of the site's safety and health
program. It is conducted to:
a. Verify the information supplied in the application concerning
qualification for the VPP;
b. Identify the strengths and weaknesses of the site's safety and
health program;
c. Determine the adequacy of the site's safety and health program
to address the hazards of the site and to ensure compliance with all
OSHA requirements; and
d. Obtain information to assist the Assistant Secretary in making
the VPP approval decision.
2. Preparation. The review shall be arranged at the mutual
convenience of OSHA and the applicant. The review team shall consist of
a team leader; a back-up team leader (whenever possible); and health,
safety, and other specialists as required by the size of the site and
the complexity of its operations.
3. Duration. The time required for the pre-approval onsite review
will depend upon the size of the site and the complexity of its
operations. Pre-approval reviews usually average 4 days onsite, but may
be shorter or longer based on the decision of the Regional
Administrator or Regional VPP Manager.
4. Scope. All pre-approval onsite reviews follow a three-pronged
strategy that assesses a site's safety and health program by means of
document review, site walkthrough, and employee interviews.
The onsite review shall include a review of injury and illness
records, recalculation and verification of the injury/illness and
incidence rates submitted with the application, verification that the
safety and health program described in the application has been
implemented effectively, a general assessment of safety and health
conditions to determine if the safety and health program adequately
protects workers from the hazards at the site, and verification of
compliance with OSHA and VPP requirements.
The review shall include random formal and informal interviews with
relevant individuals (such as members of any safety and health
committees, management personnel, randomly selected non-supervisory
employees, and contract workers).
Onsite document review shall entail examination of the following
records (or samples) if they exist and are relevant to the application
or to the safety and health program:
a. Written safety and health program;
b. Management statement of commitment to safety and health;
c. The OSHA Form 200 log for the site and for all site contractor
employees who are required to report;
d. Safety and health manual(s);
e. Safety rules, emergency procedures, and examples of safe work
procedures;
f. The system for enforcing safety rules;
g. Reports from employees of safety and health problems and
documentation of management's response;
h. Self-inspection procedures, reports, and correction tracking;
i. Accident investigation reports and analyses;
j. Safety and health committee minutes;
k. Employee orientation and safety training programs and attendance
records;
l. Baseline safety and industrial hygiene exposure assessments and
updates;
m. Industrial hygiene monitoring records, results, exposure
calculations, analyses and summary reports;
n. Annual safety and health program evaluations and site and/or
corporate audits (where site audits are not comprehensive) necessary to
establish that VPP requirements are being met (trade secret concerns
will be accommodated to the extent possible), including the documented
follow-up activities, for at least the last 3 years;
o. Preventive maintenance program and records;
p. Accountability and responsibility documentation, e.g.,
performance standards and appraisals;
q. Contractor safety and health program(s);
r. Occupational health care programs and records;
[[Page 55401]]
s. Available resources devoted to safety and health;
t. Hazard and process analyses;
u. Process Safety Management documentation, if applicable;
v. Employee involvement activities; and
w. Other records that provide relevant documentation of VPP
qualifications.
K. Recommendation for Program Approval
1. Deferred Approval
If the pre-approval review determines that the applicant needs to
take steps to meet one or more program requirements or to come into
compliance with OSHA rules, the applicant will be given reasonable time
(up to 90 days) before a recommendation for VPP approval is made to the
Assistant Secretary. When necessary, an onsite visit shall be made to
verify the actions taken after the pre-approval onsite review visit.
2. Approval
If, in the opinion of the OSHA pre-approval onsite review team, the
applicant has met the qualifications for participation in a VPP, the
team's recommendation shall be made to the Regional Administrator, who,
on concurrence, shall recommend approval to the Director of Federal-
State Operations (FSO). The Director of Federal-State Operations shall
review the pre-approval report for compliance with the program criteria
and consistent application of the qualifications requirements and, on
concurrence, shall forward the recommendation to the Assistant
Secretary to approve participation. Approval shall occur on the day
that the Assistant Secretary signs a letter informing the applicant of
approval.
L. Recommendation for Program Denial
1. If OSHA determines that the applicant does not meet the
requirements for participation in one of the VPP, the Agency shall
allow reasonable time (not to exceed 30 calendar days) for the
applicant to withdraw its application before the Regional Administrator
makes a denial recommendation to the Assistant Secretary.
2. If the Assistant Secretary accepts the recommendation to deny
approval, the denial will occur as of the date the Assistant Secretary
signs a letter informing the applicant of the decision.
3. An applicant may appeal to the Assistant Secretary a finding by
the OSHA pre-approval team that requirements have not been met. The
Director of Federal-State Operations shall forward the appeal to the
Assistant Secretary, along with the team's recommendation of denial and
the FSO Director's own recommendation.
4. Should the Assistant Secretary for any reason reject the
recommendation to approve made by the Director of FSO and/or the
Regional Administrator, a letter from the Assistant Secretary denying
approval and explaining the rejection will be sent to the applicant.
The denial will occur as of the date of the letter.
M. Inspection/Investigation Provisions
1. Programmed Inspections
Participating worksites, unless they choose otherwise, shall be
removed from OSHA's programmed inspection lists, including any lists of
targeted sites for the duration of approved participation in the VPP.
The applicant worksite shall be removed from the programmed inspection
lists no more than 75 calendar days prior to the commencement of its
scheduled pre-approval onsite review. The site shall remain off those
lists until official denial of the application, applicant withdrawal of
its application, or, if the applicant is approved to the VPP,
subsequent cessation of active participation in the VPP.
2. Unprogrammed Inspections
a. Workplace complaints to OSHA, all fatalities and catastrophes,
and other significant events shall be handled by enforcement personnel
in accordance with normal OSHA enforcement procedures.
b. The history of the VPP demonstrates that safety and health
problems discovered during contact with worksites normally are resolved
cooperatively. Nevertheless, OSHA must reserve the right, where
employees' safety and health are seriously endangered and site
management refuses to correct the situation, to refer the situation to
the Assistant Secretary for review and enforcement action. The employer
shall be informed that a referral will be made to the Assistant
Secretary and that enforcement action may result.
3. Additional VPP Investigations
a. Following significant events, e.g., fatalities, chemical spills
or leaks, or other accidents, OSHA may choose to use VPP personnel to
conduct an onsite review to determine a participating site's continued
eligibility for VPP.
b. OSHA also may choose to investigate other significant accidents
or events that come to its attention and that are not required to be
handled with normal OSHA enforcement procedures, whether or not injury/
illness is involved. OSHA will use VPP personnel to determine whether
the accident or incident reflects a serious deficiency in the site's
safety and health program.
N. Post-Approval Contact/Assistance
1. OSHA Contact Person
The Contact Person for each VPP worksite shall be the appropriate
Regional VPP Manager or his/her designee. This person shall be
available to assist the participant, as needed.
2. Assistance
a. In some cases, such as in a Demonstration Program, at
construction sites, or when needed for the Merit Program, an onsite
assistance visit may be scheduled, e.g., to respond to employer
technical inquiries or to ensure the efficacy of a Demonstration.
b. Whenever significant changes in ownership or organizational
structure occur, or the authorized collective bargaining agent changes,
OSHA may make an onsite assistance visit if needed to determine the
impact of the changes on VPP participation. In the event of such
changes, the appropriate Regional Administrator must be notified of the
change, and a new signed Statement of Commitment shall be required. The
Statement must be signed by management and appropriate bargaining
representatives.
c. Whenever the 3-year injury and illness or lost/restricted
workday rates of a Star Program participant exceed the latest national
average published by BLS, at the discretion of the Regional
Administrator, the participant may be required to develop an agreed
upon 2-year rate reduction plan. If appropriate, OSHA may make an
onsite assistance visit to help the site develop the plan.
O. Periodic Onsite Evaluation of Approved Worksites
1. The Star Program
a. Purpose. Onsite evaluations of Star participants are intended
to:
(1) Determine continued qualification for the Star Program;
(2) Document results of program participation in terms of the
evaluation criteria and other noteworthy aspects of the site's safety
and health program; and
(3) Identify any problems that have the potential to adversely
affect continued Star Program qualification and determine appropriate
follow-up actions.
b. Frequency. The first post-approval evaluation shall be within 30
to 42 months of the initial Star approval or, in the case of a
Demonstration Program site
[[Page 55402]]
that has been approved to Star, within 30 to 42 months of the last
Demonstration evaluation. Subsequently, all Star participants shall be
evaluated at no greater than 60-month intervals. (The identification of
potentially serious safety and health risks may create the need for
more frequent evaluations.)
c. Scope. OSHA's evaluation of Star Program participants shall
consist mainly of an onsite visit similar in duration and scope to the
pre-approval program review described in J.3-4. OSHA shall review the
documentation of program implementation since pre-approval review or
since the previous evaluation. The evaluation shall include a review of
injury and illness incidence and lost/restricted workday case rates for
the site and for its applicable contractor employees as described in
F.4. The rates reported shall be for the latest 3 complete calendar
years. The report requirements for applicable contractor rates will be
phased in as follows:
(1) In 2000, contractor data for calendar year 1999;
(2) In 2001, contractor data for calendar years 1999 and 2000;
(3) Thereafter, data for the most recent 3 calendar years.
d. Measures of Effectiveness. OSHA shall use the following factors
in the evaluation of Star Program participants:
(1) Continued compliance with the program requirements and
continuous improvement in the safety and health program;
(2) Satisfaction and continuing demonstrated commitment of
employees and management;
(3) Nature and validity of any complaints received by OSHA;
(4) Nature and resolution of problems that may have come to OSHA's
attention since approval or the last evaluation; and
(5) The effectiveness of employee participation programs.
e. Evaluation Decisions and Recommendations. The Regional
Administrator may make one of the following decisions/recommendations
following a Star evaluation visit:
(1) Decision to continue participation in the Star Program;
(2) Decision to allow a 1-year conditional participation in the
Star Program. The VPP onsite review team may recommend this alternative
if it finds that the site has allowed one or more program elements to
slip below Star quality. The site must return its safety and health
program to Star quality within 90 calendar days of the evaluation visit
and must demonstrate a commitment to maintain that level of quality. A
VPP onsite review team shall return in 1 year to determine if the
site's safety and health program remains at Star quality. If Star
quality has been maintained, the team shall recommend the site be re-
approved to the Star Program; or
(3) Termination. After considering the recommendation of the VPP
onsite review team, the Regional Administrator may recommend to the
Assistant Secretary that a site be terminated if the site has been
found to have significantly failed to maintain its safety and health
program at Star quality.
2. The Demonstration Program
a. Purpose of Evaluation. Onsite Demonstration evaluations are
intended to:
(1) Determine continued qualification for the Demonstration
Program;
(2) Document results of program participation in terms of the
evaluation criteria and other noteworthy aspects of the site's safety
and health program;
(3) Ensure that the demonstration aspects of the program continue
to be effective and to protect employees; and
(4) Identify any problems that have the potential to adversely
affect continued Demonstration Program qualification and determine
appropriate follow-up actions.
b. Frequency. Demonstration Program participants shall be evaluated
every 12 to 18 months.
c. Scope. Identical to Star Program evaluations; see O.1.c. above.
d. Measures of Effectiveness. A Demonstration Program evaluation
shall assess the effectiveness of the alternate criteria being
demonstrated. It also shall consider all factors used to measure the
effectiveness of Star Program participants. See O.1.d. above.
e. Evaluation Recommendations and Decisions. The Regional
Administrator may make one of the following recommendations to the
Assistant Secretary following a Demonstration evaluation visit. The
Assistant Secretary will then decide:
(1) Continued participation in the Demonstration Program;
(2) Changes in the Star requirements to include the aspects being
demonstrated because they provide effective Star quality safety and
health protection; or
(3) Termination because either the Demonstration aspects do not
provide Star quality protection or the site has significantly failed to
maintain the remainder of its safety and health program at Star
quality.
3. The Merit Program
a. Purpose of Evaluation. Onsite Merit evaluations are intended to:
(1) Determine continued qualification for the Merit Program, or
determine whether the applicant may be approved for the Star Program;
(2) Determine whether adequate progress has been made toward the
agreed-upon Merit goals;
(3) Identify any problems in the safety and health program or its
implementation that need resolution in order to continue qualification
or meet agreed-upon goals;
(4) Document program improvements and/or improved results; and
(5) Provide advice and suggestions for needed improvements.
b. Frequency. The first evaluation of a Merit participant shall be
conducted within 24 months (18 months is recommended) of approval. The
site may request an earlier evaluation if it believes it has met Star
Program qualifications.
c. Scope. OSHA's evaluation of Merit Program participants shall
consist mainly of an onsite visit similar in duration and scope to the
pre-approval program review described in J.3-4. OSHA shall review
documentation of program implementation since the pre-approval review
or the previous evaluation. The evaluation shall include a review of
injury and illness incidence and lost/restricted workday case rates for
the site and for its applicable contractor employees as described in
E.4.
d. Measures of Effectiveness. The following factors shall be
measured in the evaluation of Merit Programs:
(1) Continued adequacy of the safety and health program to address
the potential hazards of the workplace;
(2) Comparison of employer and contractor rates to the industry
average;
(3) Satisfaction and continuing demonstrated commitment of
employees and management;
(4) Nature and validity of any complaints received by OSHA;
(5) Resolution of problems that have come to OSHA's attention;
(6) Effectiveness of the employee participation program; and
(7) Progress made toward goals specified in the pre-approval or
previous evaluation report.
e. Evaluation Decisions and Recommendations. The Regional
Administrator may make one of the following decisions/recommendations
following a Merit evaluation visit:
(1) Decision for continued Merit participation;
(2) Recommendation for advancement to the Star Program; or
(3) Recommendation for termination.
[[Page 55403]]
P. Termination or Withdrawal
1. Reasons for Termination.
A site will be terminated from the VPP when:
a. Participating site management, or the duly authorized collective
bargaining agent, where applicable, withdraws support for VPP
participation.
b. A site fails to maintain its safety and health program in
accordance with the program requirements.
c. No significant progress has been made toward achieving the
established Merit goals or 1-year Star Conditional goals.
d. The Merit term of approval has expired, and no recommendation
has been made for a second term.
e. Construction work at a construction industry site has been
completed.
f. The sale of a VPP site to another company or a management change
has significantly weakened the safety and health program.
g. Resident contractor participation is no longer possible because
the host site no longer participates in VPP.
h. OSHA terminates a Demonstration Program for just cause.
i. The Regional Administrator presents written evidence to the
Assistant Secretary that the essential trust and cooperation among
labor, management, and OSHA no longer exist, and therefore recommends
termination, and the Assistant Secretary concurs.
2. Termination Notification and Appeal or Withdrawal
Under most circumstances, OSHA shall provide the participant and
bargaining unit representatives 30 days' notice of intent to terminate
a site's participation in the VPP. During the 30-day period, the
participant is entitled to appeal in writing to the Assistant Secretary
and to provide reasons why it believes the site should not be removed
from the VPP.
OSHA will not provide 30 days' notice when:
a. Other terms for termination were agreed upon before approval;
b. A set period for approval is expiring; or
c. Construction has been completed at a participating construction
site.
3. Withdrawal of a Participating Site. Upon receipt of an OSHA
notice of intent to terminate, or for any reason, a participant may
withdraw from the VPP by submitting written notification to the
appropriate Regional Administrator.
4. Reapplication Following Termination. OSHA will not consider the
reapplication of a terminated site for a period of 3 years from the
date of termination.
Q. Reinstatement
Reinstatement requires reapplication.
Signed at Washington, DC, this 4th day of October, 1999.
Charles N. Jeffress,
Assistant Secretary for Occupational Safety and Health.
[FR Doc. 99-26558 Filed 10-8-99; 8:45 am]
BILLING CODE 4510-26-P
