| WISHA Interim Operations Memorandum #98-6-A | ||
Washington Department of Labor and Industries
#98-6-A
Targeting WISHA Activities (General)
Approved:
Michael Wood, Senior Program Manage
Policy & Technical Services
Date Issued:
June 1, 1998
Background
Most Washington employers are subject to Title 49.17 RCW, the Washington Industrial Safety and Health Act (WISHA). RCW 49.17.050(6) specifically requires the department to "provide for the frequency, method, and manner of the making of inspections of work places without advance notice." WAC 296-27-16026 specifically provides for inspections of general industry using either a "general scheduling system" or a "special emphasis targeting system." These provisions are distinct from those related to "high hazard" industries, which include construction, logging, seasonal agriculture, maritime, and electrical utilities and communications.
For a number of years, the primary source of WISHA inspection selection has been the Safety and Health Information Management System (SHIMS), which provides for the creation of lists based on industrial classification and employer-specific workers compensation data. In isolated instances (for example, asbestos targeting), other targeting protocols have been developed for industries or employers whose activities do not readily lend themselves to targeting via SHIMS.
The WISHA Performance Agreement with the federal Occupational Safety and Health Administration (OSHA), signed December 4, 1997, requires certain changes in WISHAs overall targeting strategy. Among these are stricter adherence to targeting protocols and closer coordination between enforcement and consultation targeting efforts. The Performance Agreement relies upon three primary targeting protocols, described in the agreement as Lists 1, 2 and 3.
"List 1" refers to the WISHA 200 list (see WIM #98-6-C).
"List 2" describes hygiene targeting. List 2 itself begins with a list of four-digit SICs of employers with high numbers of serious hygiene violations cited, based on OSHA statistics. Employers reporting fewer than 20,000 worker hours annually are excluded, while employers who have received a comprehensive hygiene inspection or a full service WISHA hygiene consultation within the previous 12 months are assigned a lower priority (and therefore will not be displayed on the computerized list). The remaining employers are ranked by the adjusted claims rate. The "List 2" targeting protocol also includes existing approaches to target asbestos inspections, as well as statewide emphases on silica and lead in construction, which will be described in separate documents.
"List 3" describes safety targeting. List 3 itself begins by listing the most hazardous industries (using four-digit SICs, supplemented by selected industrial insurance risk classifications). The list excludes employers reporting fewer than 10,000 worker hours annually, as well as all employer accounts with a calculated experience factor below .9000. It also excludes any employers that have not reported at least one non-musculoskeletal claim. The remaining employers are then ranked using the adjusted claims rate (with employers who have received a comprehensive safety inspection or a full-service safety consultation within the previous 12 months assigned a lower priority and therefore not displayed on the computerized list). The "List 3" approach also incorporates high-hazard industry inspections, as described by WIMs #98-6-D, #98-6-E, #98-6-F, #98-6-G, and #98-6-H.
Based on a series of meetings and other conversations with regional staff since the Performance Agreement and its supporting policies were implemented, several revisions are being made to this and other policies related to programmed inspections. These revisions also incorporate comments made by federal OSHA in response to the previous policies.
This interim memorandum replaces and rescinds WISHA Interim Operations Memorandum #98-1-A. It provides guidance to WISHA staff regarding programmed inspections and targeted consultations and will remain in effect until its substance can be incorporated in more formal policy documents (or until it is replaced by another interim document).
Policy
1. WISHA regional supervisors are responsible for assigning and coordinating WISHA enforcement and consultation activities within the region.
Note: This responsibility remains with the supervisor even if he or she delegates one or more activities related to scheduling and/or assignments.
a. WISHA compliance and consultation supervisors will work from the same lists in assigning programmed inspections and marketing consultation services (see WIM 98-6-B).
b. WISHA activities will also be coordinated with Risk Management staff on a regional basis (see WIM 98-6-B).
c. WISHA compliance and consultation supervisors are expected to coordinate with other regions when assigning inspections to large statewide employers to avoid unplanned and uncoordinated levels of simultaneous activity.
d. WISHA compliance supervisors must not assign more than one site of a fixed industry employer operating in their region for a targeted health inspection and one site for a targeted safety inspection unless inspection results or other factors clearly document the need for a heightened enforcement presence (this restriction does not apply to employers found on the WISHA 200 list, handled in accordance with WIM 98-6-C).
Note: The previous limitation applies only to the extent that the sites involved are engaged in substantially similar activities. It should not be read to restrict a supervisor from assigning inspections of distinct operations simply because they share a single employer. For example, the restriction would apply to two restaurants owned by a single employer. But it would not apply to a bakery or commercial food service owned by the same employer.
2. With the exception of those inspections addressed in #3 below or that are the result of approved local emphasis programs (see WIM #98-6-I), WISHA compliance supervisors must assign programmed inspections only to targeted worksites of targeted employers (as reflected by highlighting on the SHIMS list).
a. Inspections of other-than-targeted worksites of the same employer must be assigned and reported according to non-programmed inspection guidance found in the WISHA Compliance Manual.
b. When an inspector conducts an assigned, programmed inspection from one of the "target lists," he or she must record the following information on the appropriate IMIS form:
Box #24: "Planned"
Box #25: Name of target list (for example, "WASAFETY," "WAHEALTH," or "WISHA200")
3. Inspections within "high-hazard" industries (construction, logging, seasonal agriculture, maritime, and electrical utilities & communications) or involving asbestos projects are to be considered programmed inspections unless the inspection is a fatality/catastrophe investigation or it is conducted in response to a specific complaint or referral.
a. When an inspector conducts a programmed inspection within a "high-hazard" industry and the employer appears on the appropriate target list, the appropriate assignment must be made and the inspector must record the information on the IMIS form as in 2.b above.
b. If an inspector conducts an inspection in a "high-hazard" industry and the employer does not appear on a target list, a non-targeted work assignment must be made (coded "U" for electrical utilities & communication or "O" for construction, logging, agriculture or maritime). Upon completing the inspection, the inspector must complete the IMIS form as follows:
Box #24: "Planned"
Box #25: "CONSTR," "MD," "AGRI," "EUC," "LOG," or "ASBESTOS" (depending on the particular high-hazard industry or activity involved)
4. With the exception of construction inspections conducted as focused inspections, programmed inspections are expected to be "comprehensive" health or safety inspections of the particular plant or operation.
5. When using SHIMS lists, WISHA compliance supervisors are expected to work from the top of the list to the bottom (allowing, of course, for minor variations due to geography and the efficient use of inspectors time but such geographic considerations do not justify significant delays in inspecting a particular employer on the SHIMS list).
a. WISHA supervisors may choose to assign a lower priority to an employer on the list and therefore not schedule an inspection only if one of the following criteria are met (supervisors are expected to document any such decision on SHIMS using the available codes):
i. The establishment has received a comprehensive enforcement or consultation visit within the same discipline (hygiene or safety) within the previous 12 months (in such cases the employer must be assigned a lower priority and therefore not be scheduled for immediate inspection);
NOTE: The above provision does not preclude follow-up enforcement activity resulting from a previous enforcement visit or from a consultation visit where serious hazards have not been abated as required by the consultant (see WISHA Consultation Manual for further guidance).
ii. The establishment has received a comprehensive enforcement or consultation visit within the same discipline (hygiene or safety) within the previous 13 to 24 months and the supervisors documented assessment (reflected on SHIMS using the available codes) suggests that a lower priority should be assigned. In making this assessment, the supervisor should consider factors such as the following:
· Whether previous inspections or consultations (especially comprehensive visits) have identified serious violations;
· Whether previous visits by the other discipline (safety or hygiene) have identified a pattern of violations;
· Whether there are known to have been changes in ownership or management that might affect the employers previously demonstrated commitment to workplace safety and health;
· Whether the employers loss history reflects a positive or negative trend; and
· Other factors based on local knowledge that relate to the likelihood of identifying serious safety or health hazards.
iii. Similar establishments owned and operated by the same employer have received comprehensive inspections or consultations within the same discipline (hygiene or safety) during the previous 12 months and the supervisors documented assessment (reflected on SHIMS) suggests that a lower priority should be assigned. In making this assessment, the supervisor should consider factors such as the following:
· Whether previous inspections or consultations (especially comprehensive visits) at that location have identified serious violations;
· Whether previous visits by the other discipline (safety or hygiene) at that location have identified a pattern of violations;
· Whether there are known to have been changes in location management that might affect the employers previously demonstrated commitment to workplace safety and health;
· Whether the employers management approach is highly centralized or decentralized (to determine the applicability of experience from other sites to the site being considered);
· Other factors based on local knowledge that relate to the likelihood of identifying serious safety or health hazards at the particular location.
iv. Similar activities by the same employer are the focus of current enforcement or consultation activity in other regions and the supervisor determines that additional enforcement activity would be inappropriate (see 1.c above).
b. WISHA compliance supervisors may delay enforcement visits to targeted employers in order to allow WISHA consultation to encourage the employer to take advantage of consultation services (see WIM 98-6-B).
c. WISHA compliance inspections must be assigned and conducted without regard to non-WISHA activity by L&I staff. Employers shall not be assigned a lower priority in relation to mandatory or programmed inspections based on such activity. However, regional management and supervisors may choose to alter the scheduling of visits to avoid obvious conflicts (for example, the arrival of a WISHA inspector during or immediately before or after a Risk Management visit or an industrial insurance audit such activity is generally documented on the RMES screen in LINIIS).
Note: This does not preclude Risk Management coordination with WISHA Consultation, nor does it preclude Risk Management from participating in discussions about appropriate WISHA consultation and/or enforcement activity in relation to targeted employers. But if an employer takes advantage of Risk Management services without also accepting a WISHA consultation, the employer remains at the same place on the WISHA targeting lists.
d. WISHA compliance supervisors may delay enforcement visits to targeted employers in order to avoid conflict between hygiene and safety inspection activities (although coordinated inspections in such cases are preferred). However, inspections by the other discipline (hygiene or safety) are not a basis for assigning a lower priority to a targeted employers and any delay should be limited to that necessary to avoid unnecessary conflict.
6. Employers on the WISHA 200 list (see WIM 98-6-C) who also appear on another target list are expected to be handled according to the WISHA 200 protocol and therefore should not be assigned for inspection in the absence of a WISHA 200 plan.
7. Information related to ongoing or current inspection or consultation activity is confidential, and WISHA and non-WISHA L&I staff with access to such information via SHIMS must be made aware of and maintain that confidentiality.