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					                                                                                                                          Iowa
                                                                      FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                                Documentation
                                                                    State Response / Corrective                                                                                                                              Status (to be tracked
Rec#            Findings                 Recommendation                                                 Interim Steps with Due Dates           Required with Due         Outcome Measure             Completion Date
                                                                              Action                                                                                                                                        and updated by Region)
                                                                                                                                                     Dates


       Iowa periodically sees a      Review the previous ten        Iowa OSHA will collate Iowa        The study will be included in the     The study data (column Reduction in fatalities       The study data will be    Subject to further Federal
       reduction in fatalities but   (10) years of fatality data    fatality data from Bureau of       quarterly meetings with the           D) will be available for                             completed by March 31, review and monitoring.
       the                           and                            Labor Statistic (BLS), Iowa        Federal OSHA Area Office and          review at each quarterly                             2011 and implemented
       average number of             compare this to the fatality   OSHA Strategic Planning and        reviewed with the Area Director       meeting.                                             immediately there after.
       fatalities for the past       rates for construction and     Federal OSHA fatality analysis     at each quarterly meeting for FY                                                           The program in-so-far as
       eleven (11)                   general industry. After the    studies and will develop a         2011 in an effort to review and                                                            this E-Fame CAP will be
       years is twenty (20).         evaluation, develop            table that lists findings. We      discuss its effectiveness                                                                  completed at the end of
       Seven (7) of eleven (11)      enforcement and                will then compare findings to                                                                                                 this fiscal year
       years                         compliance assistance          determine if there are trends in                                                                                              (September 30, 2011)
 1     (64%) have experienced        programs to target             fatal hazards in Iowa’s work-                                                                                                 and if found to be
       more than twenty (20)         industries or hazards          places and then develop new                                                                                                   successful will continue
       fatalities. Beginning in FY   associated with the            or continue existing Iowa                                                                                                     there after under its own
       2003 every year               fatalities which               OSHA targeting programs that                                                                                                  internal process.
       experienced more than 20      have occurred during the       address identified fatal
       workplace fatalities.         previous ten (10) years.       workplace hazards.




       Iowa OSHA did not ensure      Review with employees,         Iowa will develop a Complaint      Not Applicable, the process is   Not Applicable, no            To ensure all phone fax     30-Jan-11                 Subject to further Federal
       that adequate abatement       who review abatements for      and Referral Processing            being modified and corrective    documentation is              interventions are tracked                             review and monitoring.
       was received for all phone    phone                          tracking sheet which will          actions are being taken and will required for this event.      for adequate abatement
       and fax investigations.       and fax complaints, the        accompany each phone and           be in place by January 30, 2011.                               and closure
 2                                   FOM and what is                fax intervention and retrain the
                                     considered                     single duty officer in the FOM
                                     adequate abatement.            and the abatement process.


       The IMMLANG policy is         Review the IMMLANG             Iowa OSHA PSE2 supervisors         Not Applicable at this time. No       Training in the          Improved accuracy in          30-Dec-10               Subject to further Federal
       not consistently followed.    policy with all employees      have reviewed the IMMLANG          inspection activities have            IMMLANG coding           reports that track fatalities                         review and monitoring.
                                     and ensure that                policy and become more             occurred during this fiscal year in   requirements will be     and catastrophes involving
                                     information is entered into    diligent in reviewing the OSHA     which IMMLANG coding is               conducted and recorded   Hispanic workers.
                                     the IMIS system.               1s for accuracy. Iowa OSHA         required.                             by December 30, 2010.
                                                                    administrative support staff
                                                                    shall be trained to edit OSHA-
                                                                    1 for coding and will inform
 3                                                                  supervisors of potential
                                                                    missing items. Iowa OSHA
                                                                    will also include refresher
                                                                    training for all compliance
                                                                    officers in the IMMLANG
                                                                    policy by December 30, 2010.




           Final FY2009 CAP                                                                                                                                                                                                      Page 1 of 8
                                                                                                                       Iowa
                                                                     FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                            Documentation
                                                                   State Response / Corrective                                                                                                                        Status (to be tracked
Rec#            Findings                 Recommendation                                              Interim Steps with Due Dates         Required with Due             Outcome Measure            Completion Date
                                                                             Action                                                                                                                                  and updated by Region)
                                                                                                                                                Dates
       Families of victims are not   We suggest                    Since the final E-Fame was        Not Applicable                     The spreadsheet will be      Families of victims will be 30-Jan-2011         Subject to further Federal
       always contacted when a       communication with            made available, Iowa OSHA                                            developed and                contacted in a timely                           review and monitoring.
       fatality investigation is     families when the             has initiated the development                                        implemented by               manner and information
       initiated, citations are      investigation is initiated,   and implementation of a                                              December 30, 2010.           regarding the initiation of
       issued, a settlement          when citations are issued,    spreadsheet to track the                                                                          inspections, citation
       conference is held or         when informal settlement      letters sent to the family of the                                                                 issuance, settlement
       when the case is closed.      agreements are signed,        victim to ensure appropriate                                                                      conference and case
       There is limited additional   when the case is              letters as indicated in column                                                                    closure date will be made
       communication with family     contested and when the        B are sent in a timely manner.                                                                    available.
 4     members once the              case is closed.
       investigation has begun.      Additionally, a tracking
                                     system should be
                                     developed and
                                     implemented to help
                                     ensure that required
                                     correspondence is sent to
                                     families of victims.

       LEP and NEP inspections Provide refresher training          Iowa OSHA will become more       This activity is associated with    During the interim           To ensure the most          30-Jan-11           Subject to further Federal
       were not coded properly in to all employees on LEP          diligent in reviewing OSHA 1s    other elements in this appendix.    activity, a note will be     accurate inspection                             review and monitoring.
       the IMIS system.           and NEP program and              for accuracy and will include    Given that fact, Iowa OSHA will     entered into the case file   information is available in
                                  IMIS                             reviewing the LEP and NEP        revisit all inspections opened      diary regarding any files    order to address strategic
                                  requirements.                    inspection codes with the        since October 1, 2010 to ensure     that were found to be        targeting and resource
                                                                   inspectors in each quarterly     proper and updated LEP/NEP          incorrectly coded. As        management.
 5                                                                 meeting.                         codes are included in each          mentioned in column E,
                                                                                                    appropriate inspection case file.   this activity will be
                                                                                                    This interim activity will be       completed by December
                                                                                                    completed by December 30,           30, 2010.
                                                                                                    2010.



       Iowa OSHA must review         Iowa OSHA must review         Iowa OSHA supervisory staff      The review and training             A training record will be To ensure citations are       January 30, 2011.    Subject to further Federal
       its current citation          its current citation          will review the FOM with the     addressing citation grouping as     completed outlining       grouped in accordance                              review and monitoring.
       grouping policies and         grouping policies and         inspectors to ensure that the    suggested by the FOM will be        Who, What and When        with the FOM.                                      Violation classification and
       procedures and issue          procedures and issue          current citation grouping        conducted with the entire           this training process has                                                    grouping are essential
       citations in accordance       citations in accordance       policies and procedures are in   enforcement staff by January 30,    been conducted. As                                                           components of an
 6
       with its FOM.                 with its FOM.                 accordance with the FOM          2011.                               mentioned, this process                                                      effective program and
                                                                                                                                        will be completed by                                                         should be relatively
                                                                                                                                        January 30, 2011.                                                            consistent nationwide.




           Final FY2009 CAP                                                                                                                                                                                               Page 2 of 8
                                                                                                                     Iowa
                                                                  FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                 Documentation
                                                                 State Response / Corrective                                                                                                                                    Status (to be tracked
Rec#            Findings                Recommendation                                             Interim Steps with Due DatesRequired with Due                         Outcome Measure                Completion Date
                                                                           Action                                                                                                                                              and updated by Region)
                                                                                                                                      Dates
       (Repeat) Iowa OSHA must (Repeat) Iowa OSHA must Iowa OSHA supervisors will         LEP and inspection reviews will LEP and inspection                         Comparative analysis will       The completion date for Subject to further Federal
       evaluate its safety       evaluate its safety       become more diligent in        be generated by the               reviews generated thru                   identify the most effective     the first review with the review and monitoring.
       targeting system and      targeting system and      reviewing OSHA 1s for          administrative staff and          IMIS will be maintained                  targeting programs and          enforcement staff is
       make modification to      make modification to      accuracy and will include      discussion of inspection          and used in this                         will also allow for efficient   January 30, 2011 with a
       ensure that its limited   ensure that its limited   reviewing the LEP and NEP      targeting will be discussed with process. Due dates are                    scheduling.                     follow-up discussion at
       resources are inspecting resources are inspecting inspection codes with the        the enforcement staff by January specified in column E.                                                    the second quarterly
       locations where serious   locations where serious   inspectors in each quarterly   30, 2011 and then again during                                                                             meeting in February
       hazards are present. Iowa hazards are present. Iowa meeting. This step of ensuring the second quarterly meeting                                                                               2011.
 7
       OSHA must also ensure     OSHA must also ensure     proper inspection coding is    which is scheduled for February
       that violations are being that violations are being conducted is necessary to      8, 2011. Adjustments to the
       classified in accordance  classified in accordance  conduct necessary targeting    inspection targeting process will
       with the FOM and other    with the FOM and other    review and LEP reviews.        be revisited to apply inspection
       policy directives.        policy directives.                                       resources to appropriate areas.



       In 35 percent of the cases    All hazards identified      It is important to recognize     Interim Steps with Due Dates are      Not Applicable, the          Potentially hazardous           Not Applicable, the       Subject to further Federal
       reviewed, hazards that        during inspections must     potentially hazardous            Not Applicable. Iowa OSHA             process of case file         conditions will be made         process is now in effect. review and monitoring.
       were identified during        be addressed. Case files    conditions. If a prima facie     notes that it is not appropriate to   review searching for         known to employers and
       inspections were not          must be reviewed more       case cannot be established,      cite solely from a photo however,     possible citations or        legally sustainable
       addressed in citations or a   thoroughly including        inspectors are asked to inform   since the final E-Fame was            hazardous conditions is      citations that may have
       letter to the employer.       review of photographs for   the employers of the possible    made available, supervisors are       now in practice and has      gone unnoticed will be
                                     hazards not identified or   hazard.                          more diligent in reviewing the        been since the final E-      issued.
                                     addressed by CSHOs.                                          supporting documentation in           Fame was issued. Any
                                                                                                  each case file including photos       documentation verifying
                                                                                                  to ensure potentially hazardous       this activity is contained
 8                                                                                                conditions or citations are not       in the case file diary.
                                                                                                  overlooked. If necessary,
                                                                                                  CSHOs are sent back to the
                                                                                                  establishment to obtain
                                                                                                  additional information. Case file
                                                                                                  reviews will ensure that all
                                                                                                  identified hazards in the case file
                                                                                                  are appropriately documented
                                                                                                  and cited.




           Final FY2009 CAP                                                                                                                                                                                                         Page 3 of 8
                                                                                                                     Iowa
                                                                  FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                    Documentation
                                                                State Response / Corrective                                                                                                                             Status (to be tracked
Rec#           Findings                Recommendation                                               Interim Steps with Due Dates Required with Due                 Outcome Measure             Completion Date
                                                                          Action                                                                                                                                       and updated by Region)
                                                                                                                                         Dates
       Employees are unclear     Iowa OSHA must work        The field staff supervisors will Not Applicable, Iowa OSHA will A training record will be          Employees will have a firm   All review, training and   Subject to further Federal
       what constitutes employer with the legal staff to    ensure the case files with       schedule a training event for all developed which will            working knowledge of         recordkeeping              review and monitoring.
       knowledge to document a provide training to          citations contain all documents compliance officers and will       show the Who, What              Prima Facie and its          associated with training   Employer knowledge is a
       prima facie case.         employees to ensure        and necessary employee           conduct training in the matter of and When of this                application to their work.   will be completed by       key OSHA enforcement
                                 violations are supportable statements to ensure             establishing Prima Facie and this activity. This document                                      May 30, 2011.              principle and should not
                                 and have all elements for elements for a prima facie        event will be completed by May will be completed by                                                                       be treated differently in
                                 a prima facie case.        case are present and are         30, 2011.                         May 30, 2011.                                                                           Iowa.
 9                                                          factors that constitute
                                                            supportable violations. The
                                                            Iowa OSHA legal staff will do
                                                            refresher training for all staff
                                                            on the elements of a prima
                                                            facie case.


       Severity assessments are     Iowa OSHA must review       Iowa OSHA will review its          Iowa OSHA supervisory staff will   A training record will be CSHOs will assess           All review, training and   Subject to further Federal
       inaccurate which result in   the FOM requirements for    severity assessment policies       review the FOM with CSHOs to       developed which will      penalties in accordance     recordkeeping              monitoring. Proper
       incorrect penalty            severity assessments with   and procedures and issue           ensure that the severity           show the Who, What        with the FOM.               associated with training   violation classification is
       assessments. Other than      employees and ensure        citations in accordance with its   assessment policies and            and When of this                                      will be completed by       an essential component of
       serious violations had       that severity assessments   FOM.                               procedures are in accordance       activity. This document                               May 30, 2011.              an effective program and
       injuries and illnesses       are evaluated during case                                      with the FOM. This activity will   will be completed by                                                             should be relatively
       described as eye injuries    file reviews conducted by                                      be completed by May 30, 2011.      May 30, 2011.                                                                    consistent nationwide.
       and hearing loss which       PSE2s.
       should have been
 10    classified as serious. In
       addition machine guarding
       and fall protection
       violations were classified
       as other-than serious and
       should have been
       classified as serious.




           Final FY2009 CAP                                                                                                                                                                                                 Page 4 of 8
                                                                                                                           Iowa
                                                                       FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                                   Documentation
                                                                     State Response / Corrective                                                                                                                                  Status (to be tracked
Rec#            Findings                  Recommendation                                                Interim Steps with Due Dates             Required with Due        Outcome Measure                 Completion Date
                                                                               Action                                                                                                                                            and updated by Region)
                                                                                                                                                       Dates
       The Open Inspection            Iowa OSHA must develop         Since this report was issued,     Not Applicable, the process of         Not Applicable, however Abatements are                  Not Applicable, the     Subject to further Federal
       Report is not effectively      a procedure to analyze the     Iowa OSHA support staff has       running and reviewing Open             weekly Open Inspection completed in a timely            reports are now being   review and monitoring.
       utilized to track cases with   Open Inspection Report,        been running three IMIS           Inspection Reports is currently        Reports are available for manner.                       run and reviewed weekly
       incomplete abatement with      identify cases with past       reports automatically each        being conducted. Supervisors           review and reconciliation                               and the process is on-
       twenty-three percent           due abatement and obtain       Friday: Cases with Citations      are now identifying inspections        against appropriate                                     going
       (23%) of the cases having      timely abatement.              Pending, Employer Response        with incomplete abatement and          inspection case files.
       abatement more than thirty                                    due for Non-formal                conducting follow-ups with the
       (30) days past due.                                           Complaints, and Unsatisfied       CSHO and if necessary the
                                                                     Activities Report. The IMIS       employer.
 11                                                                  Open Case Report is also run
                                                                     manually on Friday. These
                                                                     four reports are discussed at
                                                                     the Monday morning staff
                                                                     meetings. Cases identified
                                                                     with past due abatement are
                                                                     given priority to ensure timely
                                                                     abatement.


       Abatement dates are not        Provide training to            Training on the FOM and other     Iowa OSHA supervisory staff will       FOM abatement date           Ensure citations are       This process will be      Subject to further Federal
       assigned in accordance         employees on the current       adopted directives is             review assigned abatement              policy will be reviewed at   abated according to the    completed by May 30,      review and monitoring.
       with the FOM.                  FOM and other adopted          performed during quarterly        dates according to the Iowa            the next FFY 2011            FOM                        2011
                                      directives to ensure that      inspector Meetings. This          OSHA FOM and other adopted             quarterly inspector
                                      abatement dates are            issue will be addressed at the    directive policies. The OSHA           meeting. Iowa OSHA
 12                                   assigned in accordance         next meeting to ensure that all   FOM and other directive policies       Administrator will review
                                      with current policy.           inspectors are trained in the     will be reviewed at the next FFY       abatement dates again
                                                                     requirements.                     2011 quarterly inspector meeting       when citations are
                                                                                                       and will be completed by May           issued and will discuss
                                                                                                       30, 2011                               issues with the PSE2
                                                                                                                                              supervisors at their
       Iowa OSHA does not             Iowa OSHA must evaluate        Iowa will identify candidates     Iowa OSHA will use the                 No Documentation is          Approximately 3-5 follow- Not Applicable, this is an Subject to further Federal
       conduct follow-up              the Candidates for Follow-     for follow-up inspections,        procedures in Iowa OSHA FOM            necessary                    up inspections will be     on-going, annual          review and monitoring.
       inspections when they are      Up Inspection Report to        especially those without          Chapter 7 and the Follow-Up                                         conducted each fiscal year process
       indicated.                     identify inspections without   adequate abatement, for           inspection report to identify
                                      adequate abatement and         follow-up inspections.            inspections that qualify for follow-
                                      where follow-up                                                  up's. A due date of May 30,
 13                                   inspections                                                      2010 is established for the first
                                      could be conducted.                                              review of inspections opened
                                                                                                       and closed during FY 2011 that
                                                                                                       qualify for follow-up and IOWA
                                                                                                       OSHA will conduct
                                                                                                       approximately 3 per fiscal year.




           Final FY2009 CAP                                                                                                                                                                                                          Page 5 of 8
                                                                                                                      Iowa
                                                                   FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                            Documentation
                                                                 State Response / Corrective                                                                                                                                  Status (to be tracked
Rec#           Findings                Recommendation                                                Interim Steps with Due Dates         Required with Due             Outcome Measure              Completion Date
                                                                           Action                                                                                                                                            and updated by Region)
                                                                                                                                                 Dates
       The LEP table included     Update the IMIS LEP            The Iowa NCR Administrator         Not Applicable, the LEP codes       Not Applicable, the          Update the LEP table         Not Applicable, the        Subject to further Federal
       inactive LEP codes for use tables to reflect active       will contact the National Office   available in the IMIS system        process is complete          within IMIS                  process is complete        monitoring.
       by employees.              LEPs and ensure proper         to ensure that the IMIS codes      have been reviewed and the
 14                               IMIS                           are current and updated.           National Office has been notified
                                  coding.                                                           which codes are to be removed.


       The TRC and DART rates      Iowa OSHA must identify a     Iowa OSHA will review BLS          Collate Iowa fatality and non-      Non-fatal injury and       Reduce Iowa's public           This process will be       Subject to further Federal
       for public sector           targeting measure to          rates for public sector            fatal data from Bureau of Labor     illness data review for    sector TRC and DART            completed by May 30,       review and monitoring.
       employers are higher than   address the high              employers to identify where        Statistic (BLS), Iowa OSHA          both private and public rates                             2011 and will be           Iowa should submit
       private sector employers    incidence rates for public    the injuries and illnesses are     Strategic Planning and Federal      sector will be included in                                reviewed at the end of     documentation on any
       and Iowa OSHA conducts      sector employers.             occurring and take appropriate     OSHA fatality analysis studies.     the quarterly meetings                                    FY 2011 to determine its   revisions to its public
       approximately twenty (20)                                 targeting action.                  Develop new table that lists        for the remainder of this                                 effectiveness.             sector targeting program
       inspections in the public                                                                    findings. Compare findings to       fiscal year with Des                                                                 for Regional review.
       sector each year.                                                                            determine if there are trends in    Moines Area Office.
 15                                                                                                 hazards for Iowa’s public sector    The documentation
                                                                                                    work-places. Develop new or         required is contained in
                                                                                                    continue existing Iowa OSHA         column E.
                                                                                                    targeting programs that address
                                                                                                    identified workplace hazards in
                                                                                                    the public sector.

                                                                                                    �
       Iowa has experienced a      Iowa OSHA must identify       Iowa OSHA staff continues to       Collate Iowa fatality and non-      Non-fatal injury and         Reduce Iowa's private        This process will be       Subject to further Federal
       reduction in the TRC and    enforcement activities that   evaluate injury or illness rates   fatal data from Bureau of Labor     illness data review for      sector TRC and DART          completed by May 30,       review and monitoring.
       DART rates for private      will reduce TRC and           in private sector industries to    Statistic (BLS), Iowa OSHA          both private and public      rates to a level below the   2011 and will be           Iowa should submit
       sector employers, but the   DART rates for private        appropriately target resources.    Strategic Planning and Federal      sector will be included in   national rates               reviewed at the end of     documentation on any
       rates still remain above    industry.                                                        OSHA fatality analysis studies.     the quarterly meetings                                    FY 2011 to determine its   revisions to its private
       the national rates for                                                                       Develop new table that lists        for the remainder of this                                 effectiveness.             sector targeting program
       employers.                                                                                   findings. Compare findings to       fiscal year with Des                                                                 for Regional review.
 16                                                                                                 determine if there are trends in    Moines Area Office.
                                                                                                    hazards for Iowa’s private sector   The documentation
                                                                                                    work-places. Develop new or         required is contained in
                                                                                                    continue existing Iowa OSHA         column E.
                                                                                                    targeting programs that address
                                                                                                    identified workplace hazards in
                                                                                                    the private sector.




           Final FY2009 CAP                                                                                                                                                                                                       Page 6 of 8
                                                                                                                         Iowa
                                                                       FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                     Documentation
                                                                     State Response / Corrective                                                                                                                         Status (to be tracked
Rec#            Findings                  Recommendation                                                Interim Steps with Due DatesRequired with Due                 Outcome Measure            Completion Date
                                                                               Action                                                                                                                                   and updated by Region)
                                                                                                                                          Dates
       Notifications for Federal      Iowa OSHA must             Staff assignments will be    Not Applicable, Iowa OSHA and Not Applicable, the                    Iowa OSHA responses to Not Applicable, the           Subject to further Federal
       Program Changes were           implement a procedure to made to ensure that future     the Des Moines Area OSHA           process is currently in           Federal Program Changes process is currently         review and monitoring.
       not provided by the            ensure that Federal        Federal Program Changes will Office now include Federal         place.                            will be within the      active.
       specified dates.               Program Change             be responded to on a timely  Program changes as a line item                                       prescribed time frame.
                                      notifications are provided basis.                       for discussion during each
                                      by the specified date.                                  quarterly meeting. In addition,
 17                                                                                           the DMAO has agreed to send a
                                                                                              five day notice to Iowa OSHA
                                                                                              that a response is due within five
                                                                                              days. This process went into
                                                                                              effect on November 9, 2010.



       Yearly partnership             Complete the yearly            The Compliance Assistant          Iowa OSHA has completed the Not Applicable, the four        Yearly evaluations are     Not applicable, the       Subject to further Federal
       evaluations were not           evaluations in accordance      Specialist is currently working   four yearly evaluations that were yearly evaluations that   completed as scheduled     necessary corrections     review and monitoring.
       completed and placed in        IOSH Instruction CSP 03-       to complete the four yearly       past due.                         were past due were        and documentation is       were made to the
       the partnership files.         02-002 and place in the        evaluations that are past due                                       updated and placed in     correctly filed.           evaluations.
 18
                                      partnership files.             and will continue to keep them                                      the appropriate files
                                                                     completed on a timely basis                                         which are available for
                                                                     and placed in the partnership                                       examination
                                                                     files.
       Partnership employers          Request that partnership       The Compliance Assistant          Not Applicable, Iowa OSHA is    Not Applicable,             Track rapid, verifiable    Not Applicable,           Subject to further Federal
       were not required to           employers submit               Specialist has developing a       now tracking corrective actions corrective action has       abatement of hazards       corrective action         review and monitoring.
       provide notification to Iowa   documentation to Iowa          standard document to track        taken by partnership employers. already taken place         found during non           completed.                Iowa should document the
       OSHA                           OSHA of abatement              corrective actions taken by the                                                               enforcement, on-site                                 procedures for its
 19    abatement information for      actions taken for hazards      employer and has initiated the                                                                visits.                                              partnership program and
       hazards identified during      identified during non-         process.                                                                                                                                           submit them for Regional
       non-enforcement on-site        enforcement verification                                                                                                                                                          review.
       visits.                        inspections.

       Employers were not             Provide formal                 In addition to the current Iowa OSHA now sends a letter to         Not Applicable,            Positive reinforcement for Not Applicable,           Subject to further Federal
       provided with formal           acknowledgement of             verbal acknowledgement,    acknowledge the receipt of a            corrective action is       VPP program participants. corrective action          review and monitoring.
       notification of receipt of     receipt of the application     Iowa OSHA will provide the VPP application that complies           currently in place.                                   complete                  Iowa should submit
       their VPP applications.        within fifteen (15) days for   formal letter.             with CSP 03-01-003. Iowa                                                                                                documentation on its
 20
                                      receipt. This should be                                   OSHA modified procedures to                                                                                             revised VPP procedures
                                      completed in accordance                                   send this letter in a within 15                                                                                         for Regional review.
                                      with CSP 03-01-003.                                       days by the 1st quarter FFY
                                                                                                2011.
       Iowa OSHA did not utilize Implement the use of 90        In addition to the current on-  Iowa OSHA now communicates              A dated draft report      More rapid correction of    Not Applicable. The       Subject to further Federal
       90 day items to ensure      day items to ensure          site verification of            hazards found during VPP                outlining the specific    hazards found during VPP    program is now            review and monitoring.
       uncontrolled hazards        uncontrolled hazards are communicated hazards to the events to the employer in a draft               hazards found with a      verification inspections.   implemented and will be   CSHO training could help
       discovered during VPP       corrected prior to the final employer, Iowa OSHA will        report. Iowa OSHA modified              due date for completion                               incorporated into each    resolve many of the issues
 21    audits were corrected prior on-site evaluation report. incorporate the 90 day items procedures to send this draft                coupled with the                                      new VPP event.            identified in this report.
       to the final on-site                                     into a draft report sent to the report by the 1st quarter FFY           employers verification of
       evaluation report.                                       employer.                       2011.                                   corrective action.




           Final FY2009 CAP                                                                                                                                                                                                  Page 7 of 8
                                                                                                                 Iowa
                                                                FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                               Documentation
                                                              State Response / Corrective                                                                                                                      Status (to be tracked
Rec#           Findings              Recommendation                                              Interim Steps with Due DatesRequired with Due          Outcome Measure              Completion Date
                                                                        Action                                                                                                                                and updated by Region)
                                                                                                                                     Dates
       Iowa OSHA employees       Iowa OSHA must review The Iowa OSHA Administrator Interim steps are not applicable. Employee Training               Each Iowa OSHA               By May 30, 2011, the        Subject to further Federal
       have not received all     their training directive and supervisors will look at   Due date for research and        spreadsheet which          employee will receive core   spreadsheet will be         review and monitoring.
       required training.        IOSH Instruction TED 01- each of their individual       completion is May 30, 2011 for indicates completed          training courses and then    created and will outline    CSHO training could help
                                 00-018 and ensure that   employee's training status. An completion of the spreadsheet. training and projected       enter into a program of      FY 2011 completed and       resolve many of the issues
                                 employees receive the    Excel spreadsheet will be      From this data, and the          training, course           professional development     projected training events   identified in this report.
                                 required training.       used to track training with    completed IDP's outlined in item certificates indicating    courses                      for employees
                                                          special emphasis given to      #23, employees will be           completed training along
 22
                                                          ensuring the core courses for scheduled for training based on with DL-101 training
                                                          new CSHO's are given priority available budget.                 records. Initial
                                                          status.                                                         spreadsheet due May
                                                                                                                          30, 2011 and then by
                                                                                                                          November 30 of each
                                                                                                                          fiscal year.

       No IDP's were developed Iowa OSHA must work            Supervisors will complete         Interim steps are not applicable. DL 1-80 IDP        Completed IDP for each       30-May-11                   Subject to further Federal
       for Iowa OSHA personnel. with compliance officers to   IDP's for each employee in        Due date for completion of FY                        employee                                                 review and monitoring.
                                develop initial IDPs and      their work group which will       2011 IDP's is May 30, 2011 with
                                update them annually.         project their employee's          each subsequent fiscal year's
                                                              suggesting training path in       due date on November 30.
 23                                                           advance for a 5 year period.
                                                              The IDP's will be revisited at
                                                              the end of each fiscal year for
                                                              the purpose of updating and
                                                              creating a new 5 year
                                                              projection.




          Final FY2009 CAP                                                                                                                                                                                         Page 8 of 8
                                                                                                             Iowa 11C
                                                               FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                                 Documentation                                                                          Status (to be tracked
                                                                      State Response /          Interim Steps with Due
Rec#            Findings                 Recommendation                                                                         Required with Due                Outcome Measure                Completion Date            and updated by
                                                                      Corrective Action                  Dates
                                                                                                                                      Dates                                                                                   Region)


       A copy of the closing letter   Provide federal OSHA         The State of Iowa 11C       As of November 22, 2010,      Documentation necessary       The outcome measure is all         11C training has          Subject to further
       to the Complainant was         with a copy of the closing   program has suffered a      IOSHA has experienced         is the actual 11C case file   11C investigations will be         already been              Federal review and
       not provided to federal        letter to the Complainant    breakdown of its 11C        the retirement of its         which will be shared with     initiated, conducted and           completed and the         monitoring. Iowa
       OSHA upon completion of        upon completion of the       process that resulted in    previous 11C investigator     Region 7's 11C                completed in accordance with       investigator has          should submit
       the dual filed complaint       dual filed complaint         findings 1-12 of this       and hired a new 11C           Supervisory Investigator      11C programs and policies.         initiated the process     appropriatte
       investigation.                 investigation.               report. IOSHA will review   investigator. The             or staff to ensure the        This includes:                     of properly initiating,   documentation on its
                                                                   its 11C program and         investigator has already      program is proceeding         (1) Copies of closing letters      developing and            revised
                                                                   processes and initiate a    been trained at the OSHA      accurately. Due Dates         provided to complainants upon      completing 11C            nondiscrimination
                                                                   new program with a newly    Training Institute in 11C.    are not applicable.           completion of dual filed           investigations that       procedures and
                                                                   hired and trained 11C       This training was                                           investigations,                    follow current Federal    training.
                                                                   investigator.               conducted largely by the                                    (2) all 11C investigations         OSHA guidelines and
                                                                                               Region 7, Supervisory                                       completed within 90 days,          address the 12 items
                                                                                               11C Investigator. In the                                    (3) adequate allegation            in this E-Fame report.
 1                                                                                             interim and prior to the                                    summary statements entered in
                                                                                               end of FY 2011, the                                         IMIS and IMIS updates tracked,
                                                                                               IOSHA 11C investigator                                      (4) adequate opening letters
                                                                                               will work closely with                                      provided to all complainants and
                                                                                               Region 7 during the                                         respondents,
                                                                                               conduct and completion of                                   (5) face to face interviews
                                                                                               investigations to ensure                                    conducted in a timely matter,
                                                                                               all aspects of the 11C                                      (6) Case files organized
                                                                                               program, including items                                    appropriately,
                                                                                               12 items outlined in the E-                                 (7) face to face interviews
                                                                                               Fame report will be                                         conducted by the investigator
                                                                                               accomplished.                                               will all relevant witnesses,
                                                                                                                                                           obtain signed statements..

       [47 percent] of 11(c)          Review the 11(c)                                                                                                     Documentation presented on
       investigations were not        investigation process and                                                                                            interview forms to verify
       completed within the 90        identify process                                                                                                     confidentiality offered to non
 2     day goal.                      improvements to ensure                                                                                               management witnesses.
                                      11(c) investigations are
                                      completed within 90 days.




          Final FY2009 CAP                                                                                                                                                                                              Page 1 of 4]
                                                                                                  Iowa 11C
                                                             FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                Documentation                                                            Status (to be tracked
                                                                  State Response /    Interim Steps with Due
Rec#            Findings               Recommendation                                                          Required with Due         Outcome Measure               Completion Date      and updated by
                                                                  Corrective Action            Dates
                                                                                                                     Dates                                                                     Region)
       Adequate allegation          Draft adequate allegation                                                                      (8) Settlement agreements
       summary statements           summary statements for                                                                         negotiated and documented per
       were not entered into        entry into IMIS which                                                                          established policy and
       IMIS for all 11(c) cases     clearly convey                                                                                 procedures.
       and IMIS updates were        Complainant’s alleged                                                                          (9) Adequate elements of work
       not recorded to track all    protected activity and                                                                         refusals performed.
       actions taken on each        adverse action. Update                                                                         (10) Final investigation reports
 3
       11(c) case.                  IMIS entries for                                                                               prepared correctly.
                                    whistleblower cases as                                                                         (11) Documentation gathered in
                                    each new action occurs                                                                         order to establish a violation.
                                    throughout the
                                    investigative and appeal
                                    stages until final case
                                    closure.
       Adequate and timely          Draft adequate opening                                                                         (12) 11C investigators trained by
       opening letters were not     letters and send or deliver                                                                    Federal OSHA. The IOSHA
       provided to all              them to the parties in a                                                                       11(C) investigator reports
       Complainants and             timely manner.                                                                                 directly to the IOSHA
 4     Respondents for                                                                                                             Administrator whose
       notification purposes that                                                                                                  responsibilities preclude him
       a whistleblower case had                                                                                                    from 11C training and the daily
       been opened for                                                                                                             events of 11C activities. As
       investigation.                                                                                                              such, in lieu of training, the
       Face-to-face interviews      Schedule a meeting of the                                                                      IOSHA 11c investigator will
       were not conducted by        investigator with the                                                                          work with the Regional 11C staff
       the investigator with all    Complainant as soon as                                                                         during investigations.
       Complainants in a timely     possible after a prima
 5     manner to obtain signed      facie allegation has been
       statements documenting       presented in order to
       detailed information as      conduct a face-to-face
       evidence in 11(c) cases.     interview and obtain a
                                    signed statement.
       Adequate case file           Utilize adequate case file
       organization was not         organization techniques to
 6
       accomplished in all 11(c)    aid review of
       case files.                  investigations.




          Final FY2009 CAP                                                                                                                                                               Page 2 of 4]
                                                                                                  Iowa 11C
                                                             FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                Documentation                                          Status (to be tracked
                                                                  State Response /    Interim Steps with Due
Rec#           Findings                 Recommendation                                                         Required with Due   Outcome Measure   Completion Date      and updated by
                                                                  Corrective Action            Dates
                                                                                                                     Dates                                                   Region)
       Face-to-face interviews       Schedule a meeting of the
       were not conducted by         investigator with all
       the investigator with all     relevant witnesses during
       relevant witnesses to         the whistleblower
       obtain signed statements      investigation in order to
       documenting detailed          conduct face-to-face
       information as evidence in    interviews and obtain
 7
       11(c) cases.                  signed statements.
       Documentation was not         Include a confidentiality
       present on interview          statement on all non-
       forms to verify that          management witness
       confidentiality was offered   interview statement forms.
       to non-management
       witnesses
       Settlement agreements       Accomplish early
       were not negotiated and     resolution of 11(c)
       documented per              complaints through
 8     established policies and    implementation of
       procedures.                 established settlement
                                   agreement policies and
                                   procedures.
       Adequate evaluation of      Conduct a thorough
       the elements of a work      evaluation of all the
       refusal was not performed elements of a work refusal
 9     during the investigation of in order to determine if a
       a whistleblower complaint. valid work refusal
                                   complaint has been filed.

       Adequate Final              Draft Final Investigation
       Investigation Reports for   Reports that effectively
       11(c) case files were not   communicate results of
 10
       prepared per established    investigations as required
       policies and procedures.    by established policies
                                   and procedures.
       Adequate documentary        Seek and obtain all
       evidence was not            necessary documentary
 11    gathered in all 11(c) cases evidence to reach a
       to determine if a violation conclusion.
       had occurred.




          Final FY2009 CAP                                                                                                                                             Page 3 of 4]
                                                                                                          Iowa 11C
                                                            FY2009 Enhanced FAME Report - Corrective Action Plan Summary Sheet
                                                                                                                        Documentation                                                            Status (to be tracked
                                                                     State Response /         Interim Steps with Due
Rec#           Findings                Recommendation                                                                  Required with Due         Outcome Measure               Completion Date      and updated by
                                                                     Corrective Action                 Dates
                                                                                                                             Dates                                                                     Region)
       IOSH Discrimination          Accomplish training for all   The Iowa OSHA                                                            Close cooperation between
       Program investigators and    IOSH Discrimination           Administrator and legal                                                  Iowa OSHA and the Region 7
       supervisors have not         Program investigators and     staff will attend one-on-                                                Supervisory 11c Investigator will
       attended the most current    supervisors by enrolling in   one training provided by                                                 ensure Iowa's 11c investigations
       11(c) training provided by   the OSHA Training             the Region 7 Supervisory                                                 will comply with Federal OSHA
 12    federal OSHA.                Institute Course #1420        11c Investigator in the                                                  guidelines. Discussions
                                    Basic Whistleblower           Kansas City Regional                                                     continue between Region VII
                                    Investigations - 11(c) in     Office.                                                                  and Iowa OSHA regarding an
                                    FY 10 or FY 11.                                                                                        agreeable training method for
                                                                                                                                           the Administrator and/or legal
                                                                                                                                           staff.




          Final FY2009 CAP                                                                                                                                                                       Page 4 of 4]

				
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