Injury and Illness Prevention Program

In 1990, the California Legislature mandated a revision of California OSHA regulations for workplace health and safety. This revision led to promulgation by Cal OSHA of section 3203 of title 8 of the California Code of Regulations, known as the Injury and Illness Prevention Program (IIPP).

The Cal/OSHA Consultation Service has issued a series of model IIPPs. A model for intermittent employers, such as agricultural employers, is available on the Service's Internet Web site at:

http://www.dir.ca.gov/DOSH/dosh_publications/iipintermitag.html.

Effective July 1, 1991, every employer must establish, implement and maintain an effective Injury and Illness Prevention program (IIPP). The Program shall be in writing and, shall at a minimum include the following:

1. Identify the person or persons with authority and responsibility for implementing the Program.

2. Include a system for ensuring that employees comply with safe and healthy work practices.

Substantial compliance with this provision includes recognition of employees who follow safe and healthful work practices, training and retraining programs, disciplinary actions, or any other such means that ensures employee compliance with safe and healthful work practices.

3. Include a system for communicating with employees. Include a system for communicating with employees in a form readily understandable by all affected employees on matters relating to occupational safety and health, including provisions designed to encourage employees to inform the employer of hazards at the work-site without fear of reprisal. Substantial compliance with this provision includes meetings, training programs, posting, written communications, a system of anonymous notification by employees about hazards, labor/management safety and health committees, or any other means that ensures communication with employees.

EXCEPTION: Employers having fewer than 10 employees shall be permitted to communicate to and instruct employees orally in general safe work practices with specific instructions with respect to hazards unique to the employees' job assignments as compliance with subsection (a)(3).

4. Include procedures for identifying and evaluating work place hazards, including scheduled periodic inspections to identify unsafe conditions and work practices. Inspections shall be made to identify and evaluate hazards.

(A) When the Program is first established;

EXCEPTION: Those employers having in place on July 1, 1991, a written Injury and Illness Prevention Program complying with previously existing section 3203.

(B) Whenever new substances, processes, procedures, or equipment are introduced to the workplace that represent a new occupational safety and health hazard; and

(C) Whenever the employer is made aware of a new or previously unrecognized hazard.

5. Include a procedure to investigate occupational injury or occupational illness.

6. Include methods and/or procedures for correcting unsafe or unhealthy conditions, work practices and work procedures in a timely manner based ON THE severity of the hazard:

(A) When observed or discovered; and,

(B) When an imminent hazard exists that cannot be immediately abated without endangering employee(s) and/or property, remove all exposed personnel from the area except those necessary to correct the existing condition. Employees assigned to correct hazardous conditions shall be provided the necessary safeguards.

7. Provide training and instruction:

(A) When the program is first established;

EXCEPTION: Employers having in place on July 1, 1991, a written Injury and Illness Prevention Program complying with the previously existing Accident Prevention Program in Section 3203.

(B) To all new employees;

(C) To all employees given new job assignments for which training has not previously been received;

(D) Whenever new substances, processes, procedures or equipment are introduced to the workplace and represent a new hazard;

(E) Whenever the employer is made aware of a new or previously unrecognized hazard; and,

(F) For supervisors to familiarize themselves with the safety and health hazards to which employees under their immediate direction and control may be exposed.

Records of the steps taken to implement and maintain the Program shall include:

(1) Records of scheduled and periodic inspections required by subsection (a)(4) to identify unsafe conditions and work practices, including person(s) conducting the inspection, the unsafe conditions and work practices that have been identified and action taken to correct the identified unsafe conditions and work practices. These records shall be maintained for at least one (1) year; and

EXCEPTION: Employers with fewer than 10 employees may elect to maintain the inspection records only until the hazard is corrected.

(2) Documentation of safety and health training required by subsection (a)(7) for each employee, including employee name or other identifier, training dates, type(s) of training, and training providers. This documentation shall be maintained for at least one (1) year.

EXCEPTION NO. 1: Employers with fewer than 10 employees can substantially comply with the documentation provision by maintaining a log of instructions provided to the employee with respect to the hazards unique to the employees' job assignment when first hired or assigned new duties.

EXCEPTION NO. 2: Training records of employees who have worked for less than one (1) year for the employer need not be retained beyond the term of employment if they are provided to the employee upon termination of employment.

EXCEPTION NO. 3: For Employers with fewer than 20 employees who are in industries that are not on a designated list of high-hazard industries established by the Department of Industrial Relations (Department) and who have a Workers' Compensation Experience Modification Rate of 1.1 or less, and for any employers with fewer than 20 employees who are in industries on a designated list of low-hazard industries established by the Department, written documentation of the Program may be limited to the following requirements:

• Written documentation of the identity of the person or persons with authority and responsibility for implementing the program as required by subsection (a)(1).

• Written documentation of scheduled periodic inspections to identify unsafe conditions and work practices as required by subsection (a)(4).

• Written documentation of training and instruction as required by subsection (a)(7).

EXCEPTION NO 4: Local governmental entities (any county, city, city and county, or district, or any public or quasi-public corporation or public agency therein, including any public entity, other than a state agency, that is a member of, or created by, a joint powers agreement) are not required to keep records concerning the steps taken to implement and maintain the Program.

Note 1: Employers determined by the Division to have historically utilized seasonal or intermittent employees shall be deemed in compliance with respect to the requirements for a written Program if the employer adopts the Model Program prepared by the Division and complies with the requirements set forth therein.

Note 2: Employers in the construction industry who are required to be licensed under Chapter 9 (commencing with Section 7000) of Division 3 of the Business and Professions Code may use records relating to employee training provided to the employer in connection with an occupational safety and health training program approved by the Division, and shall only be required to keep records of those steps taken to implement and maintain the program with respect to hazards specific to the employee's job duties.

Employers who elect to use a labor/management safety and health committee to comply with the communication requirements of subsection (a)(3) of this section shall be presumed to be in substantial compliance with subsection (a)(3) if the committee:

(1) Meets regularly, but not less than quarterly;

(2) Prepares and makes available to the affected employees written records of the safety and health issues discussed at the committee meetings and, maintains records for review by the Division upon request. The committee meeting records shall be maintained for at least one (1) year;

(3) Reviews results of the periodic, scheduled worksite inspections;

(4) Reviews investigations of occupational accidents and causes of incidents resulting in occupational injury, occupational illness, or exposure to hazardous substances and, where appropriate, submits suggestions to management for the prevention of future incidents;

(5) Reviews investigations of alleged hazardous conditions brought to the attention of any committee member. When determined necessary by the committee, the committee may conduct its own inspection and investigation to assist in remedial solutions;

(6) Submits recommendations to assist in the evaluation of employee safety suggestions; and

(7) Upon request from the Division, verifies abatement action taken by the employer to abate citations issued by the Division.

8. Provide a process for recordkeeping and documentation.

Formula for Improved Injury PreventionBackground: Faculty from the University of California Division of Agriculture and Natural Resources investigated the strategies used by other industries with high injury rates that had made significant recent improvements. These included mining, construction, meat cutting and auto manufacturing. Five factors were found in common among successful high hazard industry safety programs.

1. Management Commitment: One of the clearest messages from general industry experiences and from practitioners is that effective injury prevention programs depends on the active involvement of management. Management commitment is usually actualized through such measures as on-site monitoring, incentive and accountability for middle managers, and the provision of an on-site or close-by access to medical treatment.

2. Problem Identification: Successful hazard reduction and prevention improvement is dependent on accurate information on the sources and the nature of job-related safety problems. Without identification and prioritization of specific hazards, prevention is necessarily reduced to general cautionary advice. In each of the cases reviewed, either a set of specific hazards (e.g., explosions, falls) or a hazard category (ergonomic factors) was clearly targeted. Furthermore, in each of these hazardous industries, a continuing system for monitoring hazards and injury causes was put in place to ensure that this information remained current and accurate. Effective injury prevention programs are workplace specific.

3. Engineering Controls: Engineering controls are the most effective means of reducing and preventing injuries. The work environment is changed in such a way that improved safety relies on the elimination of hazardous tasks, equipment, exposure or the lack of "fit" between the worker and the job. The most successful programs have resulted from hazard-specific controls.

4. Worker Involvement: Workers play a critical roles in the success or failure of an injury prevention program for two reasons: first, worker input is necessary for successful job-site hazard analysis and for the design of useful and used interventions; second, it is the effective representation and involvement of workers' interests that have provided much of the impetus for change. It is the responsibility of management to encourage positive worker participation in safety.

5. Education and Training: Employee and management education is an essential part of each of the industrial successes; education, rather than training, to emphasize that education requires active worker/manager involvement in the identification and control of hazards throughout the workplace. None of the most successful programs relies exclusively on teaching workers to minimize their exposure to accepted workplace hazards. Generally, in fact, such training is regarded as the least effective way of reducing injuries. Success in injury prevention suggests that worker education should focus on the development of the broad goal of safety in the workplace and become the focal point for specific hazard identification, preventive improvements, and worker-management interaction about safety issues. Safety training related to specific tasks is most effective when it is an integral part of basic skills training, with occasional "tailgate" reinforcements.

Steps to Successful Compliance

Identify the person or persons with authority and responsibility for implementing the Program.

The job of Safety Coordinator is an important responsibility. The job requires a person with a dedication to safety, knowledge about safety regulations and requirements, and the skills to successfully implement the prevention program.

The Safety Coordinator must be identified in writing in the written IIPP; must have the authority and backing of top management to carry out the requirements of the IIPP. The Safety Coordinator is responsible for organizing and implementing all aspects of the IIPP. The program must be operational. There must be inspections, communication with employees, training, and other activities that ensure program implementation.

The Safety Coordinator must ensure that all activities of the program are documented, including inspections, investigations, training and other reports.

Here is a sample policy for an IIPP regarding the responsibilities of a safety coordinator.

Responsibilities of the Safety Coordinator:

The responsibilities of the Safety Coordinator include:

1. Advising management on safety and health issues.

2. Maintaining current information on local, state and federal safety and health regulations.

3. Planning, organizing and coordinating safety training, preparing and distributing company policies and procedures on workplace safety and health issues.

4. Developing and effectively communicating safe practices, establishing a system for ensuring employee compliance with safety and health policies and procedures.

5. Developing and implementing inspection guidelines, arranging safety and health inspections and follow up to ensure that corrective action is complete.

6. Making sure that personal protective equipment is serviceable and available as needed.

7. Establishing accident report and investigation procedures, and maintaining and injury and illness records (OSHA Form 300, 300A and 301).

8. Reviewing injury and illness trends, establishing a system for maintaining records of inspection, hazard abatement, and training.

Include a system for ensuring that employees comply with safe and healthy work practices.

GISO section 3203 requires that the IIPP include "a system for ensuring that employees comply with safe and healthy work practices." Substantial compliance is described as including a program of safe work recognition, discipline, and training. Any evidence of management prioritizing interest in safety will greatly improve employee attitude and compliance. Means of recognition can range from the individual "pat on the back" to formal and material rewards (e.g., safe employee of the month, hats, gift certificates, bonuses, etc.).

Training

All new employees will be oriented, including orientation to safety rules and policies. All employees will be expected to participate in regularly scheduled safety training activities.

Discipline

All observed or reported infractions of the safety policy or safety rules will be appropriately disciplined according to the operation's employee discipline schedule. Multiple infractions will be treated to systematically increased discipline that can result in employment termination for serious and repeated failure to comply with safety policy and rules. The intent is to make safety part of the job, rather than accepting injury as part of the job.

Recognition

If you already have a recognition program you should add safety performance to it. If you don't have an ongoing employee recognition program, this section suggests you implement one related to safety performance. Ideas include:

• Keeping a posted record of days worked without injury

• Informal recognition of safety practice

• Formal recognition of individuals or groups for safety performance

• Material recognition: gifts, products, services and money, including raises and bonuses

• Privileges: time off, opportunity for promotion, new responsibility.

With any recognition program, it is important to make clear to employees that non-report of injury or illness remains a safety rule infraction, both to ensure that minor injuries are treated and that unsafe practices or conditions are recognized and dealt with before causing a major incident.

Safety Compliance Program

The compliance program should be documented in your overall IIPP records. A summary statement such as the following example will suffice.

Safety Compliance Program

Preventing Injury and Illness on the Job Is the Responsibility of Everyone on this Operation.

• Recognition

• A posted record of Safe Days Worked will be kept on the employee bulletin board.

• Observed safe work practices will be commended by managers and supervisors.

• All hazards will be reported to management. Hazards and hazard correction reports by employees will be responded to with verbal or written commendation.

• A program of prize recognition for Safe Employee of the (Month/Quarter/Season) will be implemented.

• A program of annual recognition for Safe Employee(s) of the Year will be implemented

• Training

• All new employees will be oriented, including orientation to safety rules and policies.

• All employees will be expected to participate in regularly scheduled safety training activities.

• Discipline

• All observed or reported infractions of the safety policy or safety rules will be appropriately disciplined according to the operation's employee discipline schedule.

• Multiple infractions will be treated to systematically increased discipline that can result in employment termination for serious and repeated failure to comply with safety policy and rules.

Communicating with Employees

Include a system for communicating with employees in a form readily understandable by all. The objective of the communications requirement is to ensure that employees receive information about hazards and safe work practices in language they understand. On many farms, this means providing information in Spanish.

GISO section 3203 requires employers to include a system for communicating with employees in a form readily understandable by all affected employees on matters relating to occupational safety and health.

The requirement also seeks to ensure that communication is two way between employer and employees, that employees can and will report hazards without fear of reprisal.

An effective communication system must:

• Be seen and heard,

• Be understood,

• Be respected and credible,

• Show results in attitudes and actions.

A communication system should include:

• Orientation of new employees, including safety issues,

• Efforts to establish a positive safety attitude and environment,

• Provision for ongoing interaction between management and employees

• Use of written and posted information, and

• Individual communication

Identifying and Evaluating Workplace Hazards

Include procedures for identifying and evaluating work place hazards including scheduled periodic inspections to identify unsafe conditions and work practices.

Employee Participation In Hazard Identification

Employers in other high-risk industries have discovered that effective employee involvement in hazard identification and control results in much more effective prevention. Successful employee involvement requires clear evidence of management commitment and assurance that identifications of hazards and concerns will not meet with repudiation or retaliation.

Safety Incident Investigation

All incidents that cause serious injuries and those that potentially could have caused serious injury (i.e., "close calls") must be investigated as soon as possible after reported incidents by the immediate supervisor in consultation with the Safety Coordinator. Written records must be maintained by the Safety Coordinator, along with a record of corrective actions taken.

Correcting Unsafe or Unhealthy Conditions

Include methods and/or procedures for correcting unsafe or unhealthy conditions, work practices and work procedures in a timely manner based on the severity of the hazard.

Training and Instruction

The safety order requires that training and instruction be provided to employees:

• When the IIPP is implemented

• To all new employees

• To all employees given an new job assignment for which training was not previously given

• Whenever new substances, processes, or procedures are introduced and represent a hazard

• Whenever the employer is made aware of a new or previously unrecognized hazard

• For supervisors to familiarize them with safety and health hazards

Safety Program Records

The safety order requires that records be kept on all aspects of the IIPP. A Cal/OSHA inspector visiting your operation will want to review not only your written plan but your records, too.

Cal OSHA has a five-point recordkeeping requirement:

1. A report of every injury or illness requiring medical attention;

2. A record of each injury or illness reported on the Cal OSHA Forms 300 and 301, according to instructions;

3. A supplementary record of occupational injuries and illnesses on(Form 5020), with the same information.

4. An annual summary Cal OSHA Form 300A, Posted no later than February 1, kept posted until May 1.

5. Maintenance of these records for five (5) years.

The objective of this recordkeeping is to enable you to see where your injuries and illnesses are occurring and to inform and improve your hazard-control efforts.

IIPP records include:

1. Records of all hazard identification inspections (scheduled and non-scheduled). Maintain for at least three (3) years.

2. Documentation of safety and health training required by the order for each employee. These records must include the employee name, training dates, subjects, and name of the trainer. These records must be kept for three (3) years.

Other Safety Records

If you use hazardous materials, including pesticides, you are required by other rules to have the material safety data sheets (MSDS) on all materials used, along with any required physical examination reports, and training records. You should also keep records and training information under the hazard communication program with your IIPP to simplify recordkeeping. The Department of Pesticide Regulation, Cal EPA, has separate recordkeeping requirements for registered pesticide use. See section titled "Required Posters, Notices and Disclosures." starting on page 105.