OSHA Instruction ADM 12.5 CH-1 June 28, 1993 Office of Management Systemsand Organization Subject: Change 1 to OSHA Instruction ADM 12.5, OSHA Compliance Records A. Purpose. This change instruction transmits revised pages toOSHA Instruction ADM 12.5. B. Scope. This instruction applies OSHA-wide. C. Reference. OSHA instruction ADM 12-7.4, Safety Fatality andCatastrophe Case File Disposition. D. Action. 1. Remove pages F-3 thru F-7 and replace them with the attachedchanged pages. Changes are marked in the left margin by a verticalline.
2. File this transmittal page after the signature page of theinstruction as a record of this change.
E. Explanation. 1. The disposition period for safety fatality/catastropheinspection case files was changed form a 10 year retention to Permanentretention for item 9 on page F-4. In order to capture all safetyfatality/catastrophe inspection case files, the disposition for item 24,safety inspections closed on or before September 30, 1982 on page F-7 wasalso changed form 10 years to Permanent. Refer to OSHA Instruction ADM12-7.4 for the new disposition instructions for these permanentrecords.
2. The references to OSHA Instruction ADM 12.6A in items 11 and 12on page F-5 have been removed because that instruction wascanceled.
David C. Zeigler Director Administrative Programs Distribution: National, Regional and Area Offices, OASAM ITEM NUMBER: 1 ITEM NUMBER: 2 TITLE: General Material TITLE: Policy Material DESCRIPTION: General correspondence DESCRIPTION: Records and otherand other material relating to materials reflecting policy,inspection activities in federally precedent, and the like relatinginspected States or within Federal to planning, developing, andagencies. directing the Federal InspectionProgram. The Agency Record Copy of these documents is maintained in otheroffices. This material does not include published include publishedinstructions, notices, and other directives, manuals, and the like. DISPOSITION: a. Record Copy: DISPOSITION: Destroy when Destroy when 3 years superseded or obsolete.old.
b. Other Copies: Destroy when 2 yearsold.
ITEM NUMBER: 3 ITEM NUMBER: 4 TITLE: Reports TITLE: Activity Reports DESCRIPTION: Covers all inspection DESCRIPTION: Periodic summariesof or compliance activities except those work performed by administrativeor which are covered elsewhere in this program personnel. schedule suchas reports properly part of an inspection case file. The Agency Record Copyof substantive reports is maintained in other offices. DISPOSITION: a. Record Copy: DISPOSITION: Destroy when 2 Destroy when 3 years years old. old.
b. Other Copies: Destroy when 2 yearsold.
ITEM NUMBER: 5 ITEM NUMBER: 6 TITLE: Meetings/ TITLE: Active/Open Committees Case files DESCRIPTION: Meetings and committees, DESCRIPTION: Includes all thatrelate to safety and health inspection case files upon whichinspection functions and activities. an action remains to be completed.The Agency Record Copy of these Except inspection case files inrecords is maintained in other offices. contest, see Item 16. Does notinclude advisory committees. DISPOSITION: Destroy when 3 years old DISPOSITION: Place in closed caseor when no longer needed for file after all actions have beenreference. completed. See items 7 thru 13below. ITEM NUMBER: 7 ITEM NUMBER: 8 TITLE: Closed Safety TITLE: Safety General DutyInspections Inspections DESCRIPTION: Safety inspection case DESCRIPTION: Consists of casefiles relating to a specific safety files of safety inspectios whereinspection in a specific establishment. General Duty Clause (5.a.1 of theIncludes related follow up Act) violations occured. Includesinspections and Proposed Modification related follow up inspecitons andof Abatement (PMA) monitoring reports. PMA monitoring reports. EXCEPT: Combined health and safety EXCEPT: Case files involvinginspections, General Duty safety fatalities or catastrophes, seeinspections, safety in-compliance Item 9. inspecitons, safetyfatality and catastrophe inspections classified as special interest, seeitems 8 thru 12 below.involving fatalities DISPOSITION: a. Record Copy. DISPOSITION: a. RecordCopy. Transfer to Federal Transfer to FRCRecords Center (FRC) not later than not later than 3 3 years after years after case case isclosed. is closed. Destroy 10 years after case isDestroy 6 years after closed. case isclosed.
b. Other Copies. Destroy b. OtherCopies. material not placed in Destroy material therecord copy when not placed in the file is consolidated. record copy when file is consolidated.
|ITEM NUMBER: 9 ITEM NUMBER: 10 | |TITLE: SafetyFatalities/ TITLE: Safety In-Compliance | Catastrophes Inspections | |DESCRIPTION: Case files of safety DESCRIPTION: Case files of safety |inspections involving Catastrophes inspections where no violations |fatalites and/or catastrophes. were cited. Includes inspections |Includes related follow-up where only a records review was |inspections and PMA monitoring conducted. |reports. | |THIS ITEM HAS BEEN SUPERSEDED BY |SCHEDULEN1-100-90-1, ITEM 23. |REFER TO OSHA INSTRUCTION |ADM 12-7.4 FOR ADDITIONALINFORMATION. | |DISPOSITION: a. Record Copy. DISPOSITION:a. Record Copy. | Transfer to FRC not Destroy 3 years | later than 3 years after case is | after case is closed. closed. | Destroy 10 years | after case is| closed. | | b. Other Copies. Destroy b. Other Copies. | material not placedin Destroy material | the record copy whenfile not placed in the | is consolidated. record copy when file is consolidated. ITEM NUMBER: 11 ITEM NUMBER: 12 TITLE: Health Inspections TITLE: Non-Sampling Health Inspections
DESCRIPTION: Case files of DESCRIPTION: Case files ofindustrial hygiene inspections and industrial hygiene inspectionscombined safety and industrial and combined health and safetyhygiene inspecitons. Includes in-compliance inspections. healthand combined health and Consists of inspections where safetyin-compliance inspections. sampling data was not collected. Alsoincluded follow up inspections and PMA monitoring reports. EXCEPT: Combined health and safety (Also refer to OSHA instruction inspections which involve safety ADM 12.6 for information regarding General Duty Clause inspections, asbestos-related records.) dispose in accordance with Item 8. (Also refer to OSHA Instruction ADM 12.6 forinformation regarding asbestos-relatedrecords.)
DISPOSITION: a. Record Copy. DISPOSITION: a. RecordCopy. Transfer to FRC not Transfer to FRClater than 3 years not later than Destroy 40 years after 3 years after case is closed. caseis closed.
Destroy 6 years after case isclosed.
b. Other Copies. b. OtherCopies. Destroy material not Destroy material placedin the record copy placed in the when file is consolidated. record copy when file is consolidated.
ITEM NUMBER: 13 ITEM NUMBER: 14 TITLE: Non-Formal Complaints TITLE: Reserved and Referrals DESCRIPTION: Inspection case files DESCRIPTION: Reserved relating tocomplaints and Referrals or referrals concerning unsafe or unhealthyconditions in an establishment. No inspection is made of the establishment. Except for nonformal complaints which become formal and referrals whichresult in an inspection, see Items 8 thru 12, as appropriate. DISPOSTION: a. Record Copy. DISPOSITION: Destroy when 3 years old.
b. Other Copies. Destroy material not placed in therecord copy when the file is consolidated.
ITEM NUMBER: 15 ITEM NUMBER: 16 TITLE: Reserved TITLE: Contested Cases Duplicate File
DESCRIPTION: Reserved DESCRIPTION: This category covers duplicate inspection case files when theestablishment or firm appeals a citation or penalty. The original file issent to the Solicitor and remains there until the appeal is decided. Afterthe original file is returned to the originating office, merge the duplicatefile into the original file destroying all duplicatedocumentation.
DISPOSITION: DISPOSITION: When the originalfile is returned to the originating office, merge the duplicate file into theoriginal file destroying all duplicate documentation. Dispose in accordancewith the applicable inspection case file disposition item. ITEM NUMBER: 17 ITEM NUMBER: 18 TITLE: Reserved TITLE: Establishment Files DESCRIPTION: Reserved DESCRIPTION: Case files of establishments, companies, firms or Federal, Stateor local government worksites which do not relate to a specific inspection. This includes health hazard evaluations, process descriptions, productiondata, product toxicity data, engineering controls, Federal agency actionplans, lists of competent persons, and any other information of valuerelating to safety and health matters.
DISPOSITION: DISPOSITION: Destroy whenestablishment or firm no longer exists or when no longer needed, whicheveroccurs first. ITEM NUMBER: 19 ITEM NUMBER: 20 TITLE: Refused and Attempted TITLE: Invalid ComplaintsInspection Files DESCRIPTION: Records and other DESCRIPTION: Complaints whichmaterials relating to proposed are not related to occupationalinspections which did not occur safety and health or are not becauseentry was denied by the covered by OSHA. Includes establishment anda magistrate, appeals where the area office the Solicitor, or theagency made director determines the complaint a determination not toproceed. is invalid for redress and the Also includes proposedinspections complaint appeals the decision. which did not occur becausea decision was made not to attempt EXCEPT: Successful appeals whichare an inspection because the firm was filed elsewhere in thisschedule. no longer in operation, the coourrence of a labor action, or asimilar situation. DISPOSITION: a. Record Copy. DISPOSITION: Destroy when1 year Destroy when 3 years old. old.
b. Other Copies. Destroy when 1 yearold.
ITEM NUMBER: 21 ITEM NUMBER: 22 TITLE: Discrimination TITLE: Reserved DESCRIPTION: Records dealing with DESCRIPTION: Reserved employerdiscrimination or retaliation (under Section 11(c) of the Act) againstemployees who report violations of the Act or cooperate with OSHAinspections. Consists of copies of materials sent to another office forinvestigation. Does not include investigative files. DISPOSITION: Destroy when 1 year old. DISPOSITION: ITEM NUMBER: 23 |ITEM NUMBER: 24 |TITLE: Compliance Index File |TITLE: Safety Inspections Closed | on or before September | 30, 1982 |DESCRIPTION: This file consists of |DESCRIPTION: Includes all safetycard files (OSHA 47 or equivalent |inspection case files closed on orincluding predecessor or successor | before September 30, 1982 forms)or information maintained in | office automation equipment or in |THIS ITEM HAS BEEN SUPERSEDE BY printout form as an alternative used |SCHEDULE N1-100-90-1, ITEM 23. to provide reference and case tracking |REFER TO OSHA INSTRUCTION capabilities for the inspection case |ADM12-7.4 FOR ADDITIONAL files. |INFORMATION.
|DISPOSITION: Destroy when no longer |DISPOSITION: a. RecordCopy. need for reference but not later than | Transfer to FRC if 40 years after case is closed or 12 | 3 years of years after State assumes inspection | retention period duties. | remains. Destroy | 10 years after | case isclosed. | | b. Other Copies. | Destroymaterial | not placed in the | record copywhen | file is | consolidated. ITEM NUMBER: 25 TITLE: Health Inspections Closed on or before September 30, 1982 DESCRIPTION: Includes all industrial hygiene inspection case files andcombined safety and industrial hygiene inspection case files closed on orbefore September 30, 1982. DISPOSITION: a. Record Copy. Transfer to FRC if 3 years of the retention period remains.Destroy 40 years after case is closed.
b. Other Copies. Destroy material not placed in therecord copy when file is consolidated.
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