Loading (50 kb)...'

(continued)

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0860

Eligibility for Worksite Redesign Assistance

(1) As part of the application, the applicant must have documentation of the workplace problem such as accepted compensable claims, incident reports, OSHA 200 log entries, hazard evaluations, or statistical reports of injuries and illnesses for the industry and/or occupation for which the applicant seeks an ergonomic solution.

(2) An applicant must identify an employer as the research site and/or the recipient of the prototype design or grant product. That designated employer and those employers who apply for a product grant must meet the following eligibility conditions:

(a) The employer has and maintains Oregon workers' compensation insurance coverage as required by law;

(b) Business operations are ongoing and have continued for the three-year period prior to the date the applicant submits the application to the department;

(c) The employer demonstrates financial stability and solvency by providing for the three-year period prior to the date the applicant submits the application one of the following: a letter of evaluation by an independent certified public accounting firm; a letter of credit; tax records; audited profit and loss statements and balance sheets; or audited annual reports. For product grants of less than $10,000, the department may permit an employer to certify financial stability;

(d) The employer has no bankruptcy or receivership action and no judgments for non-payment of wages/debts within the one-year period prior to the date the department receives the application;

(e) At the time the applicant submits the application, the employer has no outstanding OR-OSHA citations at any of the employer's locations or sites with unabated/uncorrected safety or health hazards associated with the equipment or process that is the subject of the application; and

(f) The employer provides information about the employer's early-return-to-work program.

(3) Reasons for ending Worksite Redesign Program eligibility which apply to all applicants as defined in OAR 437-001-0845 include:

(a) Misrepresentation or omission of information by the applicant to obtain assistance;

(b) Failure of the applicant to provide requested information or to cooperate in the Worksite Redesign Program grant review process or in the development or implementation of an approved grant;

(c) The applicant is precluded from receiving Worksite Redesign Program assistance in accordance with OAR 437-001-0890.

(4) Reasons for ending Worksite Redesign Program eligibility which apply to employer applicants, employers designated in the grant application as the research site and/or the recipient of the prototype design and employers who are grant product recipients include:

(a) The employer does not maintain Oregon workers' compensation insurance coverage as required by law;

(b) The employer, after requesting Worksite Redesign Program assistance, becomes subject to bankruptcy or receivership action or incurs judgment for non-payment of wages/debts; or,

(c) The employer, after requesting Worksite Redesign Program assistance, is issued a citation by OR-OSHA resulting from a fatality investigation, accident investigation, a complaint investigation, or a referral from another agency, which is related to or associated with, the subject of the worksite redesign grant. The department will hold in abeyance any requests for Worksite Redesign Program assistance until the OR-OSHA enforcement action is resolved.

(5) An employer who enters into negotiation for sale or merger of business after requesting Worksite Redesign Program assistance must provide the department documentation of their ongoing commitment and ability to undertake and complete the activities as described in its grant application. The department will review the material provided by the employer and will determine the appropriateness and feasibility of proceeding with the grant request process.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0865

Procedure to Use the Worksite Redesign Program

(1) An applicant must submit a complete, written application in the form and format prescribed by the director.

(2) The department may provide education and consultation to potential applicants, applicants and grantees.

Stat. Auth.: ORS 656.622(9) and 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0870

Application Review

(1) Upon receipt of an application, the department may authorize consultation services provided by consultants under contract.

(2) The department will review applications and prepare staff reports for Committee review.

(3) After department review, the worksite redesign grant application and corresponding staff report will be forwarded to the Committee for review.

(4) In reviewing worksite redesign grant applications, the Committee will consider the following elements:

(a) Program eligibility criteria;

(b) Funding limitations established by the director;

(c) The funding priorities established by the department;

(d) The quality review criteria established by the department;

(e) The staff report provided by the department;

(f) Feasibility and appropriateness to recommend approval for an employer who is negotiating sale or merger; and

(g) Appropriateness to recommend approval for a grant which may result in a reduction in the employer's labor force.

(5) Following completion of a worksite redesign grant, the department may solicit applications for a product grant.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0875

Grant Awards

(1) The department or its designee will notify applicants, in writing, of the approval or disapproval of the grant request.

(2) The applicant must provide reports and documentation relating to the grant and the terms and conditions agreed to in connection with the grant.

(3) Grant recipients must make available to the department all records and materials necessary to monitor a grant.

(4) Upon approval of the worksite redesign grant application, the department will authorize funding, to include disbursement intervals, in accordance with the conditions agreed upon in the approved grant agreement.

(5) Upon approval of the product grant application, the department will authorize funding for the product.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0880

Program Evaluation

(1) The director or designee will conduct studies to evaluate the Worksite Redesign Program's success in precluding on-the-job injuries. Findings of such studies will be presented to the Management/Labor Advisory Committee.

(2) Grantees may be required to conduct studies to evaluate the success of the worksite redesign at their establishment. The studies will be conducted in a manner agreed upon with the department.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0885

Audits

(1) Applicants selected for funding are subject to periodic program and fiscal audits.

(2) The grantee must maintain case files, notices, records, reports, receipts and canceled checks or payment verification documenting use of any and all Worksite Redesign Program funds as well as funds the grantee commits to an approved Worksite Redesign Program grant project. These records must be maintained for a period of 6 years after the last grant disbursement.

(3) The department reserves the right to visit the worksite to determine compliance with the Worksite Redesign Program agreement.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0890

Sanctions

If the director finds any violation of OAR 437-001-0850, 437-001-0860, 437-001-0875, 437-001-0885, or if the terms and conditions under which the agreement was approved are not met, the director may take one or more of the following actions:

(1) Immediately revoke approval of the use of the Worksite Redesign Program funds;

(2) Require repayment of all or a portion of any funds disbursed;

(3) Prohibit the employer, employer group, employee group , educational association, or educational institution from receiving additional grants for a period of up to 3 years; and

(4) Use any other legal action necessary.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-0895

Issuance/Service of Sanction Orders

(1) When a sanction is invoked as provided by OAR 437-001-0890, the Division shall serve an order on the party, with a notice of the rights provided under ORS 654.078.

(2) An order will be served upon the grantee or their registered agent by certified mail or in person.

Stat. Auth.: ORS 656.622(9) & ORS 656.622
Stats. Implemented: ORS 656.622
Hist.: OSHA 7-1999, f. & cert. ef. 7-15-99

Farmworker Housing Tax Credits
437-001-0905

Purpose and Objectives

(1) The rules of OAR 437-001-0905 through 437-001-0940 are established to define and carry out the provisions of ORS 315.164 through .167 as amended by 1995 Legislation (the Act), as they pertain to the Department of Consumer and Business Services ("Department"). The purpose of the program is to encourage the rehabilitation of existing housing and the construction or placement of additional seasonal or permanent housing for farm workers. The Department's objectives are to specify the beginning date for the filing of applications, how to acquire the form(s) for filing, define the information that is required, and to specify how the Department will consider, evaluate, and approve applications for farm worker housing projects that are ready to proceed in the current calendar year.

(2) Individuals, as identified in ORS 316, or a corporation, as identified in ORS 317, who file applications and receive approval will be issued letters of credit approval to allow the individuals or corporations to claim a tax credit against Oregon taxes as provided in the Act. The letter of credit approval also certifies that approved projects fall within the annual cap on the total estimated eligible costs identified in ORS 315.167(4); and designates by its date of issuance the earliest tax year in which the tax credit may be claimed for a completed project.

(3) The duty of administering the farm worker housing tax credit program and determining compliance with these rules and ORS 315.164-.167 is delegated from the Director of the Department to the Administrator of the Occupational Safety and Health Division (OR-OSHA) and his designees. The OR-OSHA Administrator may delegate any of these duties to the Deputy Administrator or other management staff.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0910

Definitions

All terms used in OAR 437-001-0905 through 437-001-0940 are as provided in the Act and as further specified in these rules:

(1) "Application" means application form(s) and the attached information, prescribed by the Department in OAR 437-001-0915, and as the Department may specify in an Annual Notice, which have been signed by an Owner requesting approval of a project in a given year.

(2) "Apply" means to complete an application and file it with the Department.

(3) "Approval" means the Department, having considered and evaluated the information provided in the application, has reached a decision the application is appropriate for approval, and has issued a letter of credit approval. Applications shall be approved in chronological order until the entire cap is awarded.

(4) "Cap" means the maximum amount of tax credits as set by the Legislature in ORS 315.167(4).

(5) "Chronological Order" means after the Department announces the initial date that applications may be filed, all applications will be considered in the order filed. Because not all methods of filing can be fairly or equitably given a specific time of arrival on a given day, all applications filed on single day will be considered filed at the same time. Multiple applications filed on a given day will be considered and further evaluated to establish an order for processing based on the chronological order of the projected date of completion. Should this fail to establish a specific order, the remaining order will be based on the estimated eligible cost, with the lower request going first. Applications submitted before the initial application date will not be considered and will be returned.

(6) "Condition of Habitability" means a condition that is in compliance with:

(a) The applicable provisions of the state building code under ORS chapter 455 and the rules adopted thereunder; or

(b) If determined on or before December 31, 1995, section 12 and 13, chapter 964, Oregon Laws 1989.

(7) "Considered" means the application packages filed with the Department pursuant to ORS 315.167(2), these administrative rules shall be considered in chronological order. Non-compliant applications shall not be considered until and unless cured.

(8) "Department" means the Department of Consumer and Business Services, State of Oregon.

(9) "Eligible Costs" includes finance costs, construction costs, excavation costs, installation costs and permit costs but excludes land costs.

(10) "Estimated Eligible Costs" are a forecast of the actual eligible costs, or a lesser amount the owner/taxpayer is requesting for approval for a specific project. A voluntary ceiling for the estimated eligible costs requested for large projects may be announced in the Annual Notice.

(11) "Evaluate" means the Department may either directly or through agreements with others examine, judge, appraise or estimate the specific information provided in an application to reasonably assure the project is appropriate for approval, under the cap, for a given year. In the evaluation process the Department may determine the qualifying status of the taxpayer, the proposed project and the costs included in the estimates of eligible costs; applications must also include and will be evaluated on the readiness of the project to proceed, and the anticipated occupancy date.

(12) "Filed with the Department" means applications sent by mail are filed on the date of the USPS postmark; applications sent electronically by facsimile (FAX) will be considered filed on the date printed out on Department devices on which they arrive; and, hand delivered applications are filed on the date they are stamped in at any OR-OSHA office of the Department. Applications submitted before the initial date applications may be filed will not be considered and will be returned.

(13) "Firm Commitment of Financing" means an agreement to make funds available to a specific owner on a specific property and which will contain all of the terms and conditions that the Owner has to satisfy. Payment of a commitment fee by the Owner to the lending institution may be required as a condition precedent to issuance of such an agreement.

(14) "Owner" is an individual, corporation, a nonprofit corporation, state or local government entity including but not limited to a housing authority, which may be a controlling general partner in a limited partnership, who holds legal title to the project and will develop and manage the project in accordance with the OAR, statutes, federal regulations and any other requirements as set forth by the Department.

(15) "Project" means one or more units of housing which will be occupied or rented by farm workers and their immediate families.

(16) "Rehabilitation" means to restore and reinstate a building to a Condition of Habitability.

(17) "Relative" means a brother or sister (whether by the whole or by half blood), spouse, ancestor (whether by law or by blood), or lineal descendant of an individual.

(18) "Seasonal Farm Worker" means any person who, for an agreed remuneration or rate of pay, performs temporary labor for another in the production of farm products or in the planting, cultivating or harvesting of seasonal agricultural crops or in the forestation or reforestation of lands, including but not limited to planting, transplanting, tubing, pre-commercial thinning and thinning of trees and seedlings, the clearing, piling and disposal of brush and slash and other related activities.

(19) "Seasonal Farm Worker housing" means housing limited to occupancy by seasonal farm workers and their immediate families which is occupied no more than nine months of the year.

(20) "Seasonal FARM WORKER housing project" means construction, installation or rehabilitation of seasonal FARM WORKER housing.

(21) "Tenant" is a person or a renter (including any family members) who occupies or will occupy a unit in a Project.

(22) "Year-round FARM WORKER housing" means housing:

(a) Limited to occupancy by farm workers and their immediate families;

(b) No dwelling unit of which is occupied by a relative of the owner or operator of the FARM WORKER housing; and

(c) Consisting, if located in an exclusive farm use zone, of housing that is in compliance with any applicable local zoning ordinance and that is:

(A) A manufactured dwelling, as that term is defined in ORS 446.003; or

(B) Any other dwelling unit, if the project for which credit under this section is being claimed consists of the rehabilitation of existing FARM WORKER housing.

(23) "Year-round FARM WORKER housing project" means construction, installation or rehabilitation of FARM WORKER housing.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0915

Program Description and Application Requirements

(1) The Department may approve applications for the Farm Worker Housing Tax Credit Program, solely for projects that provide housing for the exclusive use of farm workers and their families, subject to availability of Eligible Costs in any one year of the program. Relatives of the owner or operator may not occupy any dwelling unit. Applicants are encouraged to read ORS 315.164-.167, the Annual Notice, and the General Information regarding this program. This information will be provided along with application forms, upon request to:

Farm Worker Housing Tax Credit Program

OR-OSHA, DCBS

350 Winter Street N.E., Rm 430

Salem, Oregon 97310

(2) The Department reserves the right to establish the initial date on which applications may be filed in any year, the application form(s) and supporting documentation, and to establish evaluation criteria. The Department also reserves the right to request additional information and to request applicants with large projects to follow a voluntary ceiling on the estimated eligible costs included in their applications.

(3) At the time an application may be filed, the Owner shall submit a written application for approval in the manner prescribed by the Department. The Application shall provide information, including, but not limited to:

(a) Name, address, taxpayer identification number, and telephone number of the Owner;

(b) Location of the proposed Farm Worker housing;

(c) A description of the Project, including:

(A) The type of housing (seasonal farm worker housing project, or year around farm worker housing project);

(B) Number and type of housing units to be provided and the projected occupancy and square footage per unit.

(d) An estimate of the eligible costs of the project, broken down by cost type, (note the Annual Notice may request that large projects voluntarily limit the amount of these costs requested in the application); and

(e) Any other information as the Department may require, including but not limited to:

(A) Information on the current zoning of the proposed site, including at a minimum, an accompanying letter signed by the respective community development or planning agency indicating the current zoning designation and that the proposed project complies with the allowable uses for the zone designation, to confirm both the eligibility of the project proposed and its ability to proceed;

(B) Information on the source of funds, including at a minimum an accompanying letter or form specifying the sources of funds, and for funds not from sources in the owners name, a firm commitment of financing for all outside sources of funds;

(C) Information on the readiness of the project to proceed to construction in the current year:

(i) Projected date on-site construction activity will begin or permits will be secured; and

(ii) The projected construction time.

(D) Information on the projected occupancy date;

(E) Information on the projected life of the project for farm worker housing purposes;

(F) A letter or forms committing to the timely completion of the project, including at a minimum a commitment, by signing of the application form, that the project will be completed and ready for occupancy in the calendar year of the approval; or a specific letter of commitment stating the project will proceed to construction in the calendar year of approval and will be completed and ready for occupancy during the following calendar year; and

(G) Any other information the Department may specify in an Annual Notice.

(4) Once an application has been filed, an Owner may begin construction and incur costs at their own risk. Projects that have started construction after an application has been filed and have not been awarded tax credits will not be eligible for future tax credits after December 31 of the year construction began.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0920

Filing, Consideration and Evaluation of Applications

(1) Applications may be filed after 8:00 am, January 2 in a given year. The Department shall consider applications in chronological order. The Department shall evaluate, or cause an evaluation to be conducted of all applications and decline/approve/partially approve up to the cap or approve for standby, each application within 60 calendar days of filing.

(2) The Department's evaluation of applications for approval, may include, but is not limited to, the following criteria:

(a) Completeness, level of detail and accuracy of the information included in the application (see 437-001-0910 Definitions, and 437-001-0915 Application requirements);

(b) The Owner's readiness to proceed as evidenced by:

(A) Estimated time to complete the project following approval;

(B) Projected date the project will be completed and ready for occupancy.

(c) Financial feasibility as evidenced by the existence of funds for the project including:

(A) Sources of funds for the project;

(B) Firm commitments of financing for fund sources not in the owner's name.

(d) Other criteria as may be established in the Application form(s) and announced in the Annual Notice.

(3) The Department may:

(a) Return applications determined in the evaluation process to not include specific or substantial information as not filed;

(b) Request the owner to provide within 15 calendar days any minor information deemed missing, and if such information is not timely returned, the application may be returned as not filed; and

(c) Upon determining applications have successfully met the evaluation criteria, the applications will be further processed for approval in the chronological order filed.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0925

(RESERVED)

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0930

Standby Applications

(1) Applications filed under 437-001-0905 through 437-001-0930 requesting approval for estimated eligible cost amounts in excess of the eligible cost cap must be declined unless the owner elects to reduce the estimated eligible cost to an amount that would not exceed the cap, or asks to be placed on a standby list.

(2) The Department will maintain applications on the standby list in the chronological order filed if they are otherwise determined in the evaluation process to be appropriate for approval.

(3) When for any reason estimated eligible costs amounts become available after the cap was initially reached in a given year, a standby application will be selected for approval of tax credits based on the earliest filing date, and the Department shall notify the applicant and allow a reasonable time for the applicant to update their Application to reflect current conditions.

(4) All unfunded standby Applications shall expire on December 31 of the current calender year. If an application expires, a new application must be submitted for the next calender year. If construction began in the calender year the application was placed on standby, then the project will be unable to apply for credits in the next calender year.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0935

Approval of Eligible Projects

When the requirements of ORS 315.164 -- 167, OAR 437-001-0905 through 437-001-0930 and any requirement announced in an Annual Notice are met the Department shall provide a letter of tax credit approval to the Owner/taxpayer on the application. The letter of credit approval indicates:

(1) A tax credit may be claimed based on the estimated eligible costs specified in the letter, or actual costs, whichever are lower, following the completion of the project and a pre-occupancy inspection.

(2) That other criteria apply and must be met for the full term of the tax credit to assure continued eligibility for claiming the tax credit by the owner, taxpayer, or finance institution.

(3) The estimated eligible costs for all approved projects comply with the Cap.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167

Hist: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

437-001-0940

Monitoring

If, after the Certification and during the term the tax credits are being used, the Owner or operator of a Project is found to be out of compliance with the requirements of the statute, ORS 315.164 through 315.167, these administrative rules, OAR 437-001-0905 through 437-001-0940, or the commitments contained in the Application, the Department shall promptly notify the Department of Revenue, who will notify the owner or taxpayer and take any appropriate action based on Department of Revenue laws, rules and procedures.

Stat. Auth.: ORS 654.025(2), ORS 656.726(3) & ORS 705.135
Stats. Implemented: ORS 315.164 - ORS 315.167
Hist.: OSHA 1-1997, f. 1-31-97, cert. ef. 2-1-97; OSHA 10-1997, f. & cert. ef. 12-31-97

Rules for the Administration of Loss Prevention
Activities by Insurers/Self-Insured Employers
General

437-001-1005

Authority and Applicability of Rules

(1) OAR 437-001-1005 through 437-001-1065 are promulgated under the Director's authority contained in ORS 654.097.

(2) The Director of the Department of Insurance and Finance delegates the Administrator of the Accident Prevention Division the authority to enforce these rules.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 7-1992, f. & cert. ef. 7-31-92

437-001-1010

Purpose and Scope

(1) Nothing in these rules is intended to impose a duty upon the insurer or to transfer from the employer to the insurer responsibility set forth in ORS 654.001 to 654.991, or to impose liability other than these rules upon the insurer for failure to identify any unsafe conditions or occupational health and safety hazard.

(2) The purpose of these rules is to promote workplace health and safety by:

(a) Establishing insurer and self-insured employer loss prevention services designed to advise employers on regulations, laws, means and methods for improving health and safety at their places of employment; and

(b) Providing for the evaluation of insurers' and self-insured employers' loss prevention activities by the OR-OSHA Division to ensure compliance with the law and these rules.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-1015

Definitions

(1) Establishment: A single physical location where business is conducted or where services or industrial operations are performed. Where distinctly separate activities are performed at a single physical location, each activity shall be treated as a separate establishment.

(2) Insured employer: An employer insured with a workers' compensation carrier.

(3) Insurer: The State Accident Insurance Fund (SAIF) Corporation or any insurance company authorized or regulated under ORS Chapter 731 to issue workers' compensation guaranty contracts in Oregon.

(4) Loss prevention effort: An ongoing effort by the self-insured employer to integrate health and safety into the workplace in such a manner that occupational injuries and illnesses are reduced.

(5) Loss prevention plan: A plan developed by the employer with the assistance of the insurer with the primary emphasis on reduction of workplace injuries and illnesses.

(6) Loss prevention services: Services designed to advise and assist employers in the identification, evaluation, and control of existing and potential causes of accidents and occupational health and safety problems.

(7) Loss prevention services program: A program intended to promote occupational health and safety, and to help eliminate and control work hazards to employees.

(8) Self-insured employer: An employer certified under ORS 656.430 as meeting the qualifications of a self-insured employer set out by ORS 656.407.

(9) Substantial failure to comply: The failure by an insurer or self-insured employer to respond or make available timely on-site services; failure to respond or make available in a timely manner specialized consultative services or:

(a) If an insurer fails to identify and advise of in a timely manner reasonably discoverable serious or life-threatening hazards within the scope of the services requested or provided or:

(b) If a self-insured employer fails to identify and control in a timely manner reasonably discoverable serious of life-threatening hazards within the scope of the services requested or provided.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; Administrative Correction 8-5-97; OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-1020

General Requirements

(1) The insurer or self-insured employer shall, within 60 days after the effective date of these rules, submit to the Administrator the following information:

(a) The name of the insurer or self-insured employer;

(b) The insurer's or self-insured employer's Oregon business address where records are kept; and

(c) The name or title, business address, and telephone number of the representative who will act as liaison with the Division in all matters pertaining to loss prevention services.

(2) After the first 60 days these rules are in effect, each new insurer shall comply with OAR 437-001-1020(1) at the time of application for the authority to issue guaranty contracts in Oregon.

(3) After the first 60 days these rules are in effect, each self-insured employer shall submit the information required in OAR 437-001-1020(1) at the time the employer submits its application to the Compliance Section of the Workers' Compensation Division for self-insurance.

(4) Each insurer or self-insured employer shall notify the Division, in writing, of any change in the information in OAR 437-001-1020(1)(a) through (c) within 30 days of that change.

(5) When requested by the Division, each insurer and self-insured employer shall make available with reasonable promptness copies of loss prevention, loss control and related records.

(6) The duty of compliance with OAR 437-001-1005 through 437-001-1065 is that of the insurer or self-insured employer regardless whether the insurer or self-insured employer contracts for assistance for the required services.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 8-1991, f. 4-25-91, cert. ef. 5-1-91; Administrative Correction 8-5-97; OSHA 7-1999, f. & cert. ef. 7-15-99

Insurers' Programs
437-001-1025

Notification of Services

(1) When an insurer writes a workers' compensation policy for an employer, and annually thereafter, the insurer shall inform the employer at the employer's Oregon main office of the loss prevention services that are available. The information shall include at least the following:

(a) A description of all loss prevention services that the insurer is required to offer, and other loss prevention services the insurer provides;

(b) A description of the availability of and process for obtaining loss prevention services;

(c) An offer, by the insurer, of an on-site evaluation of the loss prevention service needs of the insured;

(d) An explanation of the employer's responsibility to provide a safe and healthful workplace as required by the Oregon Safe Employment Act (ORS 654.001 to 654.295 and 654.991); and

(e) A statement of the employer's right to make a complaint to the OR-OSHA Division if an insurer fails to respond to a request from one of its insured employers for loss prevention services or otherwise fails to provide services as offered or required.

(2) An insurer shall provide the material described in section (1) of this rule and instructions that the employer distribute this material to each of the employer's fixed places of employment in Oregon.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-1030

Requests for Services

(1) Any request by an insured employer regarding an imminent danger hazard shall be responded to with loss prevention services as soon as possible by the insurer.

(2) Any other requests regarding alleged hazards other than imminent danger shall be responded to with loss prevention services as soon as practicable, but not longer than 30 days following the date of the request.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-1035

Loss Prevention Services

(1) Each insurer shall make occupational health and safety loss prevention services available to all its insured employers and shall provide certain other services as required by this rule.

(2) At a minimum, loss prevention services and personnel providing the services must meet the needs of the particular place of employment, special industry, or process, and shall include at least the following:

(a) Evaluation of the employer's loss prevention needs;

(b) Assistance in evaluating records that may be pertinent to the firm's illness and injury experience;

(c) An explanation to the employer of the Oregon Safe Employment Act and rules that apply to the particular place of employment;

(d) Provision of partial or complete on-site health and safety surveys, which identify all reasonably discoverable occupational safety and health hazards within the scope of the survey scheduled;

(e) Assistance with industrial hygiene and safety evaluations to detect physical and chemical hazards of the workplace, and implementation of engineering or administrative controls;

(f) Assistance with evaluating, obtaining, and maintaining personal protective equipment;

(g) Evaluation of work practices, workplace design, and assistance with job site modifications;

(h) Assistance in evaluating and improving an employer's safety management practices;

(i) Assistance in identifying health and safety training needs and available resources; and

(j) An offer to provide follow-up services.

(3) Loss prevention services shall include a written report with a plan of action.

(4) If, when providing loss prevention services, a condition of imminent danger is observed (see OAR 437-001-0015(34)), the insurer shall advise the employer of the hazard and the need to immediately correct it.

(5) All insurers shall maintain records of all loss prevention services provided at the locations designated by the insurer for Division personnel's review and must be maintained for not less than three years following the date the service was provided.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 7-1999, f. & cert. ef. 7-15-99

437-001-1040

Required Loss Prevention Services

(1) An insurer shall offer to assist in developing a loss prevention plan with each of its employers with a claims frequency or severity greater than its average employer in the same industry. The plan shall promote self-sufficiency on the part of the employer to reduce injuries and illnesses, and shall include a means to identify and control all reasonably discoverable occupational health and safety hazards.

(2) The assistance shall include the following:

(a) Employer notification of the available services.

(b) Perform a workplace hazard survey.

(c) Review of injury records and documentation of activities designed to lead to the reduction of workplace injuries and illnesses.

(d) Assist the employer in developing a written loss prevention plan that is based upon the results of the hazard survey and review of injury records. The plan must at a minimum address the following loss prevention principles:

(A) Management commitment to health and safety;

(B) An accountability system for employer and employees;

(C) Training practices and follow-up;

(D) A system for hazard assessment and control;

(E) A system for investigating all recordable occupational injuries and illnesses that includes written findings and corrective action;

(F) A system for evaluating, obtaining, and maintaining personal protective equipment;

(G) Evaluation of workplace design, work practices and assistance with job site modifications; and

(H) Employee involvement in the health and safety effort.

(e) Tailor the plan to meet the needs of the employer for reduction of injuries and illnesses while promoting self-sufficiency on the part of the employer.

(3) The insurer's obligation to assist shall end if the employer declines the services offered by the carrier.

(4) The Division may evaluate the insurers' targeted loss prevention services program randomly, however no more frequently than every three years.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 10-1990(Temp), f. & cert. ef. 5-31-90; OSHA 24-1990, f. & cert. ef. 10-10-90; OSHA 7-1992, f. 7-31-92, cert. ef. 10-1-92; OSHA 7-1999, f. & cert. ef. 7-15-99

Self-Insured and Group
Self-Insured Employers' Programs
437-001-1050

Self-Insured and Group Self-Insured Employer Loss Prevention Assistance

(1) A self-insured employer and each self-insured group shall make available to each of its workplace or group locations occupational safety and health loss prevention assistance.

(2) A self-insured employer or group shall acknowledge all requests for services which do not involve alleged hazards from any of its locations within 30 days by schedule a date to begin providing services.

(3) Any request from locations of the self-insured employer or group regarding imminent danger an alleged hazard shall be responded to as soon as possible with loss prevention services.

(4) All other requests regarding alleged hazards other than imminent danger shall be responded to with loss prevention services as soon as practicable, but not longer than 30 days following the date of the request.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 8-1991, f. 4-25-91, cert. ef. 5-1-91

437-001-1055

Self-Insured and Group Self-Insured Employer Loss Prevention Programs

Each self-insured employer and each member of a group self-insured program shall establish and implement a written occupational health and safety loss prevention program for each establishment. As a minimum requirement, the program shall:

(1) Provide for a loss prevention effort within the normal functions of the business for prevention or reduction of health and safety injuries and illnesses; and

(2) Inform its managers and workplace locations of the availability and the process for requesting loss prevention assistance.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 8-1991, f. 4-25-91, cert. ef. 5-1-91

437-001-1060

Self-Insured and Group Self-Insured Employer Loss Prevention Effort

Each self-insured employer and each member of a group self-insured program shall implement a loss prevention effort for each of it locations, which identifies and controls all reasonably discoverable occupational safety and health hazards and items not in compliance with the federal or the division's occupational safety and health laws, rules and standards. The self-insured group shall assist each member of the group in developing and implementing the loss prevention effort. This loss prevention effort shall include at least the following:

(1) Management commitment to health and safety;

(2) An accountability system for employer and employees;

(3) Training practices and follow-up;

(4) A system for hazard assessment and control;

(5) A system for investigating all recordable occupational injuries and illnesses that includes corrective action and written findings;

(6) A system for evaluating, obtaining, and maintaining personal protective equipment;

(7) On-site routine industrial hygiene and safety evaluations to detect physical and chemical hazards of the workplace, and the implementation of engineering or administrative controls;

(8) Evaluation of workplace design, layout and operation, and assistance with job site modifications utilizing an ergonomic approach;

(9) Employee involvement in the health and safety effort; and

(10) An annual evaluation of the employer's loss prevention activities based on the location's current needs.

(11) The group shall maintain records which document the assistance provided to each member of the group.

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 8-1991, f. 4-25-91, cert. ef. 5-1-91

Assessment of Civil Penalties
437-001-1065

Penalty Provisions for Insurers

(1) For insurers who fail to comply with the law and the requirements of OAR 437-001-1005 through 437-001-1065, the Administrator:

(a) Shall assess a civil penalty in accordance with ORS 654.086(i); and

(b) May send a notice to an insurer, in accordance with ORS 656.447, of the Director's intent to request the Administrator of the Insurance Division to suspend or revoke the insurer's certificate of authority.

(2) For self-insured employers who fail to comply with the law and the requirements of OAR 437-001-1005 through 437-001-1065, the Administrator shall assess a civil penalty in accordance with ORS 654.086(i).

Stat. Auth.: ORS 654.025(2) & ORS 656.726(3)
Stats. Implemented: ORS 654.001 - ORS 654.295
Hist.: APD 21-1988, f. & cert. ef. 12-27-88; OSHA 7-1992, f. 7-31-92, cert. ef. 10-1-92

APPENDIX A
(See OAR 437-001-1040(2)(a))

Mandatory Loss Prevention Plan Worksheet



This worksheet is provided to analyze the employer's loss prevention needs, and shall be completed jointly by the insurer and the employer. The information is for use by the employer in developing a comprehensive, written loss prevention plan to assist in lowering the employer's occupational injury and illness rate. The insurer is required to assist the employer in developing a loss prevention plan. A copy of this worksheet, including the results from the hazard assessment survey(s) completed by the insurer, must be provided to the employer.

Note: Insurers may use alternate worksheets to document the development of employer loss prevention plans, if they have been approved in advance by the Department of Consumer and Business Services.

Please attach any additional information if space provided is inadequate.



Date

Employer

Insurer

Name of Employer Representative

Name of Insurer Representative



1. Did the employer agree to develop a loss prevention plan? Yes/No? If not, how is this confirmed by the insurer?

2. Is management committed to occupational safety and health? How is this communicated to employees and supervisors?

3. Explain in detail how supervisors and employees are held accountable for occupational safety and health.

4. How are training programs and practices developed? How are training needs determined? What recordkeeping system is used to determine which employees have had training? What follow-up measures will be used to determine if training is effective?

5. Explain the employer's system for hazard assessment and control. Who is in charge of this system? How will the employer document the system's implementation and use?

6. Describe the employer's system for investigating accidents. Who investigates the accidents and analyzes results? How are findings communicated and to whom?

7. What personal protective equipment do employees need? Describe the employer's system for evaluating, obtaining and maintaining all personal equipment. Who keeps what types of records on maintenance of personal protective equipment?

8. Explain and provide specifics on evaluation of the employer's workplace design, layout, and operation from an ergonomic approach. What assistance will the insurer provide to the employer for job site modifications from an ergonomic approach?

9. How is employee involvement in the occupational safety and health effort demonstrated? How is the opportunity for involvement communicated to employees? If meetings are held, how often? What is the scope of the meetings and who attends them? Who takes the minutes of the meetings? How are meeting results communicated?

10. A hazard assessment survey must be conducted. (See ORS 656.451(3): "Such services shall include the conduct of workplace surveys to identify health and safety problems)." What are the specific findings of this survey? How will hazards identified or suspected be addressed in tailoring the plan to meet specific needs of the employer? How will hazards be corrected?

11. After completing this analysis of the employer's loss prevention management plan, who will be responsible for writing the plan: the insurer, the employer, or both? In what time frame will this plan be written?

12. The insurer must assist the employer in implementing the loss prevention plan. Has the employer requested such assistance? If so, when will the insurer meet again with the employer to assist in this ongoing effort?



This form is provided as a service to workers' compensation insurers by the Department of Consumer and Business Services, Oregon Occupational Safety and Health Division (OR-OSHA). Photocopying is permitted.

APPENDIX B
Instructions for Computing Lost Workday Case
Incident Rates (LWDCIR) for an Individual Firm



Incidence rates for an individual establishment or firm may be calculated by employers by using the same formula used to calculate industry-wide incidence rates from the annual Occupational Injury and Illness Survey. An employer may then compare her/his own work injury and illness experience to the overall experience in her/his industry in Oregon or the nation.

The formula requires: (a) the number of lost workday cases, and (b) the number of hours actually worked by all employees during the reference period. To produce an overall incidence rate:

(a) Determine the number of lost workday cases by adding the totals for columns 2 and 9 of the Occupational Injuries and Illnesses Log (OSHA No. 200).

(b) Total the number of hours actually worked during the year by all employees from payroll or other time records. The hours worked figure should not include any non-work time even though paid, such as vacations, sick leave, holidays, etc. (If actual hours worked are not available for employees paid on commission, salary, by the mile, etc., hours worked may be estimated on the basis of scheduled hours or 8 hours per workday.) The formula for computing the incidence rate is as follows: (continued)