OSHA Field Inspection Reference Manual CPL 2.103
Section 4 - TOC - Table of Contents
 OSHA Field Inspection Reference Manual - Table of Contents
- Chapter Number: TOC
- Chapter Title: Table of Contents
TABLE OF CONTENTS
CHAPTER I. PRE-INSPECTION PROCEDURES
A. GENERAL RESPONSIBILITIES AND ADMINISTRATIVE PROCEDURES
1. Regional Administrator.. . . . . . . . . . . . . . . I-1
2. Area Director. . . . . . . . . . . . . . . . . . . . I-1
3. Assistant Area Director. . . . . . . . . . . . . . . I-1
4. Compliance Safety and Health Officer.. . . . . . . . I-1
a. General. . . . . . . . . . . . . . . . . . . . . I-1
b. Subpoena Served on CSHO. . . . . . . . . . . . . I-2
c. Testifying in Hearings . . . . . . . . . . . . . I-2
d. Release of Inspection Information. . . . . . . . I-2
e. Disposition of Inspection Records. . . . . . . . I-2
5. General Area Office Responsibilities . . . . . . . . I-2
B. INSPECTION SCHEDULING
1. Program Planning . . . . . . . . . . . . . . . . . . I-3
2. Inspection/Investigation Types . . . . . . . . . . . I-3
a. Unprogrammed . . . . . . . . . . . . . . . . . . I-3
b. Unprogrammed Related . . . . . . . . . . . . . . I-3
c. Programmed . . . . . . . . . . . . . . . . . . . I-3
d. Programmed Related . . . . . . . . . . . . . . . I-3
3. Inspection Priorities. . . . . . . . . . . . . . . . I-4
a. Order of Priority. . . . . . . . . . . . . . . . I-4
b. Efficient Use of Resources . . . . . . . . . . . I-4
c. Followup Inspections . . . . . . . . . . . . . . I-4
4. Inspection Selection Criteria. . . . . . . . . . . . I-4
a. General Requirements . . . . . . . . . . . . . . I-4
b. Employer Contacts. . . . . . . . . . . . . . . . I-5
C. COMPLAINTS AND OTHER UNPROGRAMMED INSPECTIONS
1. General. . . . . . . . . . . . . . . . . . . . . . . I-5
2. Definitions. . . . . . . . . . . . . . . . . . . . . I-6
3. Identity of Complaint. . . . . . . . . . . . . . . . I-6
4. Formalizing Oral Complaints. . . . . . . . . . . . . I-6
5. Imminent Danger Report Received by the Field . . . . I-7
6. Formal Complaints. . . . . . . . . . . . . . . . . . I-7
7. Nonformal Complaints . . . . . . . . . . . . . . . . I-8
8. Results of Inspection to Complainant . . . . . . . . I-9
9. Discrimination Complaints. . . . . . . . . . . . . . I-9
10.Referrals. . . . . . . . . . . . . . . . . . . . . . I-10
11.Accidents. . . . . . . . . . . . . . . . . . . . . . I-10
D. PROGRAMMED INSPECTIONS. . . . . . . . . . . . . . . . . I-10
E. INSPECTION PREPARATION
1. General. . . . . . . . . . . . . . . . . . . . . . . I-10
2. Planning . . . . . . . . . . . . . . . . . . . . . . I-10
3. Advance Notice of Inspections. . . . . . . . . . . . I-11
4. Preinspection Compulsory Process . . . . . . . . . . I-12
5. Expert Assistance. . . . . . . . . . . . . . . . . . I-12
6. Personal Security Clearance. . . . . . . . . . . . . I-13
7. Disclosure of Records. . . . . . . . . . . . . . . . I-13
8. Classified and Trade Secret Information. . . . . . . I-13
CHAPTER II. INSPECTIONS PROCEDURES
A. GENERAL INSPECTION PROCEDURES
1. Inspection Scope . . . . . . . . . . . . . . . . . . II-1
a. Comprehensive. . . . . . . . . . . . . . . . . . II-1
b. Partial. . . . . . . . . . . . . . . . . . . . . II-1
2. Conduct of the Inspection. . . . . . . . . . . . . . II-1
a. Time of Inspection . . . . . . . . . . . . . . . II-1
b. Presenting Credentials . . . . . . . . . . . . . II-1
c. Refusal to Permit Inspection . . . . . . . . . . II-2
(1) Refusal of Entry or Inspection . . . . . . II-2
(2) Employer Interference. . . . . . . . . . . II-2
(3) Administrative Subpoena. . . . . . . . . . II-3
(4) Obtaining Compulsive Process . . . . . . . II-3
(5) Compulsory Process . . . . . . . . . . . . II-6
(6) Action to be Taken Upon Receipt of
Compulsory Process. . . . . . . . . . . . II-7
(7) Federal Marshal Assistance . . . . . . . . II-7
(8) Refused Entry or Interference with a
Compulsory Process. . . . . . . . . . . . II-8
d. Forcible Interference with Conduct of
Inspection or Other Official Duties . . . . . . II-8
e. Release for Entry. . . . . . . . . . . . . . . . II-8
f. Bankrupt or Out of Business. . . . . . . . . . . II-8
g. Strike or Labor Dispute. . . . . . . . . . . . . II-9
h. Employee Participation . . . . . . . . . . . . . II-9
3. Opening Conference . . . . . . . . . . . . . . . . . II-10
a. Attendance at Opening Conference . . . . . . . . II-10
b. Scope. . . . . . . . . . . . . . . . . . . . . . II-10
c. Forms Completion . . . . . . . . . . . . . . . . II-10
d. Employees of Other Employers . . . . . . . . . . II-10
e. Voluntary Compliance Programs. . . . . . . . . . II-10
(1) Section 7(c)(1) and Contract Consultations II-11
(2) Voluntary Protection Programs (VPP). . . . II-11
f. Walkaround Representatives . . . . . . . . . . . II-11
(1) Employees Represented by a Certified or
Recognized Bargaining Agent . . . . . . . II-12
(2) Safety Committee . . . . . . . . . . . . . II-12
(3) No Certified or Recognized Bargaining
Agent . . . . . . . . . . . . . . . . . . II-12
g. Preemption by Another Agency . . . . . . . . . . II-12
h. Disruptive Conduct . . . . . . . . . . . . . . . II-12
i. Trade Secrets. . . . . . . . . . . . . . . . . . II-12
j. Classified Areas . . . . . . . . . . . . . . . . II-13
k. Examination of Record Programs and Posting
Requirements. . . . . . . . . . . . . . . . . . II-13
(1) Records. . . . . . . . . . . . . . . . . . II-13
(2) Lost Workday Injury (LWDI) Rate. . . . . . II-13
(3) Posting. . . . . . . . . . . . . . . . . . II-14
4. Walkaround Inspection. . . . . . . . . . . . . . . . II-14
a. Evaluation . . . . . . . . . . . . . . . . . . . II-14
b. Record All Facts Pertinent to an Apparent
Violation . . . . . . . . . . . . . . . . . . . II-14
c. Collecting Samples . . . . . . . . . . . . . . . II-14
d. Taking Photographs and/or Videotapes . . . . . . II-15
e. Interviews . . . . . . . . . . . . . . . . . . . II-15
(1) Purpose. . . . . . . . . . . . . . . . . . II-15
(2) Employee Right of Complaint. . . . . . . . II-15
(3) Time and Location. . . . . . . . . . . . . II-15
(4) Privacy. . . . . . . . . . . . . . . . . . II-15
(5) Interview Statements . . . . . . . . . . . II-16
f. Employer Abatement Assistance. . . . . . . . . . II-16
(1) Policy . . . . . . . . . . . . . . . . . . II-16
(2) Disclaimers. . . . . . . . . . . . . . . . II-17
g. Special Circumstances. . . . . . . . . . . . . . II-17
(1) Trade Secrets. . . . . . . . . . . . . . . II-17
(2) Violations of Other Laws . . . . . . . . . II-18
5. Closing Conference . . . . . . . . . . . . . . . . . II-18
B. SPECIAL INSPECTION PROCEDURES
1. Followup and Monitoring Inspections. . . . . . . . . II-19
a. Inspection Procedures. . . . . . . . . . . . . . II-19
b. Failure to Abate . . . . . . . . . . . . . . . . II-20
c. Reports. . . . . . . . . . . . . . . . . . . . . II-20
d. Followup Files . . . . . . . . . . . . . . . . . II-20
2. Fatality/Catastrophe Investigations. . . . . . . . . II-20
a. Definitions. . . . . . . . . . . . . . . . . . . II-20
b. Selection of CSHO. . . . . . . . . . . . . . . . II-21
c. Families of Victims. . . . . . . . . . . . . . . II-21
d. Criminal . . . . . . . . . . . . . . . . . . . . II-22
e. Rescue Operations. . . . . . . . . . . . . . . . II-22
f. Public Information Policy. . . . . . . . . . . . II-22
3. Imminent Danger Investigations . . . . . . . . . . . II-22
a. Definition . . . . . . . . . . . . . . . . . . . II-22
b. Requirements . . . . . . . . . . . . . . . . . . II-23
c. Inspection . . . . . . . . . . . . . . . . . . . II-23
4. Construction Inspections . . . . . . . . . . . . . . II-24
a. Standards Applicability. . . . . . . . . . . . . II-24
b. Definition . . . . . . . . . . . . . . . . . . . II-24
c. Employer Worksite. . . . . . . . . . . . . . . . II-24
d. Entry of the Workplace . . . . . . . . . . . . . II-25
e. Closing Conference . . . . . . . . . . . . . . . II-25
5. Federal Agency Inspections . . . . . . . . . . . . . II-25
CHAPTER III INSPECTION DOCUMENTATION
A. FOUR STAGE CASE FILE DOCUMENTATION
1. General. . . . . . . . . . . . . . . . . . . . . . . III-1
2. Case File Stages . . . . . . . . . . . . . . . . . . III-1
B. SPECIFIC FORMS
1. Narrative, Form OSHA-1A. . . . . . . . . . . . . . . III-3
2. Photo Mounting Worksheet, Form OSHA-89 . . . . . . . III-4
3. Inspection Case File Activity Diary Insert . . . . . III-4
C. VIOLATIONS
1. Basis of Violations. . . . . . . . . . . . . . . . . III-4
a. Standards and Regulations. . . . . . . . . . . . III-4
b. Employee Exposure. . . . . . . . . . . . . . . . III-5
2. Types of Violations. . . . . . . . . . . . . . . . . III-6
a. Other-than-serious . . . . . . . . . . . . . . . III-6
b. Serious. . . . . . . . . . . . . . . . . . . . . III-7
c. Violations of the General Duty Clause. . . . . . III-8
(1) Evaluation of Potential Section 5(a)(1)
Situations. . . . . . . . . . . . . . . . III-8
(2) Discussion of Section 5(a)(1) Elements . . III-8
(3) Limitations on Use of the General Duty
Clause. . . . . . . . . . . . . . . . . . III-12
(4) Pre-Citation Review. . . . . . . . . . . . III-13
d. Willful. . . . . . . . . . . . . . . . . . . . . III-13
e. Criminal/Willful . . . . . . . . . . . . . . . . III-15
f. Repeated . . . . . . . . . . . . . . . . . . . . III-17
g. De Minimis . . . . . . . . . . . . . . . . . . . III-19
3. Health Standard Violations . . . . . . . . . . . . . III-20
a. Citation of Ventilation Standards. . . . . . . . III-20
b. Violations of the Noise Standard . . . . . . . . III-21
c. Violations of the Respirator Standard. . . . . . III-23
d. Additive and Synergistic Effects . . . . . . . . III-25
e. Absorption and Ingestion Hazards . . . . . . . . III-25
f. Biological Monitoring. . . . . . . . . . . . . . III-25
4. Writing Citations. . . . . . . . . . . . . . . . . . III-25
5. Combining and Grouping of Violations . . . . . . . . III-26
a. Combining. . . . . . . . . . . . . . . . . . . . III-26
b. Grouping . . . . . . . . . . . . . . . . . . . . III-26
c. When Not to Group. . . . . . . . . . . . . . . . III-27
6. Multiemployer Worksites. . . . . . . . . . . . . . . III-28
7. Employer/Employee Responsibilities . . . . . . . . . III-29
8. Affirmative Defenses . . . . . . . . . . . . . . . . III-29
a. Definition . . . . . . . . . . . . . . . . . . . III-29
b. Burden of Proof. . . . . . . . . . . . . . . . . III-29
c. Explanations . . . . . . . . . . . . . . . . . . III-30
CHAPTER IV. POST-INSPECTION PROCEDURES
A. ABATEMENT
1. Period . . . . . . . . . . . . . . . . . . . . . . . IV-1
2. Reasonable Abatement Date. . . . . . . . . . . . . . IV-1
3. Verification of Abatement. . . . . . . . . . . . . . IV-1
4. Effect of Contest Upon Abatement Period. . . . . . . IV-1
5. Long-Term Abatement Date for Implementation of
Feasible Engineering Controls . . . . . . . . . . . IV-2
6. Feasible Administrative, Work Practice and
Engineering Controls. . . . . . . . . . . . . . . . IV-3
a. Definitions. . . . . . . . . . . . . . . . . . . IV-3
b. Responsibilities . . . . . . . . . . . . . . . . IV-4
c. Reducing Employee Exposure . . . . . . . . . . . IV-4
B. CITATIONS
1. Issuing Citations. . . . . . . . . . . . . . . . . . IV-4
2. Amending or Withdrawing Citation and Notification
of Penalty. . . . . . . . . . . . . . . . . . . . . IV-5
a. Citation Revision Justified. . . . . . . . . . . IV-5
b. Citation Revision Not Justified. . . . . . . . . IV-5
c. Procedures for Amending or Withdrawing
Citations . . . . . . . . . . . . . . . . . . . IV-6
C. PENALTIES
1. General Policy . . . . . . . . . . . . . . . . . . . IV-7
2. Civil Penalties. . . . . . . . . . . . . . . . . . . IV-8
a. Statutory Authority. . . . . . . . . . . . . . . IV-8
b. Minimum Penalties. . . . . . . . . . . . . . . . IV-8
c. Penalty Factors. . . . . . . . . . . . . . . . . IV-8
d. Gravity of Violation . . . . . . . . . . . . . . IV-9
e. Severity Assessment. . . . . . . . . . . . . . . IV-9
f. Probability Assessment . . . . . . . . . . . . . IV-9
g. Gravity-Based Penalty. . . . . . . . . . . . . . IV-10
h. Gravity Calculations for Combined or Grouped
Violations. . . . . . . . . . . . . . . . . . . IV-12
i. Penalty Adjustment Factors . . . . . . . . . . . IV-13
j. Effect on Penalties if Employer Immediately
Corrects. . . . . . . . . . . . . . . . . . . . IV-15
k. Failure to Abate . . . . . . . . . . . . . . . . IV-15
l. Repeated Violations. . . . . . . . . . . . . . . IV-16
m. Willful Violations . . . . . . . . . . . . . . . IV-17
n. Violation of 29 CFR Parts 1903 and 1904
Regulatory Requirements . . . . . . . . . . . . IV-19
3. Criminal Penalties . . . . . . . . . . . . . . . . . IV-24
D. POST-CITATION PROCESSES
1. Informal Conferences . . . . . . . . . . . . . . . . IV-24
a. General. . . . . . . . . . . . . . . . . . . . . IV-24
b. Procedures . . . . . . . . . . . . . . . . . . . IV-24
c. Participation by OSHA Officials. . . . . . . . . IV-24
d. Conduct of the Informal Conference . . . . . . . IV-25
e. Decisions. . . . . . . . . . . . . . . . . . . . IV-25
f. Failure to Abate . . . . . . . . . . . . . . . . IV-26
2. Petitions for Modification of Abatement Date (PMA) . IV-26
a. Filing Date. . . . . . . . . . . . . . . . . . . IV-26
b. Failure to Meet All Requirements . . . . . . . . IV-26
c. Delayed Decisions. . . . . . . . . . . . . . . . IV-26
d. Area Office Position on the PMA. . . . . . . . . IV-27
e. Employee Objections. . . . . . . . . . . . . . . IV-27
3. Services Available to Employers. . . . . . . . . . . IV-28
4. Settlement of Cases by Area Directors. . . . . . . . IV-28
a. General. . . . . . . . . . . . . . . . . . . . . IV-28
b. Pre-Contest Settlement (Informal Settlement
Agreement). . . . . . . . . . . . . . . . . . . IV-29
c. Procedures for Preparing an Informal Settlement
Agreement . . . . . . . . . . . . . . . . . . . IV-31
d. Post-Contest Settlement (Formal Settlement
Agreement). . . . . . . . . . . . . . . . . . . IV-31
e. Corporate-Wide Settlement Agreement. . . . . . . IV-31
5. Guidance for Determining Final Dates of Settlements
and Review Commission Orders. . . . . . . . . . . . IV-31
E. REVIEW COMMISSION
1. Transmittal of Notice of Contest and Other Documents
to Review Commission . . . . . . . . . . . . . . . IV-32
a. Notice of Contest. . . . . . . . . . . . . . . . IV-32
b. Documents to Executive Secretary . . . . . . . . IV-33
c. Petitions for Modification of Abatement Dates
(PMAs). . . . . . . . . . . . . . . . . . . . . IV-34
2. Transmittal of File to Regional Solicitor. . . . . . IV-35
a. Notification of the Regional Solicitor . . . . . IV-35
b. Subpoena . . . . . . . . . . . . . . . . . . . . IV-35
3. Communications with Commission Employees . . . . . . IV-35
4. Dealings with Parties while Proceedings are Pending
Before the Commission . . . . . . . . . . . . . . . IV-35
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