OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
SUBJECT: Changes to the Field Operations Manual (FOM)
A. Purpose. This instruction transmits page changes to OSHA
Instruction CPL 2.45B, June 15, 1989, Field Operations Manual (FOM).
B. Scope. This instruction applies OSHA-wide
C. References.
1. OSHA Instruction CPL 2.25I, January 4, 1995, Scheduling System
for Programmed Inspections.
2. OSHA Instruction CPL 2.35 CH-25, August 29, 1994, Regulatory
and General Industry SAVE's Manual.
3. OSHA Instruction CPL 2.103, September 26, 1994, Field
Inspection Reference Manual (FIRM).
D. Background. This instruction will update the FOM, by removing
sections that are being superseded by the Field Inspection Reference Manual
(FIRM).
E. Action. Replace existing pages with the attached CH-5 pages as
listed below:
Existing Pages Replacement Pages
Table of Contents 1 through 16 Table of Contents 1 through 5
I-1 through 13 I-1 II-1 through 34
II-1 III-1 through 88 III-1 III-A-1 through A-27
III-A-1 IV-1 through 41 IV-1 V-1 through 35
V-1 VI-1 through 20 VI-19 through 20 VI-29 through
30 VI-29 through 30 VII-1 through 8
VII-1
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
VIII-1 through 9 VIII-1 IX-1 through 17
IX-1 XII-1 through 6 XII-1 XV-1 through 7
XV-1 Index-1 through Index-21 Index-1 through
Index-6
F. Federal Agencies. This instruction describes a change that
affects Federal agencies. Executive Order 12196, Section 1-201, and 29 CFR
1960.16, maintains that Federal agencies must also follow the enforcement
policy and procedures contained in this instruction.
G. Federal Program Change. This instruction describes a Federal
program change which affects State programs. Each Regional Administrator
shall:
1. Ensure that this change is promptly forwarded to each State
designee using a format consistent with the Plan Change Two-way Memorandum in
Appendix P, OSHA Instruction STP 2.22A, State Plan Policies and Procedures
Manual (SPM). Explain the content of this change to the State designee as
requested.
2. Advise the State designees that they are required to respond to
Change 5 of the FOM in coordination with their response to the Field
Inspection Reference Manual (FIRM). States should refer to the cover
memorandum which accompanied OSHA Instruction CPL 2.103 (The FIRM).
3. Ensure that the State designees are asked to acknowledge
receipt of this Federal program change in writing to the Regional
Administrator as soon as possible, but not later than 70 calendar days after
the date of issuance (10 days for mailing and 60 days for response). The
acknowledgment must include a statement indicating the State's intention with
regard to adopting Change 5 of the FOM.
4. Ensure that State designees submit the appropriate State plan
supplement(s) within 6 months and that it(they) is(are) reviewed and
processed in accordance with paragraphs I.1.a.(3)(a) and (b), Part 1 of the
SPM as it relates to the State's intended action with regard to adoption of
the FIRM. Each State's plan supplement(s) must result in a body of
compliance policies/procedures that is(are) at least as effective as the
Federal policies/procedures contained in the reconfigured and revised
FIRM/FOM. States shall provide cross-reference information identifying where
State procedures are located that parallel each chapter of the Federal
FIRM/FOM.
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
H. Significant Changes.
1. Removes sections A. through F., inclusive, from Chapter I
(Pages I-1 through I-16).
2. Removes sections A. through G., inclusive, from Chapter II
(Pages II-1 through II-34).
3. Removes sections A. through I., inclusive, from Chapter III
(Pages III-1 through III-88).
4. Removes all of Appendix A of Chapter III (Pages III-A-1 through
III-A-27).
5. Removes sections A. through C., inclusive, from Chapter IV
(Pages IV-1 through IV-41).
6. Removes sections A. through H., inclusive, from Chapter V
(Pages V-1 through V-16.2).
7. Removes all of the Appendix (SAVEs and AVDs) from Chapter V
(Pages V-17 through V-35).
8. Removes sections A. through C., inclusive, from Chapter VI
(Pages VI-1 through VI-20).
9. Amends section E.12 regarding debts of $100,000 or more (Pages
VI-29 through VI-30).
10. Removes sections A. through F., inclusive, from Chapter VII
(Pages VII-1 through I-8).
11. Removes sections A. through D., inclusive, from Chapter VIII
(Pages VIII-1 through I-9).
12. Removes sections A. and B. from Chapter IX (Pages IX-1 through
IX-17).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
13. Removes sections A. through G., inclusive, from Chapter XII
(Pages XII-1 through XII-6).
14. Removes sections A. through E., inclusive, from Chapter XV
(Pages XV-1 through XV-7).
Joseph A. Dear Assistant Secretary
DISTRIBUTION: National, Regional, and Area Offices All Compliance Officers
State Designees NIOSH Regional Program Directors 7(c)(1) Project Managers
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER PAGE
TABLE OF CONTENTS
I. GENERAL RESPONSIBILITIES AND ADMINISTRATIVE PROCEDURES
Removed. Refer to OSHA Instruction CPL 2.103 (the FIRM.)
II. COMPLIANCE PROGRAMMING
Sections A., B., C., D., E., F.1, and G.
removed. Refer to OSHA Instruction CPL 2.103.
Section F.2, removed. Refer to OSHA Instruction CPL 2.25I.
III. GENERAL INSPECTION PROCEDURES
Removed. Refer to OSHA Instruction CPL 2.103.
APPENDIX A
Removed. Refer to OSHA Instruction CPL 2.103.
IV. VIOLATIONS
Removed. Refer to OSHA Instruction CPL 2.103.
V. CITATIONS
Removed. Refer to OSHA Instruction CPL 2.103.
APPENDIX (SAVEs and AVDs)
Removed. Refer to OSHA Instruction CPL 2.35, CH-25.
VI. PENALTIES
A., B., and C. removed. Refer to OSHA Instruction CPL 2.103.
D. Handling Monies Received from Employers . . . VI-20 1.
Responsibility of Area Director. . . . . VI-20
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER PAGE
VI. D. 2. Receiving Payments . . . . . . . . . . . VI-20
a. Methods of Payment. . . . . . . . . VI-20 b.
Identifying Payment . . . . . . . . VI-20 c. Adjustments to Payments .
. . . . . VI-21 d. Incorrect, Unhonored or Foreign Payments. . . . . .
. . . . VI-21 e. Endorsing Payments. . . . . . . . . VI-22 f.
Depositing Payments . . . . . . . . VI-22 g. Records . . . . . . . . .
. . . . . VI-22 3. Returning Penalty Payments . . . . . . .
VI-23
E. Debt Collection Procedures. . . . . . . . . . VI-23 1.
Policy . . . . . . . . . . . . . . . . . VI-23 2. Time Allowed for
Payment of Penalties. . VI-23 3. Guidance for Determining Final Dates
of Settlements and Review Commission Orders . . . . . . . . . . . . . . . . .
VI-24 4. Notification Procedures (First Demand Letter) . . . . . . . .
. . . . . VI-25 5. Notification of Overdue Debt (Second Demand Letter)
. . . . . . . . . . . . . VI-25 6. Assessment of Additional Charges . .
. . VI-26 7. Assessment Procedures. . . . . . . . . . VI-26 8.
Application of Payments. . . . . . . . . VI-28 9. Uncollectible
Penalties. . . . . . . . . VI-28 10. National Office Debt Collection
Procedures . . . . . . . . . . . . . . . VI-28 11. Referral of an
Uncollected Debt to the Solicitor. . . . . . . . . . . . . . VI-29 12.
Debts Over $100,000. . . . . . . . . . .
VI-30
VII. IMMINENT DANGER
Removed. Refer to OSHA Instruction CPL 2.103.
VIII. FATALITY/CATASTROPHE INVESTIGATIONS
Removed. Refer to OSHA Instruction CPL 2.103.
IX. COMPLAINTS AND REFERRALS
Removed. Refer to OSHA Instruction CPL 2.103.
X. DISCRIMINATION COMPLAINTS
Removed. Refer to OSHA instruction DIS .4B
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER PAGE
XI. TEMPORARY LABOR CAMP INSPECTIONS
A. General . . . . . . . . . . . . . . . . . . . XI-1 1.
Background . . . . . . . . . . . . . . . XI-1 2. Definitions. . . . . .
. . . . . . . . . XI-1
B. Enforcement of Temporary Labor Camp Standards . . . . . . . . .
. . . . . . . . . XI-1 1. Choice of Standards. . . . . . . . . . .
XI-1 2. Informing Employers. . . . . . . . . . . XI-2
C. Migrant Camp Inspection Procedures. . . . . . XI-2 1.
Targeted Inspections . . . . . . . . . . XI-2 2. Regional Liaison with
Other Agencies . . XI-2 3. Referrals and Complaints . . . . . . . .
XI-3 4. Worker Occupied Housing. . . . . . . . . XI-3 5. Primary
Concern. . . . . . . . . . . . . XI-3 6. Dimensions . . . . . . . . . .
. . . . . XI-4
D. Documentation for Migrant Housing Inspections . . . . . . . . .
. . . . . . . . XI-4
XII. CONSTRUCTION
Removed. Refer to OSHA Instruction CPL 2.103.
XIII. FEDERAL AGENCY SAFETY AND HEALTH PROGRAMS
A. Scope . . . . . . . . . . . . . . . . . . . . XIII-1 1.
Statutory Requirements . . . . . . . . . XIII-1 2. Jurisdiction . . . .
. . . . . . . . . . XIII-1 3. General Guidance . . . . . . . . . . . .
XIII-2 4. Definitions. . . . . . . . . . . . . . . XIII-3 5.
References . . . . . . . . . . . . . . . XIII-4
B. Compliance. . . . . . . . . . . . . . . . . . XIII-4 1.
Targeted Inspections . . . . . . . . . . XIII-4 a. Targeting List. . .
. . . . . . . . XIII-5 b. Special Emphasis Targeting. . . . .
XIII-6 c. Scheduling of Targeted Inspections. XIII-6 d. Conduct of
Targeted Inspections . . XIII-6 2. Fatality/Catastrophe Investigations.
. . XIII-6 a. Excluded Agencies . . . . . . . . . XIII-6
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER PAGE
b. Receipt of Fatality/Catastrophe Reports . . . . . . . .
. . . . . . XIII-6 c. Agency Investigation. . . . . . . . XIII-7 d.
OSHA Investigation Decision . . . . XIII-7 XIII. 3. Reports of
Unsafe or Unhealthful Working Conditions (Complaints). . . . . . . . .
XIII-7 a. Receipt and Recording of Complaints XIII-7 b. Responding to
Complaints. . . . . . XIII-8 c. Responding to Complaints When the
Agency Has Certified Committees . . XIII-9 d. Responding to Complaints
When OSHA Does Not Have Authority . . . . . . XIII-11 4. Reports of
Safety and Health Program Violations . . . . . . . . . . . . . . .
XIII-11 5. Reports of Reprisal. . . . . . . . . . . XIII-12 6.
Refusal of Entry . . . . . . . . . . . . XIII-13 7. Warrants/Subpoenas
. . . . . . . . . . . XIII-13 8. Recordkeeping and Reporting
Requirements XIII-14 a. Occupational Injury/illness Logs (OSHA Logs) .
. . . . . . . . . . . XIII-14 b. OWCP Compensation Forms . . . . . .
XIII-14
C. Evaluation. . . . . . . . . . . . . . . . . . XIII-14 1.
Purpose. . . . . . . . . . . . . . . . . XIII-14 2. Time Frames. . . .
. . . . . . . . . . . XIII-15 3. National Office Responsibilities . . .
. XIII-16 4. Regional/Area Office Responsibilities for Evaluations. . .
. . . . . . . . . . XIII-18
D. Agency Technical Assistance Requests (ATARS). XIII-22
E. Notice of Unsafe or Unhealthful Working Conditions, OSHA-2H
Form, (OSHA Notice) . . . XIII-23 1. Issuance of OSHA Notice. . . . . .
. . . XIII-23 2. Cover Letter . . . . . . . . . . . . . .
XIII-25
F. Informal Conference Procedures. . . . . . . . XIII-26
G. Verification of Abatement . . . . . . . . . . XIII-27
H. Petitions for Modification of Abatement Dates (PMAs). . . . . .
. . . . . . . . . . . XIII-27
I. Failure-to-Abate. . . . . . . . . . . . . . . XIII-27
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER PAGE
APPENDIX A 29 CFR 1960 Citable Program Elements . . . . XIII-A-1
XIV. DISCLOSURE
A. Policy and Procedures . . . . . . . . . . . . XIV-1 1.
Policy . . . . . . . . . . . . . . . . . XIV-1 2. Procedures . . . . .
. . . . . . . . . . XIV-1
B. Specific Guidelines . . . . . . . . . . . . . XIV-1 1.
Enforcement Proceedings. . . . . . . . . XIV-1 2. Disclosability of
Records. . . . . . . . XIV-1 3. Requests for Records . . . . . . . . .
. XIV-2 4. Disclosable Information on Case File Forms XIV-2 5.
Nondisclosable Information on Case File Forms. . . . . . . . . . . . . . . .
. . XIV-5 6. Information Which May be Exempt from Disclosure in Whole
or in Part on Case File Forms . . . . . . . . . . . . . . . XIV-7 7.
Disclosure of Witnesses' Statements. . . XIV-11 8. Medical Records. . .
. . . . . . . . . . XIV-11 9. State Plan Monitoring Files. . . . . . .
XIV-11 10. Retention of FOIA Files. . . . . . . . . XIV-12 11.
Waiver of Fees . . . . . . . . . . . . . XIV-12
XV. REVIEW COMMISSION
Removed. Refer to OSHA Instruction CPL 2.103.
INDEX . . . . . . . . . . . . . . . . . . . . . . . . . Index-1
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER I
GENERAL RESPONSIBILITIES AND ADMINISTRATIVE PROCEDURES
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER II
COMPLIANCE PROGRAMMING
Sections A., B., C., D., E., F.1., and G have been removed. Refer to OSHA
Instruction CPL 2.103, Field Inspection Reference Manual (FIRM).
Section F.2. has been removed. Refer to OSHA Instruction CPL 2.25I,
Scheduling System for Programmed Inspections.
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER III
GENERAL INSPECTION PROCEDURES
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
APPENDIX A
This appendix to Chapter III has been removed. Refer to OSHA Instruction
2.103, Field Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER IV
VIOLATIONS
This chapter has been removed. Refer to OSHA Instruction CPL 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER V
CITATIONS
This chapter has been removed. Refer to OSHA Instruction 2.103., Field
inspection Reference Manual (FIRM).
The Appendix (SAVEs and AVDs) has also been removed. Refer to OSHA
Instruction CPL 2.35, CH-25.
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER VI
PENALTIES
Sections A., B., and C., have been removed. Refer to OSHA Instruction CPL
2.103, Field Inspection Reference Manual (FIRM).
This page replaces deleted pages VI-1 through VI-19
D. Handling Monies Received from Employers.
1. Responsibility of Area Director. It is OSHA policy to
collect penalties owed the government as a result of the legitimate exercise
of statutory authority. The Area Director is responsible for informing
employers of OSHA's debt collection procedures, collecting assessed penalties
from employers, reporting penalty amounts collected and those due,
calculating interest and other charges on overdue penalty amounts, referring
cases with uncollected penalties to the National Office, transferring
selected cases to the Regional Solicitor for legal action and tracking such
cases, and mailing collected monies in accordance with the procedures given
in this chapter and in OSHA Instruction ADM 1-1.12B, Chapter XXIII, and other
relevant OSHA Instructions.
2. Receiving Payments. The Area Director shall be guided
by the following with regard to penalty payments:
a. Methods of Payment. Employers assessed penalties
shall remit the total payment to the Area Office by certified check, personal
check, company check, postal money order, bank draft or bank money order,
payable to the U.S. Department of Labor--OSHA. Payment in cash shall
not be accepted. Upon request of the employer and for good cause, alternate
methods of payment are permissible, such as payments in
installments.
b. Identifying Payment. The Reporting I.D. of the Area
Office concerned, along with the Inspection Number, MUST BE PLACED in
the upper left corner of the face of the payment instrument. The date of
receipt MUST BE STAMPED in the upper right corner. referred to a
collection agency and to one or more credit reporting bureaus
(CRB).
E. 10. b. Referral to Debt Collection Agency. If the
debt remains uncollected after one calendar month from the
date that the third demand letter was sent, the case shall be referred to the
DCA. The DCA will have the case for a period of up to 6 months during which
time it will attempt to collect the overdue debt.
(1) Any penalty settlement offer received by the DCA shall
be referred to the appropriate Regional Administrator for
approval.
(2) All monies collected by the DCA will be forwarded to a
special account set up for the purpose.
c. Referral to Credit Reporting Bureau (CRB). If the
DCA fails to collect the debt within the established time frame, the
uncollected debt shall be returned to OMDS. OMDS shall initiate the
procedure for reporting the delinquent employer for listing with the CRB.
After reporting to the CRB, the case shall be referred to the Area Director
for appropriate disposition.
d. Referral to the Solicitor. If the debt was not
collected by the DCA, OMDS shall transmit all qualifying cases to the Area
Director through the Regional Administrator for evaluation and consideration
for referral to the Solicitor.
(1) Cases may qualify for referral to the Regional
Solicitor if the debt has uncollected penalties and fees of $5,000 or more.
If the inspection began prior to March 1, 1991, then the amount of
uncollected penalties and fees is $1000 or more. Unpaid penalties and fees
becoming due within the previous 5-year period may be aggregated for
collection purposes.
(2) Cases that do not meet the criteria given in
E.10.d.(1) shall be handled in accordance with E.10.c.
e. Update the Data Base. OMDS shall update the data
base to show that the case has been returned to the Area Office for action
following IMIS procedures.
11. Referral of an Uncollected Debt to the Solicitor. The
Area Director, in consultation with the Regional Administrator, shall
determine whether or not an uncollected debt meets the criterion of
E.10.d.(1) and is to be referred to the Regional Solicitor. If so, the Area
Director shall proceed as follows:
a. The Area Director shall forward the case file to the
Regional Solicitor with a memorandum requesting that appropriate legal action
be undertaken to collect the unpaid debt. This action shall be handled in
accordance with current IMIS procedures.
E. 11. b. While the case files are in the hands of the
Solicitor, the Area Director shall follow up on a quarterly
basis (by telephone with a note for the file) to determine the status of the
case and to ensure prompt notification of the
disposition.
c. Upon settlement or completion of litigation, the Area
Director shall contact the Regional Solicitor to determine what payment
arrangements have been established and to ensure that penalty payments are
received by the Area Office and promptly forwarded to the Lockbox Depository
in accordance with D.2.f.
(1) If the employer fails to meet the payment schedule
imposed upon it by the court, the case shall be returned to the Solicitor for
further legal action.
(2) Once a post-judgment action has been obtained from the
court, no further collection action is necessary; and the case may be closed
upon completion of abatement action.
12. Debts Over $100,000. The Authority
to compromise, or suspend or terminate collection action on uncollected debts
of $100,000 or more, exclusive of interest, delinquent charges, and
administrative costs, rests solely with the Department of Justice. (See
Department of Labor Managment Series (DLMS) 6, Chapter 1100, which was
revised March, 1994.)
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER VII
IMMINENT DANGER
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER VIII
FATALITY/CATASTROPHE INVESTIGATIONS
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER IX
COMPLAINTS AND REFERRALS
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-4 December 13, 1993 Office of General Industry
Compliance Assistance
CHAPTER X
DISCRIMINATION COMPLAINTS
This chapter has been removed. Refer to OSHA Instruction DIS .4B,
Investigator's Manual
OSHA Instruction CPL 2.45B CH-4 December 13, 1993 Office of General Industry
Compliance Assistance
CHAPTER XI
TEMPORARY LABOR CAMP INSPECTIONS
A. General.
1. Background. The Employment and Training Administration
(ETA) migrant housing standard was revised and published in the Federal
Register on March 4, 1980. The standard was renumbered from 20 CFR 620 to
Subpart E of Part 654 and became effective April 3, 1980. Migrant housing
facilities existing on April 3, 1980, will be governed in all respects by
either Subpart E of Part 654 or by the OSHA migrant housing standard 1910.142
(or variances granted thereto). The choice of governing standard will be left
to the discretion of the individual employer providing the housing. All new
migrant housing built on or after April 3, 1980, will be subject exclusively
to the requirements of 29 CFR 1910.142.
2. Definitions. For purposes of this chapter, the
following definitions apply:
a. Temporary Labor Camp or Migrant Housing Facility.
Farm housing directly related to the seasonal or temporary employment of
migrant farm workers. In this context, "housing" includes both permanent and
temporary structures located on or off the property of the employer, provided
they meet the foregoing definition.
b. New Construction. All migrant housing construction
started on or after April 3, 1980, including totally new structures and
additions to existing structures. Cosmetic remodeling work on pre-1980
structures will not apply and such structure should be treated as existing
housing.
B. Enforcement of Temporary Labor Camp Standards.
1. Choice of Standards. Prior to walk-around inspections
of temporary labor camps built before April 3, 1980, employers providing the
housing will be asked to specify their preference of applicable departmental
standards. Choices shall be limited to Subpart E of Part 654, 29 CFR
1910.142, or guidelines contained in variances from these standards. In the
latter instance, employers shall have available and be able to produce copies
of variances and whatever guidelines that might apply.
a. In instances where Subpart E of Part 654 is specified as
the governing standard for existing housing, hazardous conditions violating
both the ETA and OSHA requirements shall be cited under the OSHA standard.
Hazardous conditions found in violation of the ETA standards, but in
compliance with 29 CFR 1910.142 shall not be cited.
b. In instances where conditions are deemed in violation of
the ETA standard and not covered by the OSHA standard, either 5(a)(1) shall
be cited (serious violations) or such deficiencies shall be brought to the
employer's attention and correction shall be encouraged.
c. In instances where 29 CFR 1910.142 is selected by the
employer as the governing standard for an existing facility or is applicable
in the case of "new construction", all requirements of that standard shall
apply and shall be cited when violations are found.
d. Under no circumstances shall Subpart E of Part 654 be cited
by the inspecting CSHO as no authority exists within the Occupational Safety
and Health Act of 1970 to cite a standard not adopted under the
Act.
2. Informing Employers. Employers shall be made aware of
foregoing policy and procedures during the opening conference, prior to the
inspection of a migrant housing facility. This policy applies to all
employment-related migrant housing covered by OSHA, regardless of whether or
not employees housed in the facility are recruited through the U.S.
Employment Service's inter-intrastate clearance system.
C. Migrant Camp Inspection Procedures.
1. Targeted Inspections. Inspections of migrant housing
camps will be conducted annually in States under Federal Jurisdiction, either
by Federal CSHOs or 7(c)(1) contract personnel. Migrant housing inspections
will include fatality/catastrophe and complaint investigations, programmed
inspections, referrals and followups. Camp inspections shall be scheduled
during regular working hours in accordance with procedures in Chapter II,
E.2.b.(5).
2. Regional Liaison with Other Agencies. Regional
Administrators are responsible for working closely with Regional
Administrators of the Employment Standards Administration (ESA) and ETA in
the coordination of migrant housing inspections. ESA Regional Administrators
will continue to take the lead in the coordination effort in each Region.
Every effort shall be made to avoid duplication of effort.
a. Liason shall be established between OSHA Field offices and
local State Employment Security Administration (SESA) and Farm Labor
Contractor Registration Act (FLCRA) offices for the purpose of periodically
exchanging information on the locations and entry dates of the camps
investigated by each agency. In addition, Regional Administrators shall
advice 18(b) State Designees of the need to exchange housing inspection
information with ETA and FLCRA field offices in their
jurisdictions.
b. Based on reports received, inspection of camps investigated
by other DOL agencies during the same annual occupancy period shall be
avoided by both OSHA Federal and 18(b) State personnel. While there will be
instances where OSHA will be required to enter camps recently inspected by
ESA and/or ETA (e.g., accidents, complaints, referrals), efforts shall be
made to keep unnecessary overlap to a minimum.
3. Referrals and Complaints. Regional Administrators are
directed to monitor and maintain records on housing inspection referrals
received by Area Offices from SESA and FLCRA compliance personnel.
Investigations conducted in response to complaints shall be conducted in
accordance with Chapter IX. Both complaint investigations and inspections in
response to referrals shall be acted on as promptly as possible, resources
permitting.
4. Worker Occupied Housing. Generally, inspections shall
be conducted when migrant housing facilities are occupied. Inspections shall
be scheduled as soon as feasible after workers occupy housing so that, when
possible, hazards may be corrected early in the work season. Preoccupancy
inspections shall be conducted only in order to accomodate scheduling
difficulties, provided that, at the time of the inspection, it is reasonably
predictable that workers will imminently occupy the facilities.
a. Since employees may not speak English or may only speak
English as a second language, every effort shall be made, before the
inspection begins, to find a person to translate conversations with
employees.
b. The CSHO shall conduct inspections in such a manner as to
minimize disruptions to the personal lives of those living in the housing
facilities. If an occupant of a dwelling unit refuses entry for inspection
purposes, the CSHO shall not insist on entry and shall continue the
inspection unless, in the judgment of the CSHO, the lack of access to the
dwelling unit involved would substantially reduce the effectiveness of the
inspection. In that case, the procedures for refusal of entry shall be
followed. The same shall apply in cases where employers refuse entry to the
housing facility and/or to the entire farm.
c. During inspections, CSHOs shall encourage employers to
correct hazards as quickly as possible. Particular attention shall be paid to
identifying instances of failure to correct and violations repeated from
season to season. These violations shall be cited in accordance with normal
procedures.
5. Primary Concern. In conducting a temporary labor camp
inspection, the CSHO shall be primarily concerned with those facilities or
conditions which most directly relate to employee safety and health.
Accordingly, all migrant housing inspections shall address at least the
following:
a. Site. The location of the site in relation to
swamps, pools, sinkholes and other surfaces where water may collect and
remain for extended periods. The site shall be in a clean and sanitary
condition; i.e., free from rubbish, debris, waste paper, garbage and other
refuse.
b. Shelter. Whether the shelter provides protection
against the elements and whether the rooms are used for combined purposes of
sleeping, cooking and eating. For rooms used for sleeping purposes,
determine the number of occupants and size of the rooms. Determine for all
rooms whether there is proper ventilation and screening.
c. Water Supply. Whether the water supply has been
approved by the appropriate local health authority; determine the location of
hydrants.
d. Toilet Facilities. The type, number, location and
sanitary conditions of toilet facilities.
e. Laundry, Handwashing and Bathing Facilities. The
number, locations and conditions of these facilities.
f. First Aid Facilities. First aid facilities shall be
readily available.
6. Dimensions. The relevant dimensions and ratios
specified in 29 CFR 1910.142 are mandatory; however, it is inappropriate to
cite minor variations from specific dimensions and ratios when a violation
does not have an immediate or direct effect on safety and health. In those
cases in which the standard itself does not make reference to specific
dimensions or ratios but instead uses adequacy as the test for the cited
conditions and facilities, the Area Director shall make the determination as
to whether a violation exists on a case-by-case basis considering all
relevant factors.
D. Documentation for Migrant Housing Inspections. The following
facts shall be carefully documented:
1. The age of dwelling unit, including additions. For recently
built housing, date construction started.
2. Number of dwelling units, number of occupants in each
unit.
3. Approximate size of area in which the housing is located and
the distance between dwelling units and water supply, toilets, livestock and
service building.
4. Employer identity. Usually the grower rather than the crew
leader will be the employer of migrant workers. In many situations both may
be the employer for OSHA citation purposes, but citations shall normally be
issued to the grower since that employer is best positioned to correct any
OSHA violations. The identity of the employer, nevertheless, is often a
complex matter involving numerous criteria, the most important of which is
who determines the manner in which workers are to perform their tasks. Other
criteria are who pays their wages, who employees consider to be their
employer, who has the power to hire and fire, and who establishes wage
rates.
5. The housing provided or made available by the employer shall be
related to the employment of the worker. Housing shall be treated as
employment-related if:
a. Employers require employees to live in the housing,
or
b. Isolated location or the lack of economically comparable
alternative housing makes it a practical necessity to do so,
and/or
c. The housing is provided or made available as a benefit to
the employer. Applicable migrant housing standards shall be enforced if any
of the following factors in any given case indicate that operation of the
camp is directly related to the employment of its occupants:
(1) Cost of the housing to the employee - is it provided
free or at a low rent?
(2) Ownership or control of the housing - is the housing
owned or controlled or provided by the employer?
(3) Distance to the worksite from the camp, distance to the
worksite from other noncamp residences - is alternative housing accessible
(distance, travel, cost, etc.) to the worksite?
(4) The camp's benefit to the employer - does the employer
make the camp available in order to ensure that his business is provided with
an adequate supply of labor?
(5) Relationship of the camp occupants to the employer -
are those living in the camp required to work for the employer upon
demand?
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER XII
CONSTRUCTION
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-4 December 13, 1993 Office of General Industry
Compliance Assistance
CHAPTER XIII
FEDERAL AGENCY SAFETY AND HEALTH PROGRAMS
A. Scope.
1. Statutory Requirements. Only two Sections of the
Occupational Safety and Health Act (the Act) apply to Federal agencies,
Sections 19 and 24. Section 19(a) requires each Federal agency to maintain a
comprehensive safety and health program for its employees. The Executive
Order 12196 require Federal agencies to comply with OSHA standards issued
under Section 6 of the Act. These standards are 29 CFR Parts 1910, 1915,
1916, 1917, 1918, 1926, and 1928. The Executive Order requires the Secretary
of Labor to issue a set of basic program elements for agency heads to follow
in establishing an effective occupational safety and health program. These
program elements are found in 29 CFR Part 1960. Section 24(a) and the
Executive Order require the development and maintenance of an effective
program of collection, compilation, and analysis of occupational safety and
health statistics. OSHA's recordkeeping requirements for Federal agencies are
found in 29 CFR Part 1960, Subpart I.
NOTE: The 29 CFR Parts 1903, 1904, 1905, and 2200
regulations do not apply to Federal agencies.
2. Jurisdiction. OSHA's Federal agency jurisdiction varies
according to the activity being performed.
a. Federal Agency Compliance. OSHA is authorized to
conduct unannounced inspections in Federal agency establishments
unless:
(1) The agency has Certified Safety and Health
Committees.
NOTE: OSHA can conduct announced inspections in agencies
with Certified Safety and Health Committees.
(2) The work is performed by military personnel or involves
"uniquely military equipment, systems and operations."
NOTE: Workplaces and operations similar to those of
industry are not excluded from OSHA coverage.
(3) The agency is in the legislative or the judicial branch
of Government.
(4) Another Federal agency has jurisdiction.
b. Private Sector Compliance on Federal Property.
Section 19 of the Act, the Executive Order, and 29 CFR Part 1960 program
elements do not apply to employees or working conditions of employees of
private contractors performing work under Government contracts. Protection
of employees of private contractors performing operations on Federal property
is assured by other provisions of the Act. Enforcement shall be conducted
following procedures developed under those sections.
(1) The multiemployer worksite policy may apply between the
private sector contractors and the Federal agency. The Area Office shall
confer with the regional Federal Agency Program Officer (FAPO) who will
advise the Director, Office of Federal Agency Programs (OFAP) of the
circumstances in cases of high complexity. If appropriate, Notices of Unsafe
and Unhealthful Working Conditions, OSHA-2H Form, (OSHA Notice) will be
issued to Federal agencies for failing to oversee their contractors' safety
and health programs.
(2) Where an authorized State program is in existence, the
State program shall have jurisdiction over private sector contractors unless
the work being performed is at a location of "exclusive Federal jurisdiction"
within the Federal property. The Regional Administrator shall refer to State
Plan Operational agreements to determine "exclusive Federal jurisdiction".
If the agreement is not clear the legal staff having management authority
over the Federal property shall be consulted.
c. Government-Owned Contractor-Operated Facilities
(GOCO's). OSHA compliance policies concerning GOCO operations are
described in separate Memoranda of Understanding, applicable to specific
agencies. Further information may be obtained from the Directorate for
Policy, Office of Intra-governmental Affairs at 202-219-8021.
d. Evaluation. OSHA evaluates Executive Branch
agencies, whether they have Certified Safety and Health Committees or not.
Evaluations include such scheduled headquarters, regional, and workplace
reviews as the Secretary deems necessary.
e. Assistance. OSHA may provide training, hazard
abatement advice, and program assistance for all Federal agencies, including
those in the legislative and judicial branches of Government.
3. General Guidance. Policies and procedures for Federal
agencies are to be as similar as appropriate to those followed in the
private sector. Relevant FOM chapters and compliance directives are to be
followed for Federal agency activities. This chapter points out areas where
Federal sector procedures differ from those of the private sector. Area
Office questions concerning policies, procedures, or standards
interpretations involving Federal agencies should be directed to the
FAPO for coordination with other Regional staff or the OFAP, as
appropriate.
a. Form letters have been developed for Federal agency
correspondence regarding complaints, inspections, and PMAs. (See OSHA
Instruction ADM 1-1.27, Chapters IX, X, and XI.)
b. The Federal agency equivalent of a "citation" is the Notice
of Unsafe and Unhealthful Working Conditions, OSHA-2H Form, (OSHA Notice).
Instructions for completing the Notice is found in OSHA Instruction ADM
1-1.12B, Chapter X.
c. Inspections or evaluations at Federal prisons are to be
conducted following guidelines found in OSHA Instruction FAP 1.2, Federal
Agency Safety and Health Programs with the Bureau of Prisons, U.S. Department
of Justice, dated September 23, 1985.
4. Definitions. The following definitions apply to Federal
agencies:
a. General Duty Clause. Executive Order 12196, Section
201(a), and 29 CFR 1960.8(a) mandate the head of each agency to furnish to
each employee a workplace free from recognized hazards. OSHA Notices shall
refer to 29 CFR 1960.8(a) to enforce serious violations that are not
addressed by a specific OSHA standard or program element.
NOTE: Section 5(a)(1) of the Act is the "general duty
clause" for the private sector and does not apply to Federal
agencies.
b. Citable Program Elements. Specific program
elements in 29 CFR Part 1960 that may be cited when found not in compliance
during inspections or evaluations.
c. Establishment. A single physical location where
business is conducted or services or operations are performed. Where
distinctly separate activities are performed at a single physical location,
each activity shall be treated as a separate "establishment". Typically, an
"establishment" refers to a field activity, Regional Office, Area Office,
installation, or facility. Examples are as follows:
(1) Major organizational units with distinct lines of
authority shall be counted as separate establishments.
(2) Agencies or bureaus in an agency would be separate
establishments even if they occupied the same building.
(3) Each component of the Department of Defense (Army,
Navy, etc.) and each major command located at an installation would be a
separate establishment.
(4) Lower organizational units such as offices or divisions
within a bureau or shops within a command are not considered separate
establishments.
d. Multiemployer Policy. An OSHA procedure for
determining which establishment has responsibility for employee safety and
health when more than one establishment has employees exposed to the same
hazard.
e. Establishment Official. The highest ranking person
at a Federal establishment with authority over the establishment's working
conditions.
5. References.
a. "Occupational Safety and Health Act of 1970," Sections 19
and 24.
b. Executive Order 12196, February 26, 1980, "Occupational
Safety and Health Programs for Federal Employees."
c. 29 CFR Part 1960, "Basic Program Elements for Federal
Employee Occupational Safety and Health Programs and Related Matters,"
October 21, 1980.
d. OSHA Publication 2014, revised 1986, "Recordkeeping and
Reporting Guidelines for Federal Agencies."
e. OSHA Instruction ADM 1-1.27, April 2, 1990, "The IMIS
Standard Form Letters Manual."
f. OSHA Instruction ADM 1-1.12B, December 29, 1989,
"Integrated Management Information System Forms Manual."
g. OSHA Instruction FAP 1.2, September 23, 1985, "Federal
Agency Safety and Health Programs with Bureau of Prisons, U.S. Department of
Justice."
B. Compliance.
1. Targeted Inspections. Targeted inspections are
inspections programmed under the criteria given in this section.
a. Targeting List. OFAP shall develop a targeting list
for the next fiscal year as follows:
(1) During the second quarter of each fiscal year, OFAP
shall list Federal agency establishments with a significant number of claims,
using annual Office of Workers' Compensation Programs (OWCP) compensation
data on lost-time cases created during the previous fiscal
year.
(2) OFAP shall obtain employment data for these
establishments from the agencies and calculate a lost-time claims rate (LTCR)
for each establishment. The formula for calculating the LTCR
is:
Number of lost-time claims X 100
--------------------------------
Number of Employees
(3) OFAP shall also calculate an average LTCR for the
Government as a whole, using the same LTCR formula as above, based on OWCP
lost- time claims data for all agencies.
(4) OFAP shall then develop a list showing all Executive
Branch establishments with an LTCR higher than the Government average
(interim list).
(5) OFAP shall subdivide the interim list by agency and
send a copy of each agency's targeted establishments to its Designated Agency
Safety and Health Official (DASHO) with copies to Regional Administrators
having listed establishments within their jurisdiction, for a 30 calendar day
review.
(6) OFAP may add additional sites to the list, in
coordination with the DASHO, when OWCP data identify an agency or agency
component as having high LTCR's, but are insufficiently precise to identify
its high-hazard workplaces.
(7) Establishments may be added or deleted by OFAP if the
DASHO supplies information warranting changes within 30 calendar days of
receipt of the interim list.
(8) Establishments may be deleted by the Regional
Administrator only with the concurrence of the Director, OFAP.
Establishments may be deleted using the same criteria as used for safety
inspections in the manufacturing sector described in Chapter II,
F.2.b.(1)(b)5b.
(9) OFAP shall finalize the interim list and send the final
targeting list to Regional Administrators and agencies before the beginning
of the fiscal year.
b. Special Emphasis Targeting. Regional Administrators
who develop special emphasis programs shall obtain the concurrence of the
Director, OFAP, before scheduling inspections.
c. Scheduling of Targeted Inspections. Area Directors
shall schedule all Federal agency inspections within the fiscal
year.
(1) Establishments which have been scheduled for a targeted
inspection within the last 2 fiscal years will have been deleted by
OFAP.
(2) Targeted inspections may be conducted in any
order.
d. Conduct of Targeted Inspections.
(1) All targeted inspections shall be initiated within the
fiscal year. If for some reason an inspection cannot be initiated within the
fiscal year, the Regional Administrator shall notify OFAP of the worksites
which were not inspected during the fiscal year. OFAP shall determine
whether to "carry over" the site to the next fiscal year or delete
it.
(2) The Area Director may conduct a comprehensive
inspection or may limit the inspection to those areas with the greatest
potential for injuries and illnesses.
(3) OSHA targeted inspections shall identify violations of
OSHA standards and citable program elements of 29 CFR Part 1960. The citable
program elements are listed in Appendix A of this
chapter.
2. Fatality/Catastrophe Investigations. OSHA has authority
to investigate fatal or catastrophic accidents to Federal employees in
agencies subject to OSHA inspections.
NOTE: A catastrophe is an incident that results in five or
more people being admitted to a hospital, at least one of whom is a Federal
civilian employee.
a. Excluded Agencies. If an accident report is
received concerning a Federal agency not under OSHA's jurisdiction, the
person reporting the accident shall be referred to that agency's safety and
health staff.
b. Receipt of Fatality/Catastrophe Reports. Executive
Branch agencies are required to report all civilian fatalities and
catastrophes to OSHA within 48 hours.
(1) Reports Initially Received in the National
Office. OFAP shall record the necessary information and immediately
telephone the information to the appropriate Regional Administrator for
transmittal to the Area Director.
(2) Reports Initially Received in the Regional
Office. The Regional Administrator shall record the necessary
information and immediately telephone the information to the appropriate Area
Director and to OFAP.
(3) Reports Initially Received in the Area Office.
The Area Director shall record the necessary information and notify the
Regional Administrator by telephone, who shall notify
OFAP.
c. Agency Investigation. Agencies are required to
conduct an investigation of each fatal or catastrophic incident and, upon
request, to provide OSHA with a report of findings upon completion of the
investigation. The Area Director within whose jurisdiction the incident took
place may contact the establishment official and request that a copy of the
report or a summary be sent to the Area Office upon its
completion.
d. OSHA Investigation Decision. The Area Director,
with the concurrence of the Regional Administrator, shall determine whether
OSHA will conduct an investigation of the incident, OSHA may conduct an
independent investigation or participate in the agency's
investigation.
(1) If the Area Director decides to conduct an
investigation, the establishment official shall be notified in advance of the
planned date for the inspection.
(2) When OSHA joins an agency investigation, the CSHO shall
participate fully with the investigation and not be subject to "observer
status" by the agency.
(3) Identified violations of authorized program elements
and OSHA standards shall be cited using the OSHA Notice.
3. Reports of Unsafe or Unhealthful Working Conditions
(Complaints). OSHA has authority over complaints by Federal employees
except as indicated in A.2.a. of this chapter.
a. Receipt and Recording of Complaints. Upon receipt
of a complaint, the receiving office shall determine if OSHA has the
authority to conduct an inspection. If so, the procedures outlined in
Chapter IX, A.3., apply except as follows:
(1) Complaints Initially Received in the National
Office. OFAP shall ensure that sufficient information for handling the
complaint is recorded and forwarded to the appropriate Regional Administrator
for transmittal to the Area Director. When telephone complaints are
received, it may be more appropriate to identify the responsible Area Office
and have the complainant contact it directly.
(2) Complaints Initially Received in the Regional
Office. The Regional Administrator shall ensure that sufficient
information for handling the complaint is recorded and forwarded to the
appropriate Area Director. When telephone complaints are received it may be
more appropriate to identify the responsible Area Office and have the
complainant contact it directly.
(3) Oral Complaints. The designated professional
receiving an oral complaint shall ask if the complaint has been directed to
safety and health personnel in the complainant's agency. If not, the
complainant shall be encouraged to do so. If the complainant does not desire
to submit a complaint to his/her own agency, the complaint shall be accepted
and processed in accordance with the procedures found in B.3.b. below. To
formalize an oral complaint an OSHA-7 Form shall be sent along with complaint
form letter "c" ("OSHA-7 For Signature").
b. Responding to Complaints. Federal agency complaints
where OSHA has enforcement authority shall be responded to in accordance with
Chapter IX, A.6. through A.10., except as follows:
(1) Formal other-than-serious complaints must be handled by
inspection within 120 days or handled by letter to the establishment official
with permission of the complainant.
(2) Non-formal serious complaints shall be handled by
letter to the establishment official or by inspection.
(3) If the complaint is handled by inspection, the Area
Director shall notify the complainant of inspection results using complaint
form letter, "h" ("Notification to Complainant with Inspection Results") and
shall send the complainant a copy of the OSHA Notice, if
issued.
(4) If the complaint is handled by letter, the
establishment official shall be informed by certified mail, using complaint
form letter "h" ("Complaint Notification for Employer Inspection - Without
Certified Committee"), that the establishment must conduct an investigation
within 3 working days for potentially serious conditions and within 20
working days for other-than-serious hazards
(1960.28(d)(3)).
(a) A report of findings shall be provided to OSHA
within 30 calendar days after completion of the agency's
investigation.
(b) Any necessary corrective action must be completed
or an acceptable abatement plan must be submitted to the Area Director within
30 calendar days after the close of the
investigation.
(c) The complainant shall be notified using complaint
form letter "e" ("Complainant Notification with Letter D") that the complaint
has been forwarded to the establishment official for investigation and that
OSHA will inform him/her of the investigation
findings.
(d) The agency shall be informed that OSHA will provide
a copy of the report of findings to the complainant.
(e) If the agency response is satisfactory, OSHA will
notify the complainant using complaint form letter "g" ("Notification to
Complainant with Satisfactory Employer Response").
(f) If the agency response is unsatisfactory or the
complainant informs OSHA that the hazard has not been abated, the Area
Director shall notify the establishment official using complaint form letter
"j" ("Correcting but Additional Information Needed"). The Area Director
shall also inform the complainant using complaint form letter "l"
("Notification to Complainant with Unsatisfactory Employer Response"). The
Area Director may schedule an inspection.
c. Responding to Complaints when the Agency has Certified
Occupational Safety and Health Committees (Certified Committee). OSHA is
authorized to conduct announced inspections in response to employee
complaints. Response timeframes shall be the same as private sector
complaints. (See Chapter IX, A.6. through A.10.) The following agencies have
Certified Committees:
Panama Canal Commission Central Intelligence Agency
Securities and Exchange Commission Interstate Commerce Commission General
Services Administration Department of Labor Tennessee Valley Authority U.S.
International Trade Commission
(1) Complaints from employees in agencies with Certified
Committees are to be handled by the receiving office as
follows:
(a) In the case of imminent danger, OSHA shall notify
the establishment official by telephone of his or her responsibility to
investigate the alleged imminent danger and shall notify the official that
OSHA will conduct an investigation to evaluate the validity of the
allegation.
(b) Send formal or nonformal complaints by mail to the
establishment official, with a copy to the FAPO with complaint form letter
"d2" ("Notification to Employer - With Certified
Committee").
(c) Announced inspections are to be handled by the
receiving Area Offices as follows:
1 Notify the establishment official at least
one day in advance of the scheduled inspection using complaint form letter
"d3" ("Notification to Employer with Certified Committee-- Announced
Inspection"). The letter may be hand-carried or sent by electronic means in
case of imminent danger.
2 Complaints alleging an imminent danger
situation shall be inspected the same day received, where possible, but not
later than the agency's next working day after receipt of the report by the
Area Office.
3 Formal, serious complaints shall be
inspected within 30 working days after evaluation and confirmation that an
inspection is necessary.
4 The complainant shall be informed of the
findings using complaint form letter "h" ("Notification to Complainant with
Inspection Results") and sent a copy of the OSHA Notice, if
issued.
5 Send the results of the announced inspection
with inspection form letter "a" ("Notification to Employer -- Inspection
Results") to the establishment official who will be requested to share the
results with the Certified Committee. A copy of the inspection results shall
also be forwarded to the Agency DASHO.
(d) If OSHA does not conduct an inspection, the Area
Director shall request the establishment official to provide copies of the
complaint, responses, and the investigation findings to the appropriate
Certified Committee.
(2) When half the members of record of an agency's
Certified Committee agree, a request can be made for OSHA to evaluate an
agency's response to a report of unsafe or unhealthful working conditions.
When such a request is received, OSHA will conduct an inspection classified
as a complaint inspection.
d. Responding to Complaints When OSHA Does Not Have
Authority. If OSHA does not have compliance authority over the
complainant's agency, he/she shall be advised to contact his/her employer's
safety and health staff. Every effort shall be made to assist in identifying
the proper person to be contacted. The receiving OSHA office
shall:
(1) Transmit written complaints evaluated as a potential
imminent danger to the agency by telephone or other electronic means,
followed as soon as possible by a confirming letter with the complaint
attached.
(2) Transmit other written complaints by mail to the
agency's safety and health staff as soon as possible.
(3) Acknowledge all written complaints with complaint form
letter "f2" ("Acknowledgment to Complainant--Referral to Another Agency"),
informing complainants that their agency does not fall under OSHA's
compliance authority and that their complaint has been forwarded to their
agency for action. When a complaint is received in person or by telephone,
the complainant shall be given the same information and shall be informed
that the complaint must be directed to their agency for
action.
4. Reports of Safety and Health Program Violations. When
complaints from Federal employees or employee representatives include
allegations of violations of citable program elements of 29 CFR Part 1960,
the Area Director may (at his or her discretion) schedule an inspection or
respond by letter.
NOTE: Citable program elements of 29 CFR Part 1960 are
listed in Appendix A of this chapter.
a. If an inspection is conducted, an OSHA Notice may be issued
for violations of citable program elements of 29 CFR Part
1960.
(1) Standard Alleged Violation Elements (SAVES) shall be
used to describe violations of citable program elements of 29 CFR Part 1960
on the OSHA Notice.
(2) Violations of citable program elements of 29 CFR Part
1960 shall be classified as "other- than-serious" unless they are considered
a contributing factor to a serious safety or health standard violation (e.g.,
where lack of supervisory training contributed to an unshored trench, both
the trenching standard and 29 CFR 1960.55 would be cited as
"serious").
b. If an inspection is not scheduled, alleged violations of 29
CFR Part 1960 program elements shall be handled by letters to the
establishment official and the complainant with the following additional
requirements and exceptions:
(1) Complaint form letters "d1" or "d2" ("Complainant
Notification for Employer Inspection With/Without Certified Committee") to
establishment officials shall list the alleged violations with reference to
pertinent sections of 29 CFR Part 1960 program elements. The establishment
official shall be requested to review the operation of his or her program in
light of the alleged violations to take any appropriate corrective
action, and to advise the Area Director of his or her
findings.
(2) Send complaint form letter "e" (Complainant
Notification with Letter D") to complainants which will advise them that
their concerns about the program at their facility have been brought to the
attention of their establishment official and that the agency response will
be provided to them.
c. If the alleged violations of program elements affect many
facilities of the same agency and/or cover more than one OSHA region, the
report shall be forwarded to OFAP for review. OFAP shall determine if a
special study evaluation of the agency program should be
conducted.
5. Reports of Reprisal. The Executive Order 12196 and 29
CFR Part 1960, which establish safety and health programs for Federal
employees, do not give OSHA authority to take remedial action on behalf of
Federal employees who believe that they have suffered reprisal. 29 CFR
1960.46 requires each agency to establish procedures to protect Federal
employees from reprisal for filing a report of unsafe or unhealthful working
conditions. In addition, the Federal employee may have protection for such
activity under the Whistleblower Protection Act of 1989, enforced by the
Office of Special Council.
NOTE: Section 11(c) of the Act does not apply to
Federal employees.
a. Reports of alleged reprisal falling within the scope of 29
CFR 1960.46 received in the Regional/Area Offices shall be handled as
follows:
(1) When possible, the receiving office should obtain
details showing the nature of the reprisal, the agency's reasoning for the
action, and the alleged link to actions under 29 CFR
1960.46.
(2) The allegation shall be forwarded to the Regional
Office, FAPO, for review to ensure that the alleged reprisal meets the
requirements for a valid discrimination complaint based on safety and health
activities.
(3) If the report of alleged reprisal contains a valid
safety or health complaint as well, such complaints shall be investigated by
the affected Area Office.
(4) If the alleged reprisal occurred because of a safety
and health complaint that has already been investigated, the FAPO shall
obtain the inspection results as part of the supporting documentation for the
alleged reprisal.
(5) The FAPO shall refer the allegation of reprisal, along
with appropriate supporting documentation, to the Office of Special Council
("Reprisal Letter for Special Council"), unless the employee's agency is
exempted from the Whistleblower Protection Act. Complaint form letter "m1"
("Reprisal letter for Covered Federal Employee") shall be sent to the
complainant explaining OSHA's authority and referral of the allegation to the
Special Council.
(6) If the Federal employee's agency is exempted from the
Whistleblower Act, the alleged reprisal shall be forwarded to the DASHO.
Complaint form letter "m2" ("Reprisal Letter for Non-covered Federal
Employee") shall be sent to the complainant explaining OSHA's authority and
referral of the allegation to the agency's DASHO.
(7) The FAPO shall send a copy of the letters to the
Director, OFAP.
b. When allegations do not fall within the scope of 29 CFR
1960.46, such as a reprisal for filing a compensation claim, for having an
injury, or for refusing to work when the threat of bodily harm was not
imminent, the complainant shall be so informed by the receiving office using
complaint form letter "k" ("Notification to Complainant - Invalid Allegation
of Reprisal").
6. Refusal of Entry. If a Federal agency scheduled for an
inspection refuses entry, the Area Director shall attempt to resolve the
issue with the establishment official.
a. If a resolution cannot be worked out, the Area Director
shall contact the Regional Administrator. The Regional Administrator shall
contact the equivalent agency organizational level with responsibility and
authority for the establishment's working conditions to discuss the refusal.
If agreement cannot be reached, the Regional Administrator shall contact the
Director, OFAP, for resolution with the DASHO.
b. A written record of all actions taken to resolve the issue
shall be kept in the case file.
7. Warrants/Subpoenas. Administrative subpoenas or
warrants will not be used for Federal agencies. Issues unresolved at the
Area Office shall be transferred to the Regional, and, if necessary, National
Office, OFAP.
8. Recordkeeping and Reporting Requirements. Federal
agency recordkeeping requirements are outlined in Part 1960 program elements,
Subpart I, and in "Recordkeeping and Reporting Guidelines for Federal
Agencies" (OSHA Publication 2014).
NOTE: The lost workday injury (LWDI) rate (Item 33) and the
occupational injury/illness cases (Item 34) are not to be completed for
Federal agency activity on the OSHA-1.
a. Occupational Injury/Illness Logs (OSHA Logs). OSHA
Logs may be maintained at Regional or Area levels if quarterly updated copies
are available to the establishment. (See OSHA Publication
2014.)
(1) Agencies may use their own forms to log injuries and
illnesses, but the forms must include all data elements listed in OSHA
Publication 2014, Appendix A.
(2) As new OSHA standards are published under Section 6(b)
of the Act that require certain injuries/illnesses to be recorded on the OSHA
Log, Federal agencies will also be required to enter this information on
their injury/illness log. For example, needle sticks, carpel tunnel
syndrome, and threshold shifts in hearing loss are now required to be
recorded.
b. OWCP Compensation Claim Forms. Agencies are
required to complete OSHA- related items on OWCP compensation claim forms
CA-1, CA-2, and CA-6.
NOTE: OWCP forms printed since 1986 include specific
blocks for Type, Source, and Duty Station Zip Codes which are OSHA- required
information.
(1) CSHOs shall review a sufficient number of claim forms
to determine whether facilities are, for the most part, accurately coding
data required by OSHA.
(2) CSHOs shall pay special attention to the "employee's
duty station" zip code to ensure the code is for the duty station and not a
central collection point at another location.
C. Evaluation.
1. Purpose. Federal agency heads are required by the Act
to operate effective occupational safety and health programs. OSHA is
required to evaluate the effectiveness of those programs.
a. Effectiveness is determined by analyzing injury/illness
statistics and comparing the agency's written program with 29 CFR Part
1960 program elements by conducting onsite field reviews and special studies
at agency establishments to evaluate program implementation.
NOTE: The purpose of onsite visits is to evaluate
implementation of the agency's occupational safety and health program at the
worksite level and not to evaluate specific establishments or
managers.
b. Evaluations may be classified by scope as follows:
(1) Full-scale evaluations include headquarters,
intermediate organizational levels, and worksite reviews of the entire
occupational safety and health program.
(2) Special Study evaluations include headquarters,
intermediate organizational levels, and worksite reviews but focus only on
specific issues.
(3) Headquarters-only evaluations do not include worksite
reviews.
(4) Agency self-evaluations may be substituted for an OSHA
evaluation when recommended by the Director, OFAP, and approved by the
Secretary.
2. Time Frames. In the evaluation process there is a
specific time frame within which OSHA and the evaluated agency must operate
to meet the requirements of 29 CFR Part 1960 program elements.
a. 60 Calendar Days before Opening of Evaluation. OFAP
shall send a letter signed by the Secretary notifying the Federal agency head
of OSHA's impending evaluation.
b. 30 Calendar Days before Opening of Evaluation. OFAP
shall hold an informal meeting with the agency's occupational safety and
health program staff to plan the opening conference, develop a list of
worksites to visit, and obtain agency safety and health documents for
background information.
c. 21 Calendar Days after the National Opening
Conference. All subordinate office visits and all establishment onsite
visits shall be completed within 21 calendar days of the conclusion of the
opening conference with the agency head. If field visits are delayed by the
agency, they shall be completed within 14 calendar days after the Director,
OFAP, notifies the Regional Administrator that they may begin.
d. 9 Calendar Days after the Field Visit Closing
Conference. Compliance officers' findings shall be provided to the
Regional Administrator within 9 days after the worksite closing
conference.
e. 30 Calendar Days after the Field Visit Closing
Conference. Each Regional Administrator shall send the Director, OFAP, a
short narrative report summarizing the results of the worksite
surveys.
f. 90 Calendar Days after the National Opening
Conference. OFAP shall schedule a closing conference with the agency
head and other appropriate agency management officials.
g. 90 Calendar Days after the National Closing
Conference. The final report concerning the evaluation shall be
presented to the Secretary of Labor for signature. The Federal agency has 60
calendar days to comment on the report. After comments have been received by
OFAP or the 60 calendar days have elapsed, the report is a public document
and may be released upon request.
3. National Office Responsibilities. The Director, OFAP,
shall:
a. Train FAPOs on evaluation criteria, policies, and
procedures.
b. Select agencies for evaluation based on size and hazard
indicators, such as injury/illness compensation data. Reported program
deficiencies may also be considered.
c. Determine the scope of the evaluation.
d. Notify the head of the Federal agency to be evaluated by
letter from the Secretary at least 2 months prior to the opening
conference.
e. Contact the OSHA Regional Administrators to discuss
potential locations for onsite visits, tentative evaluation time frames, and
OSHA's past experience with the agency, and determine the extent of the
FAPO's participation in the evaluation.
f. Arrange an informal meeting one month before the opening
conference between agency program staff and the OFAP evaluators. Issues for
discussion may include agency organizational structure, program strengths and
weaknesses (as they are perceived by the agency), changes since the last
evaluation, injury/illness causes, agency operations, and selection of
locations for workplace visits.
g. Send to the OSHA Regional Administrators any agency
background material or advise them of data available from agency field
units.
(1) This material may include injury/illness data,
occupational safety and health program documentation, agency organizational
structure, and internal safety and health inspection and self-evaluation
reports.
(2) Such material shall be sent to the Regional
Administrator at least 2 weeks before the opening
conference.
h. Request the agency to notify the National headquarters of
labor organizations representing employees at the field sites to be visited.
If there is more than one organization, the agency shall be requested to
contact at least those with national exclusive recognition or national
consultation rights with the agency.
i. Confer with the DASHO to establish a date for the opening
conference with top agency management.
j. Request OSHA Regional Administrators, immediately after
establishing the opening conference date, to provide a Regional evaluation
team. The team leader for the Regional evaluation team shall be the Regional
FAPO and, in most cases, the team will include one health and one safety
senior compliance officer.
k. Conduct an opening conference at agency headquarters.
Items for discussion shall include the objectives of the evaluation;
evaluation procedures; employee participation in worksite surveys (such
participation shall be encouraged by OSHA); the schedule for establishment
onsite visits; the closing conference with the agency; and the final
report.
l. Contact each FAPO participating in the evaluation by
telephone, immediately after the opening conference, to transmit any policy
or procedural changes resulting from the conference
discussions.
m. Review the safety and health programs at the agency and,
where necessary, subagency headquarters (bureaus, agencies, or commands)
using the "Occupational Safety and Health Program Evaluation Guide for Agency
Headquarters," adapting it, as necessary, for each agency.
n. Schedule a National Office closing conference at the
Federal agency headquarters no later than 90 calendar days after the opening
conference.
(1) The conference shall be held, where schedules permit,
between the Assistant Secretary or other appropriate high ranking OSHA
officials and top agency management officials.
(2) The closing conference shall include the major findings
of the evaluation, OSHA's recommendations and an offer of abatement
assistance.
o. Prepare a final report to the agency head for the
Secretary's signature.
(1) The report will combine major findings from the
headquarters and field reviews. A draft report shall be submitted to the
Director, OFAP, within 60 days after the National Office's closing conference
at agency headquarters.
(2) The agency shall be offered an opportunity to review
informally a draft of the report for technical errors or
misconceptions.
(3) The final report shall be ready for the Secretary's
signature within 90 days after the closing conference.
p. Send the signed final report to the agency heads and
request their response to the evaluation report within 60 calendar days of
receipt of the report.
q. Send the final report including the agency's comments to
the Federal Advisory Council on Occupational Safety and Health (FACOSH), OSHA
Regional Administrators, the House Committee on Education and Labor
(Subcommittee on Health and Safety), and the Senate Committee on Labor and
Human Resources (Labor Subcommittee).
r. Send a copy of the final agency report and the agency's
comments to the President with the Secretary of Labor's Annual
Report.
s. Conduct headquarters-only evaluations to assess changes in
the agency's occupational safety and health program since the previous
evaluation and to monitor progress in implementing OSHA recommendations. The
headquarters only evaluation shall include a headquarters review, and may
also include a review at the headquarters of subordinate agencies. It will
not include visits to agency worksites.
4. Regional/Area Office Responsibilities for Evaluations.
The Regional Administrator shall:
a. Select a safety specialist and industrial hygienist to
serve as members of each establishment review team. The teams shall be led
by the FAPO or other Regional representative with Federal agency experience.
Each newly assigned FAPO, as a trainee, shall accompany an experienced
Federal agency evaluator on at least one Federal establishment evaluation
prior to serving as a team leader.
b. Contact the agency's Regional Office and/or establishment
to be evaluated by telephone to set a date for the onsite visit, to outline
the evaluation process, and to encourage employee participation in the
evaluation. Such contact shall be made only after receiving notification
from the OFAP evaluation leader that the agency has notified its workplace.
OFAP will provide the FAPO with the names, addresses, and telephone numbers
of agency contact personnel.
c. Ensure in a preliminary meeting that all Regional team
members are familiar with the objectives of the evaluation, Executive Order
12196, 29 CFR Part 1960 program elements, agency background information, and
the procedures to be followed during the worksite review.
d. Evaluate the safety and health program at the Regional
Office level, if directed by OFAP. The format for Regional Office
evaluations will depend on agency organizational structure and the placement
of safety and health staff within the agency; the scope of the Regional
evaluation, therefore, will be determined by OFAP on a case- by-case
basis.
e. Conduct the establishment onsite evaluation as
follows:
(1) An opening conference shall be conducted with the
establishment official, the establishment safety and health program director,
the Committee chairperson, if any, and the employee representatives. The
FAPO (or other team leader) shall explain:
(a) The purpose of the evaluation, the manner in which
interviews are to be conducted, and the walkaround procedures to be followed
during the workplace survey;
(b) That an opportunity for employee representation
will be provided during the workplace surveys and that employee
representatives will be interviewed privately; and
(c) That, although the visit is not a compliance
inspection, OSHA must ensure that hazards observed by its personnel are
eliminated. Thus, if hazards are observed, they will be pointed out at the
time and mentioned again in the closing conference.
NOTE: An evaluation may be conducted in conjunction
with a targeted inspection, at the Regional Administrator's
discretion.
(2) Relevant documents shall be reviewed and safety and
health personnel interviewed. The "Occupational Safety and Health Program
Evaluation Workbook" shall be used, adapting it as appropriate for each
agency. (See OSHA Instruction FAP 2.1B, Appendix A.)
(3) The team leader shall direct CSHOs to the proper
locations to be included in the walkaround according to the scope of the
review. The findings shall be recorded in accordance with current
procedures.
(a) The purpose of the workplace survey is to assess
program implementation at the field level. During the survey, therefore, the
CSHO shall concentrate on interviewing supervisors, employee representatives,
and employees.
(b) The survey normally shall last no more than 4
working days.
1 If the establishment is large, evaluators
need not conduct a walkaround of the entire facility. Their efforts shall be
focused on locations where records indicate that more injuries or illnesses
are occurring or where operations are likely to create unsafe or unhealthful
working conditions.
2 During the workplace survey the evaluators
shall interview an appropriate sample (approximately 5-10%) of supervisors,
employee representatives, and employees, using the "Workbook Survey
Questions." (See OSHA Instruction FAP 2.1B, Appendix
B.)
(c) The workplace survey need not include full-shift
samples for hazardous exposures. Screening samples, in conjunction with
interviews, normally shall be used to determine if the agency had reasonable
cause to conduct full- shift sampling to verify its normal sampling
protocol.
(d) The FAPO shall meet the team members at the
conclusion of the workplace survey to discuss their findings and to identify
items to be discussed at the closing conference.
(4) A closing conference shall be conducted at the
workplace at the conclusion of the walkaround tour. In addition to items
routinely discussed at any inspection closing conference, the FAPO shall
discuss:
(a) How the establishment survey becomes a part of the
final agency report;
(b) Recommendations regarding the establishment's
occupational safety and health program, explaining that these recommendations
may or may not become a part of the final report, and that violations of OSHA
standards and program elements may or may not result in the issuance of the
OSHA Notice; and,
(c) Sources of assistance such as the OSHA Area Office,
Federal Safety and Health Councils, and the OSHA Training
Institute.
(5) Following the closing conference the evaluation team
shall spend one to 2 days developing a draft report of the team's
findings.
(a) Compliance personnel shall transmit interview and
hazard findings and other documentation, as required, within 9 calendar days
following the closing conference to the FAPO. The report shall note if
samples were sent to the laboratory for analysis. Laboratory results and
exposure evaluations shall be forwarded to the FAPO when
received.
(b) The report shall summarize the findings of the
survey and shall include:
1 A narrative summary of the responses to
workplace survey questions.
2 Either a list of all violations observed
during the survey or a copy of the OSHA Notice.
(6) The OSHA Notices shall be issued with inspection form
letter "c" ("Notification to Employer--Evaluation Results") for program or
standards violations.
(7) If the workplace survey was conducted by CSHOs from
another Area Office, all case file documents shall be forwarded through the
Regional Administrator to the Area Director within whose territory the
establishment is located.
(8) A written report, in the format given in OSHA
Instruction FAP 2.1B, Appendix C, containing the results of subordinate
office and establishment visits shall be sent to the Director, OFAP, no later
than 30 calendar days after the field closing conference.
(a) The narrative summary report (not to exceed five
pages) should be a concise summary of the major strengths and weaknesses of
the worksite safety and health program. A copy of the narrative summary
report shall also be sent to the establishment
official.
(b) An appendix to the report shall include a response
to each question in the "Occupational Safety and Health Program Guide for
Field Establishments." Regional Administrators have been provided a "floppy
disk" containing the evaluation questions for use on the Altos computer. The
appendix may be forwarded under separate cover.
(c) Workplace summary reports, appendices, and related
materials are considered internal working documents, not for distribution
outside the agency.
D. Agency Technical Assistance Request (ATAR). An ATAR is a
request by a Federal agency for onsite assistance. Assistance provided onsite
is recorded on an OSHA-1.
1. An ATAR may include hazard abatement advice, training, a
partial or comprehensive inspection, and program assistance.
2. While many ATARs are for hazard abatement advice or for a
partial or a comprehensive assistance visit will be submitted by telephone,
the requesting agency normally shall be required to reduce the ATAR to
writing before an onsite visit can be scheduled. If, however, special
circumstances arise that make it impractical to wait for a written request,
the ATAR visit may be performed.
a. ATARs received in the National or the Regional Office shall
be forwarded to the appropriate Area Director.
b. The Area Director shall acknowledge all formal ATARs with
inspection form letter "d" ("Notification to Employer-ATAR Scheduled") and
shall schedule the visit within 60 calendar days.
3. Agencies requesting assistance shall be informed that the
agency is expected to correct any violations of citable program elements or
OSHA standards observed by CSHOs.
4. Assistance visit procedures will vary according to the scope of
the visit, as prescribed by the Area Director.
a. If the ATAR has resulted in a partial or a comprehensive
inspection, all violations of citable program elements or OSHA standards
observed shall be discussed with the establishment official at the closing
conference.
b. For serious violations that are unabated prior to the
closing conference, abatement dates and an abatement plan shall be discussed.
Abatement dates shall be based on the shortest interval within which the
agency can reasonably be expected to correct the violation.
c. For other-than-serious violations that are unabated prior
to the closing conference, abatement advice shall be provided when
appropriate.
d. The Area Director shall inform the establishment official
using inspection form letter "e" ("Notification to Employer - ATAR Results")
of the results of the visit. The letter shall describe OSHA's action taken
in response to the ATAR and provide findings and recommendations, as
appropriate.
(1) If any violations were uncorrected at the end of the
visit, the letter shall:
(a) Discuss in sufficient detail all apparent
violations observed by the assistance team.
(b) Indicate abatement dates for serious violations as
discussed with the establishment official.
(c) Request abatement plans for any serious violation
that cannot be eliminated within 30 calendar days. Abatement plans must be
submitted within 30 calendar days of receipt of the
letter.
(d) Request that the establishment official notify OSHA
in writing of abatement action taken upon expiration of the established
abatement period.
(2) If no violations were observed or if all hazards were
eliminated prior to the completion of the closing conference, the Area
Director shall so inform the establishment official.
e. If, after 30 calendar days, the Area Director has not
received an abatement plan and has not been notified that violations have
been abated, the Area Director shall check on abatement status by telephone
or onsite visit. If any violations are unabated, an OSHA Notice shall be
issued.
NOTE: Where onsite assistance is provided for those
agencies excluded from OSHA jurisdiction, a recommendation letter shall be
sent instead of an OSHA Notice.
E. Notice of Unsafe or Unhealthful Working Conditions, OSHA- 2H Form,
(OSHA Notice).
1. Issuance of the OSHA Notice. The OSHA Notice shall be
used to inform establishment officials of violations of OSHA standards and 29
CFR Part 1960 citable program elements and/or serious hazards not covered by
an OSHA standard found during an OSHA inspection. The OSHA Notice shall be
issued to Federal agencies with certified committees for violations observed
during an announced inspection.
a. When violations are observed during an OSHA inspection of,
evaluation of, or assistance visit to a Federal agency establishment, the
procedures in Chapter III, D.8 and E., Chapter IV, and Chapter V shall be
followed, unless otherwise indicated in this chapter or as
follows:
(1) 29 CFR 1960.8(a) (the Federal equivalent of the general
duty clause) shall be used in the notification of serious hazards that are
not addressed by a specific OSHA standard. For other-than-serious hazards
the agency shall be notified using inspection form letter "g" ("Letter for a
Hazard Not Covered by Standard or General Duty Clause").
NOTE: Executive Order 12196, Section 1- 201(a), will
no longer be used to cite hazards not addressed by a specific OSHA standard
or program element.
(2) 29 CFR Part 1960, Subpart I, shall be used to enforce
recordkeeping violations.
NOTE: Executive Order 12196, Section 1- 201(j), will
no longer be used to cite recordkeeping violations.
(3) A Repeat Notice may be issued to a Federal agency for
repeat violations if the agency had been cited previously for the same or a
substantially similar condition and the following conditions are
present:
(a) For serious violations if OSHA regionwide
inspection history for the agency lists a previous citation issued within the
past 3 years.
(b) For other-than-serious violations if the
establishment being inspected received a previous citation issued within the
past 3 years.
(c) The previous citation was issued to an agency
within the same two-digit SIC code.
(d) There is documentary evidence that the previous
citation had been abated.
NOTE: Include the inspection identification number,
date, and location of the previous inspection on the
notice.
(4) On multiemployer worksites the OSHA Notice normally
shall be issued to the Federal employer whose employees are exposed to
hazards (the exposing employer).
(a) If available facts indicate that another employer
created the hazard or is responsible for correcting the hazard, the case file
shall document these findings following the multiemployer worksite policy.
(See Chapter V, F.2.)
(b) If the employer that creates the hazard or is
responsible for correcting the hazard is excluded from OSHA jurisdiction, a
letter shall be sent to the employer identifying the hazard and OSHA's
concerns that a Federal agency employee is exposed to the hazard. The letter
shall ask the employer to voluntarily correct the hazard and, if needed,
request abatement assistance from OSHA.
(c) An OSHA Notice may be issued to a Federal agency
who created or is responsible for correcting a hazard when only private
sector employees are exposed.
b. An OSHA Notice shall be completed in accordance with
current IMIS instructions (IMIS Manual, Chapter VIII) for all serious,
willful, repeated, and other-than-serious violations covered by a citable
program element or an OSHA standard.
c. The Area Office shall send the OSHA Notice to the
establishment official and to the Regional Administrator for possible
transmittal to the Regional Office of Information and Public
Affairs.
(1) When violations are classified as willful or repeated,
a copy shall also be sent to the DASHO.
NOTE: For U.S. Army only send to: U.S. Army Safety
Center, Fort Rucker, Alabama 36362-5363, with a copy to: ODASD (P & L)
Environment/S & OHP, Suite 206, 400 Army Navy Dr., Arlington, Virginia
22202.
(2) The Director, OFAP, shall provide a list of DASHO names
and addresses to the FAPOs each October.
d. Area Directors may assign abatement dates up to 6 months in
90-day increments for violations of 29 CFR Part 1960 authorized program
elements. Justification for abatement in excess of 30 days must be documented
in the case file.
2. Cover Letter. Each OSHA Notice shall be accompanied
with inspection form letter "a" ("Notification to Employer--Inspection
Results") which shall:
a. Request the establishment official to respond in writing by
a specified date, with a detailed description of how each violation has been
abated or with a detailed abatement plan. The abatement plan must
include:
(1) All steps that can be taken in an effort to achieve
compliance during the prescribed abatement period and their projected
dates.
(2) The specific additional abatement time estimated to be
necessary to achieve complete compliance.
(3) The reasons why such additional time is necessary,
including unavailability of professional or technical personnel, essential
materials or equipment, necessity of construction or alteration of physical
facilities that cannot be completed by the original abatement
date.
(4) Interim steps being taken to safeguard employees
against any hazards during the abatement period.
b. Inform the establishment official that an informal
conference may be requested in writing or by telephone with a confirming
letter within 15 calendar days of receipt of the OSHA Notice. The letter
must identify the items to be discussed.
F. Informal Conference Procedures. Establishment officials may
request an informal conference with the Area Director who issued the OSHA
Notice.
1. If the establishment official has requested an informal
conference, the Area Director shall conduct one within 15 calendar days of
the request.
2. When an agency requests an informal conference, the Area
Director shall advise the employee representatives of the conference date and
their right to attend or have a separate conference.
3. Abatement dates on items to be discussed shall remain open
until the issues shall have been resolved at the informal conference, or by
the Regional Administrator, or by the Director, OFAP.
4. Every effort shall be made to resolve the issues at an informal
conference with the establishment official. If, however, an issue is not
resolved by the Area Director, a summary of the discussion together with the
agency's position on the unresolved issues shall be forwarded to the Regional
Administrator within 5 calendar days of the informal conference.
a. The Regional Administrator shall confer with the
appropriate Regional agency official before making a decision on the
unresolved issues.
b. If the Regional Administrator decides that the item in
question should remain unchanged on the OSHA Notice, the investigation file
and informal conference notes shall be transmitted to the Director, OFAP, for
resolution.
c. OFAP shall review the disputed issues and discuss these
with top agency officials, as appropriate, to obtain resolution. The
decision at the National Office level is final. Contest procedures before
the OSHA Review Commission do not apply to Federal agencies.
5. Any changes to the OSHA Notice resulting from agreement during
the informal conference procedures or subsequent appeal to OFAP will be made
in accordance with appropriate guidelines in Chapter III, G.
G. Verification of Abatement.
1. Abatement Letter. The Area Director shall review
abatement letters and determine if the action taken corrected the
violation.
a. If the letter is satisfactory, the case can be
closed.
b. If the agency abatement letter is unsatisfactory, the Area
Director shall verify abatement status by telephone or other electronic means
or by a followup visit, as deemed appropriate.
2. Abatement Plan. If the agency submitted an abatement
plan, the Area Director shall notify the establishment official of its
acceptance, and ask him/her to provide a copy of the plan to the Certified
Committee (if the agency has one) and to the employee representative who
participated in the inspections.
3. No Response. If the abatement dates have passed with no
response, the Area Director shall verify abatement status by telephone or
other electronic means or by a followup visit, as deemed
appropriate.
H. Petitions for Modification of Abatement Dates (PMAs). When Area
Offices receive Federal agency requests for additional abatement time,
generally they shall follow the private sector procedures in Chapter III,
E.9. For an extension of time to be granted, the agency must provide the
Area Office with a written explanation of the reason for delay, a proposed
timetable for abatement, a description of the steps being taken to protect
employees in the interim, and assurances that notification has been given to
any affected employees and any authorized union representatives. When
agreement cannot be reached to extend the abatement date, the issue shall be
forwarded to the Regional Administrator for resolution with his counterpart
in the agency. Issues not resolved at the regional level shall be forwarded
to the Director, OFAP, for resolution with agency headquarters.
NOTE: The Occupational Safety and Health Review Commission has
no jurisdiction over Federal agencies; and the provisions of 29 CFR
1903.14(a) and 29 CFR 2200.37 which prescribe PMA procedures for private
sector do not apply to Federal agencies.
I. Failure to Abate. Area Directors shall make every effort to
work with local Federal agency managers in developing an acceptable abatement
plan. When this cannot be achieved within 30 calendar days of the abatement
date, the following steps shall apply:
1. The Area Director shall send a Notice of Failure-to- Abate,
OSHA-2C Form, (FTA Notice) with inspection form letter "h" ("Notification of
Failure to Abate Alleged Violation") to the establishment official.
2. The Area Director shall send a copy of the FTA Notice to the
DASHO and representative of employees (no cover letter required).
NOTE: For U.S. Army see "NOTE," E.1.c.(1).
3. If the inspection was initiated because of a complaint, the
Area Director shall send a copy of the FTA Notice to the complainant with
complaint form letter "o" ("Notification to Complainant--Failure to Abate
Issued").
4. The Area Director shall forward a copy of the complete case
file to the Regional Administrator, if the Area Director cannot resolve
the issue at the local level.
5. The Regional Administrator shall immediately contact the
Federal agency official at the equivalent organizational level with
responsibility and authority for the establishment's working conditions, and
request the manager to abate the violation(s) or to develop an acceptable
abatement plan. If no solution is reached within 60 calendar days, the
Regional Administrator shall forward the Area Office case file and written
documentation showing the dates, contacts, and results of discussions
undertaken at the Regional level to the Director, OFAP.
6. The Director, OFAP, shall, within 30 calendar days, determine
which Directorate within OSHA is the most appropriate to review the case
file. The Director, Directorate of Compliance Programs (DCP) shall then
forward the case file to the appropriate Directorate.
a. The reviewing Directorate shall have 30 calendar days in
which to review the case file and return it to DCP with appropriate
recommendations.
b. If DCP upholds the citation, the Director shall, within 30
calendar days, schedule a meeting with his or her counterpart in the cited
Federal agency to discuss OSHA's findings and request an abatement
schedule.
c. If a satisfactory abatement schedule is not. received
within 60 calendar days, the Assistant Secretary shall schedule a meeting
with the DASHO.
d. If no solution is reached, the Assistant Secretary shall
request the Secretary of Labor's involvement.
7. DCP shall provide the Regional Office with a status report
every 60 calendar days until the case is resolved.
OSHA Instruction CPL 2.45B CH-4 December 13, 1993 Office of General Industry
Compliance Assistance
CHAPTER XIV
DISCLOSURE
A. Policy and Procedures.
1. Policy. OSHA's policy regarding the disclosure of
documents in investigation and other files is governed by the Freedom of
Information Act (FOIA) as amended (5 U. S.C. 552) and the Department of
Labor's regulations in implementation thereof (29 CFR 70). Specific
guidelines for the application of this policy to OSHA case file documents are
set forth in B.
a. OSHA policy is to disclose all documents to which the
public is entitled under the Freedom of Information Act and the regulations,
including those where an exemption may apply if it is in the public interest
to do so and does not impede the discharge of any of the functions of the
agency, unless disclosure of such documents is prohibited. (See Sections
8(f), 15, and 17(f) of the Occupational Safety and Health
Act.)
b. At the same time, great care shall be taken to ensure that
documents which are exempt from disclosure are kept confidential when the
disclosure of such documents may seriously prejudice the prosecution of
cases, limit the free expression of opinion, compromise the right to privacy
of persons involved with or affected by the OSHA program or violate the
confidentiality of essential sources of information, thereby jeopardizing
OSHA's law enforcement program.
2. Procedures. OSHA Disclosure Officers shall perform FOIA
duties as described in the Departmental regulations. (See 29 CFR 70.) In
addition, the Disclosure Officer shall report any known case of disciplinary
action taken under the provisions of the Freedom of Information Act to the
Disclosure Management Officer.
B. Specific Guidelines.
1. Enforcement Proceedings. OSHA policy is to disclose
only citations, notices of contest, and failure to abate notices during the
contest period and whenever a case has been contested since disclosure of
other portions of the case file could materially interfere with the
litigation process. Nothing from the case file is disclosable prior to the
issuance of a Citation and Notification of Penalty (OSHA-2 Form) or a
Notification of Failure to Abate Alleged Violation (OSHA-2B Form), or to the
closing of the case because the company has been found to be in
compliance.
2. Disclosability of Records. Generally, the
disclosability of records contained within the case file must be determined
on a case-by-case basis by referring to the departmental regulations in 29
CFR 70. There are certain records which are clearly disclosable in full to
the public upon request; therefore, there is no need to consult 29 CFR
70.
a. The following case file records are disclosable to the
public in full upon request but only after they have been received by the
employer concerned:
1. Notifications of Citation and Proposed Penalty issued
to employers;
2. Notifications of Failure to Abate Alleged Violations
and of any proposed additional penalty which have been issued to
employers;
3. Notices of Alleged Imminent Danger situations issued to
employers.
b. Many case file records are not OSHA forms; for example,
correspondence, photographs and negatives, electronic software, audio/visual
tapes, personal interview statements, reports of medical examiners, material
safety data sheets, minutes of safety and health committee meetings and other
material supplied by the employer. The principles outlined in B.4., 5., 6.,
and 7. also apply to disclosure of these materials.
3. Requests for Records. In accordance with the guidelines
set out in 29 CFR 70, a determination shall be made within 10 working
days whether the request will be granted or denied in whole or in part, and
the requester notified of such determination. Also, as set out in 29 CFR 70,
that notice shall advise the requester of the anticipated time that a
response will be made. The Regional Solicitor shall be consulted if there is
any question as to whether the requested records or parts of records are
disclosable.
4. Disclosable Information on Case File Forms. Information
contained in the following items is normally factual (subject to the
provisions of B.5. and B.6.) and, consequently, must be disclosed under the
FOIA:
NOTE: The disclosure guidance given in the following
subparagraphs refers specifically to the IMIS forms which became effective on
April 1, 1984. The MIS forms which predated these newly revised IMIS forms
shall be treated in the same manner as the corresponding new forms although
the item numbers frequently will be different.
a. Inspection Report, OSHA-1 Form.
All Items
b. Narrative, OSHA-1A Form.
Item Numbers:
1. through 5. 8. through 14. (See, however, B.6.a.(2).) 16.
through 17.
c. Worksheet, OSHA-1B Form.
Item Numbers:
1. through 19. 21. Photo 22a. Occupation (and
Employer) 22b. No. 22c. Total Duration 22d. Frequency 26. through
28.
NOTE: It is OSHA policy to disclose items 27 and 28 on
the worksheet (Probability Rating and Penalty) even though some of the matter
therein is more opinion than fact.
d. Worksheet, OSHA-1B(IH) Form.
All Items (except for individuals' names which may be
written on the form)
NOTE: It is OSHA policy to disclose items 31 and 32 on
the worksheet (Probability Rating and Penalty) even though some of the matter
therein is more opinion than fact.
e. Citation and Notification of Penalty, OSHA-2
Form.
All Items
f. Notification of Failure to Abate Alleged Violation,
OSHA-2B Form.
All Items
g. Notification of Unsafe or Unhealthful Working
Conditions, OSHA-2F Form.
All Items
h. Notice of Alleged Safety or Health Hazards, OSHA-7
Form.
Item Numbers:
1. through 7. 10. through 11. 17. Date 18. Organization
Name 19. through 48.
i. Notice of Alleged Imminent Danger, OSHA-8 Form.
All Items
j. Fatality/Catastrophe Report, OSHA-36F Form.
Item Numbers:
1. through 13. 15. through 19. (See NOTE, B.6.c.(2).) 21.
through 30. 32. through 36.
k. Photo Mounting Worksheet, OSHA-89 Form.
Item Numbers:
1. through 6.
l. Referral Report, OSHA-90 Form.
Item Numbers:
1. through 15. 17. through 27.
m. Air Sampling Worksheet, OSHA-91A Form.
Item Numbers:
1. through 9. 11. through 17. 19. through 53. (See,
however, B.6.c.(4).)
n. Air Sampling Report, OSHA-91B Form.
All Items
o. Noise Survey Report, OSHA-92 Form.
Item Numbers:
1. through 7. 9. through 60. (See, however,
B.6.c.(5).)
p. Direct Reading Report, OSHA-93 Form.
Item Numbers:
1. through 7. 10. through 15. 17. through 43. (See,
however, B.6.c.(6).)
q. Screening Report, OSHA-98 Form.
All Items
r. Octave Band Analysis and Impact Noise, OSHA-99
Form.
Item Numbers:
1. through 18. (See, however, B.6.c.(7).)
s. Citation Record Update, OSHA-166 Form.
All Items
t. Complaint Record Update, OSHA-167C Form.
Item Numbers:
1. through 22.
u. Inspection Record Update, OSHA-167I Form.
All Items
v. Investigation Summary, OSHA-170 Form.
Item Numbers:
1. through 4. 5. with respect to the deceased 6.
through 7. 8. with respect to the deceased 9. through
19.
NOTE: It is OSHA policy to disclose items 14
(Environmental Factor) and 15 (Human Factor) even though the matter therein
is more opinion than fact.
5. Nondisclosable Information on Case File Forms.
Information which cannot be disclosed because disclosure is forbidden by
statute shall be kept confidential under all circumstances. All case file
material shall be reviewed carefully before disclosure is made to ensure that
no prohibited information is revealed.
NOTE: The items listed in the following subparagraphs will
very likely contain much information which is disclosable; they are listed
because they are also the items which may contain information which is not
disclosable.
a. This prohibition applies to disclosure of the
following:
(1) The identity of a complainant requesting
confidentiality for self and/or other employees mentioned in the
complaint;
(2) Materials or work processes identified as trade
secrets; and
(3) Information which might give unauthorized advance
notice.
b. Generally this nondisclosable information, if present, will
be found in the following case file documents:
(1) Narrative, OSHA-1A Form.
Item Number:
15. Followup Inspection Recommended:
(2) Worksheet, OSHA-1B Form.
Item Number:
20. Instance Description (See also B.6.b.)
(3) Notice of Alleged Safety or Health Hazards, OSHA-7
Form.
Item Numbers:
8. Hazard Description 9. Hazard Location 12.
through 16. 18. Your Title
NOTE: The entire OSHA-7 may be nondisclosable if
handwritten by the complainant and there is a real possibility that the
employer may be able to identify the complainant from the handwriting when
the complainant has requested anonymity.
(4) Photo Mounting Worksheet. OSHA-89 Form.
Item Number:
The Photograph Itself 7.
Description
(5) Air Sampling Worksheet, OSHA-91A Form.
Item Number:
18. Job Description
(6) Direct Reading Report, OSHA-93 Form.
Item Number:
16. Job Description
6. Information Which May Be Exempt from Disclosure in Whole or
in Part on Case File Forms. Information contained in the following items
shall be kept confidential when disclosure could be detrimental to the
agency's activities, as outlined in A.1.b, and when such information is
exempt from disclosure under Sections (b)(7)(C)--unwarranted invasion of
personal privacy--and/or (b)(7)(D)--identity of confidential sources--of the
FOIA.
NOTES: (a) As a general rule, information about a
person may be disclosed to that person.
(b) The name, sex and age of a deceased person may
normally be disclosed unless the privacy of survivors can reasonably be
expected to be compromised by such disclosure.
(c) For purposes of exemption (b)(7)(C), an
individual's name, address and telephone number are considered to be personal
information, the disclosure of which may constitute an unwarranted invasion
of personal privacy. Mere deletion of a person's name may not be sufficient
unless the statement standing alone would not tend to indicate any particular
individual as having made such statement (for example, where only one person
had knowledge of the facts).
(d) Comments may be withheld pursuant to exemption
(b)(5) - Interagency or intra-agency memorandums or letters. This exemption
is interpreted to include staff opinions, conclusions and recommendations
that are elements in the deliberative process. (See 29 CFR 70.) It does not
include purely factual matters.
a. Narrative, OSHA-1A Form.
(1) Item 6, Authorized Representative of Employees;
Item 7, Employer Representatives Contacted; and Item 8, Other
Persons Contacted. By extension of B.6. NOTE (a), a requester will
generally be entitled to all the information contained in items 6, 7 and 8 of
the Narrative, if the requester is the employer concerned and the employees
are employed by that employer. Care must be taken, however, to protect
persons who may be confidential sources.
(2) Item 9, Coverage Information. It is anticipated
that in most cases this item will contain factual and, therefore, disclosable
information. However, this item may also include confidential business
information, personal information, or material identifying a confidential
source, in which case information may be withheld but only to the extent
appropriate.
NOTE: Confidential business information may be
withheld only when it may reasonably be judged to have an adverse economic
effect on the company. Material which may be embarrassing or which may reveal
confidential company information may not be withheld unless its disclosure is
financially detrimental.
(3) Item 18. Evaluation of Safety and Health
Program. "Yes/No" answers and the subitem pertaining to records are
disclosable. Those subitems calling for written answers by the CSHO are
disclosable as to matters of fact and nondisclosable to the extent that the
information falls within one of the exempt categories (such as, personal
information or material identifying a confidential source). Those items
calling for evaluation (code 0, 1, 2, 3) may also be withheld. The same is
true of any subjective (as opposed to purely factual) explanation given by
the CSHO for a particular evaluation. Such explanations will typically be
found under the "Add'l Comments" section.
(4) Item 19. Additional Comments. Under this item,
a line-by-line analysis must be made where necessary to identify and
segregate any protected matters from disclosable, factual information. (See
29 CFR 70.29.)
b. Worksheet, OSHA-1B Form. As with item 20 of the
Narrative, the following items on the Worksheet must be analyzed on a
line-by-line basis:
Item Number:
20. Instance Description 22e. Exposed Employee -- Name,
Address & Telephone 23. Employer Knowledge 24. Comments 25. Other Employer
Information
(1) Items 20 and 25, and item 23 to a lesser extent, will
usually contain information that is primarily factual in nature; and, thus,
in most cases the bulk of the information in these items is
disclosable.
(2) Since item 24 specifically calls for the CSHO to record
various remarks made during or pertinent to the inspection, care must be
exercised to ensure confidentiality. Here, especially, mere deletion of a
person's name may not be sufficient since the statement standing alone could
tend to indicate a particular individual as having made the statement (for
example, where only one person had knowledge of the
facts).
c. Other Forms. Calculations and factual comments and
notes are generally disclosable. The following items, however, will require a
line-by-line analysis to identify and protect information which is
nondisclosable:
(1) Notice of Alleged Safety or Health Hazards, OSHA-7
Form.
Item Number:
49. Comments
(2) Fatality/Catastrophe Report, OSHA-36 Form.
Item Number:
14. Reported By 20. Name 31. Preliminary Description
37. Comments
NOTE: When reported by someone other than a company
official, the following items may also be in this
category:
17. Job Title 18. Telephone
Number
(3) Referral Report. OSHA-90 Form.
Item Number:
16. Source or Contact 28.
Comments
(4) Air Sampling Worksheet, OSHA-91A Form.
Item Number:
10. Employee 18. Job Description 37. Location/T and
Alt.(when address is CSHO's own.) 43. Location/T and Alt. (when address is
CSHO's own.) 54. Calculations and Notes
(5) Noise Survey Report, OSHA-92 Form.
Item Number:
8. Employee 38. Location T and B.P. (when address is
CSHO's own.) 46. Location T and B.P. (when address is CSHO's own.) 52.
Location T and B.P. (when address is CSHO's own.) 57. Location T and S.P.
(when address is CSHO's own.) 61. Job Description
(6) Direct Reading Report, OSHA-93 Form.
Item Number:
8. Employee 16. Job Description 34. Location T and
S.P. (when address is CSHO's own.) 40. Location T and S.P. (when address is
CSHO's own.)
(7) Octave Band Analysis and Impact Noise, OSHA-99
Form.
Item Number:
6. Location T and S.P. (when address is CSHO's own.)
12. Location T and S.P. (when address is CSHO's own.) 19.
Notes
(8) Complaint Record Update, OSHA-167C.
Item Number:
23. Comments
(9) Investigation Summary, OSHA-170.
Item Number:
5. Injured (Name)--unless already in the public
domain.
8. Age (Injured)--unless already in the public
domain.
20. Abstract
7. Disclosure of Witnesses' Statements. Witnesses'
statements may be disclosed when disclosure does not interfere with
enforcement proceedings, constitute an unwarranted invasion of personal
privacy or reveal a confidential source.
a. The factual information contained in witness statements is
protected only to the degree that it may reveal the identity of the person
giving the information. To ensure that the privacy of witnesses is
maintained, all information which may indicate their identities shall be
deleted, both from the statement and any attached or referenced
materials.
b. Where there is a small number of witness statements (less
than 8 as a rule), it is generally considered impossible to separate
disclosable and nondisclosable information and still maintain the anonymity
of the witnesses involved. For this reason, in such circumstances, all the
witness statements may be withheld in full.
8. Medical Records. 29 CFR 1913.10(m) governs the
interagency transfer and public disclosure of employee medical records. Any
request from another agency or the public for employee medical records shall
be forwarded to the OSHA Medical Records Officer through the Regional
Administrator. A record of these requests shall be maintained by the Area
Office.
9. State Plan Monitoring Files. Material contained in
State plan on-site monitoring files relating to Complaints About State
Program Administration (CASPA) investigations, case file reviews (CFR) and
spot-check monitoring visits (SCMV) are generally disclosable with the same
types of limitations applicable to Federal enforcement case files.
a. There are, however, certain special considerations when
disclosing such monitoring case files:
(1) If portions of a State enforcement case file are
contained in a Federal file, the citations and notices of contest only shall
be released if the State citation is within the contest period or is under
contest.
(2) Opinions, conclusions and recommendations in internal
notes written by Federal personnel in evaluating the State's activity shall
not be disclosed; opinions, conclusions and recommendations contained in
correspondence between the State and Federal officials shall be disclosed
unless otherwise exempted from disclosure.
(3) The identity of a complainant (for example, a CASPA
complainant or the initiator of a State complaint investigation) or any
information tending to identify a complainant which is contained in a Federal
case file shall not be disclosed.
(4) Information contained in a case file related to both a
State and a Federal discrimination case shall be treated in the same manner
as a Federal discrimination case.
b. In accordance with the Privacy Act, case files relating to
on-the-job evaluations/accompanied visits of State compliance officers are
releasable only to the individual evaluated and to supervisory State
officials.
10. Retention of FOIA Files. Requesters under the Freedom
of Information Act have a right to appeal any denial (partial or total) of
information pursuant to their request. Because the disclosing official may
not know whether or not an appeal of a denial has been submitted, it is
necessary to retain the response to an FOIA request for a period of time.
Retention of FOIA records shall be in accordance with the disposition periods
contained in General Records Schedule 14, Items 11 through 15. When more
specific information or guidance is necessary, the Regional Records
Management Officer shall be consulted.
11. Waiver of Fees. It is OSHA policy, subject to the
requirements of 29 CFR Part 70, to waive fees otherwise assessable under the
Freedom of Information Act (FOIA) when providing copies of disclosable
portions of the accident investigation files to surviving family members or
family members representing workers totally disabled by a work
accident.
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
CHAPTER XV
REVIEW COMMISSION
This chapter has been removed. Refer to OSHA Instruction 2.103, Field
Inspection Reference Manual (FIRM).
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
INDEX
Action Plans
Guidelines for . . . . . . . . . . . . . . . . . . XIII-A-1
Administrative Subpoena. . . . . . . . . . . . . . . . . . . . . XIII-13
Administrative Costs Debts . . . . . . . . . . . . . . . . . . . . . .
VI-26 Administrative Law Judge (ALJ). . . . . . . . . . . . . VI-24
Agency Technical Assistance Requests (ATARs). . . . . . XIII-22
Alternative Housing . . . . . . . . . . . . . . . . . . . . . XI-6 Area
Directors Responsibilities. . . . . . . . . . . . . . . . . VI-20,
XIII-25 Assessment Procedures. . . . . . . . . . . . . . . . . . . .
VI-26 Catastrophe . . . . . . . . . . . . . . . . . . . . . . XIII-6
Certified Committee . . . . . . . . . . . . . . . . . . XIII-9 Choice of
Standards . . . . . . . . . . . . . . . . . . XI-1 Citable Program
Elements. . . . . . . . . . . . . . . . XIII-3, XIII-A-1 Complaints CASPA
(Complaint About State Program Administration) . . . . . . . . . . . . . . .
. . XIV-11 Federal Agencies. . . . . . . . . . . . . . . . . XIII-7
Oral. . . . . . . . . . . . . . . . . . . . . . . XIII-8 Temporary Labor
Camps . . . . . . . . . . . . . . XI-3 Conference Informal. . . . . . . .
. . . . . . . . . . . . . XIII-26 Confidential (see also Trade Secrets) .
. . . . . . . . XIV Credit Reporting Bureau . . . . . . . . . . . . . . .
. VI-29 DCAT (Debt Collection Accountability Team). . . . . . . VI-28
Dates Final Order . . . . . . . . . . . . . . . . . . . VI-24 Payment . .
. . . . . . . . . . . . . . . . . . . VI-21 Debt Collection Agency. . . .
. . . . . . . . . . . . . . . . . . VI-29 Policy. . . . . . . . . . . . .
. . . . . . . . . VI-23 Procedures. . . . . . . . . . . . . . . . . . . .
VI-23
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
Definitions
Citable Program Elements . . . . . . . . . . . . . XIII-3
Delinquent Debt. . . . . . . . . . . . . . . . . . VI-25 Establishment. .
. . . . . . . . . . . . . . . . . XIII-3 Establishment Official . . . . .
. . . . . . . . . XIII-4 Migrant Housing Facility . . . . . . . . . . . .
. XI-1 New Construction (re: Temporary Labor Camps) . . . XI-1
Temporary Labor Camps. . . . . . . . . . . . . . . XI-1 Delinquent
Charge.. . . . . . . . . . . . . . . . . . . . . . VI-26 Debt . . . . . .
. . . . . . . . . . . . . . . . . VI-25 Demand Letters (in Debt
Collection) . . . . . . . . . . VI-25 Denial of Entry . . . . . . . . . .
. . . . . . . . . . XIII-13 Designee for State Plan States (see STP
2.22A) Disclosure (see also Nondisclosable Information). . . . XIV-1
Disposition of Files (see Retention) Documentation Migrant Housing
Inspections. . . . . . . . . . . . XI-4 Emphasis Programs (Special) . . .
. . . . . . . . . . . XIII-6 Employee Representative . . . . . . . . . .
. . . . . . . . XIV-8 Employer Refusal of Entry . . . . . . . . . . . . .
. . . . XIII-13 Representative . . . . . . . . . . . . . . . . . .
XIV-8 Exempt from Disclosure. . . . . . . . . . . . . . . . . XIV-7 FOIA
(Freedom of Information Act) . . . . . . . . . . . XIV Family FOIA . . .
. . . . . . . . . . . . . . . . . . . XIV-12 Fatality/Catastrophe. . . .
. . . . . . . . . . . . . . XIII-6 Disclosure. . . . . . . . . . . . . .
. . . . . . XIV-9 Reports (Federal Agencies). . . . . . . . . . . .
XIII-6 Federal Agency Programs . . . . . . . . . . . . . . . . XIII Field
Sanitation (see also CPL 2-2.42). . . . . . . . . XI Final Order . . . .
. . . . . . . . . . . . . . . . . . VI-24 Forms OSHA-1 (Inspection
Report) . . . . . . . . . . . . XIV-2 OSHA-1A (Narrative). . . . . . . .
. . . . . . . . XIV-2, 6, 8 OSHA-IB or IBIH (Worksheets) . . . . . . . .
. . . XIV-3, 8 OSHA-2 (Citation & Notification of Penalty). . . .
XIV-1,3
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
OSHA-2B (Notification of Failure to Abate Alleged
Violations) . . . . . . . . . . . . . . . . . XIV-1, 3
OSHA-2H (Hazard Correction List/Notice of Unsafe or
Unhealthful Working Conditions) . . . . . . . XIII-23, XIV-3
OSHA-7 (Notice of Alleged Safety or Health
Hazards). . . . . . . . . . . . . . . . . . . XIV-3, 6, 9
OSHA-8 (Notice of Alleged Imminent Danger) . . . . XIV-4
OSHA-36/36F (Fatality/Catastrophe Report). . . . . XIV-4, 9
OSHA-89 (Photo Mounting Worksheet) . . . . . . . . XIV-4, 7
OSHA-90 (Referral Report). . . . . . . . . . . . . XIV-4, 9
OSHA-91A (Air Sampling Worksheet). . . . . . . . . XIV-4, 7, 10
OSHA-9IB (Air Sampling Report) . . . . . . . . . . XIV-4
OSHA-92 (Noise Survey Report). . . . . . . . . . . XIV-4, 10
OSHA-93 (Direct Reading Report). . . . . . . . . . XIV-5, 7, 10
OSHA-98 (Screening Report) . . . . . . . . . . . . XIV-5
OSHA-99 (Octave Band Analysis & Impact Noise). . . XIV-5, 10
OSHA-166 (Citation Record Update). . . . . . . . . XIV-5
OSHA-167C (Complaint Record Update). . . . . . . . XIV-5, 10
OSHA-1671 (Investigation Record Update). . . . . . XIV-5
OSHA-170 (Investigation Summary) . . . . . . . . . XIV-5, 11
OSHA-200 (Log & Summary of Occupational Injuries &
Illnesses). . . . . . . . . . . . . . . . . . XIII-14
OSHA-2005 (BLS Survey Questionnaire) . . . . . . . XIII-14
Freedom of Information Act (FOIA) . . . . . . . . . . . XIV
GOCO (Government-Owned Contractor-Operated) . . . . . . XIII-2
General Duty
Federal Agency . . . . . . . . . . . . . . . . . . XIII-3
Housing (Migrant Labor) (see also CPL 2-2.42) . . . . . XI
IMIS (integrated Management Information System)
(see also ADM 1-1.27, IMIS Standard Form
Letter Manual) . . . . . . . . . . . . . . . . . . VI-22, 27 to 29
Information
Disclosable. . . . . . . . . . . . . . . . . . . . XIV-2
Exempt from Disclosure . . . . . . . . . . . . . . XIV-7
Nondisclosable . . . . . . . . . . . . . . . . . . XIV-5
Inspections/Investigations
Catastrophe. . . . . . . . . . . . . . . . . . . . XIII-6
Fatality . . . . . . . . . . . . . . . . . . . . . XIII-6
Refusal of Entry . . . . . . . . . . . . . . . . . XIII-13
Targeting. . . . . . . . . . . . . . . . . . . . . XIII-4
Temporary Labor Camps (see also CPL 2-2.42). . . . XI
Integrated Management Information System (IMIS)
(see also ADM 1-1.27, IMIS Standard Form
Letter Manual) . . . . . . . . . . . . . . . . . . VI-22, 27 to 29
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
Jurisdiction (see also Preemption)
Federal Agency . . . . . . . . . . . . . . . . . . XIII-1 Letters
(Demand). . . . . . . . . . . . . . . . . . . . VI-25, 27, 29 Log &
Summary of Occupational Injuries/Illnesses (OSHA-200) . . . . . . . . . . . .
. . . . . . . . XIII-14 Mailing Collecting Monies. . . . . . . . . . . .
. . . . . VI-20 Demand letters . . . . . . . . . . . . . . . . . .
VI-25, 27, 29 Payments/Payment Instruments . . . . . . . . . . . VI-21,
22, 27 Medical Records. . . . . . . . . . . . . . . . . . . . . . XIV-11
Migrant Labor (see also CPL 2-2.42) . . . . . . . . . . XI Modification
of Abatement Dates (PMA) . . . . . . . . . XIII-27 Monitoring State Plan
Files . . . . . . . . . . . . . . . . . XIV-11 Multi-Employer Policy in
Federal Agencies . . . . . . . . . . . . XIII-4 National Office Office of
Federal Agency Programs. . . . . . . . . XIII-16 Office of Management
Data Systems (OMDS) . . . . . VI-27 to 29 Nondisclosable Information. . .
. . . . . . . . . . . . XIV-5 Office of Management Data Systems (OMDS). .
. . . . . . VI-27 to 29 Orders Date of. . . . . . . . . . . . . . . . . .
. . . . VI-24 Final. . . . . . . . . . . . . . . . . . . . . . .
VI-24 PMA (Petition to Modify Abatement Date) . . . . . . . . XIII-27
Penalty Assessment . . . . . . . . . . . . . . . . . . . . VI-26
Contested/Uncontested. . . . . . . . . . . . . . . VI-23 Criminal . . . .
. . . . . . . . . . . . . . . . . VI-20 Debt, as a . . . . . . . . . . .
. . . . . . . . . VI-26 Failure to Abate . . . . . . . . . . . . . . . .
. XIII-27 Partially Contested. . . . . . . . . . . . . . . . VI-23
Payment. . . . . . . . . . . . . . . . . . . . . . VI-20 to 23
Uncollectible. . . . . . . . . . . . . . . . . . . VI-28 Petition to
Modify Abatement Date (PMA) . . . . . . . . XIII-27 Policy Debt
Collection. . . . . . . . . . . . . . . . . . VI-23 Disclosure . . . . .
. . . . . . . . . . . . . . . XIV-1
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
Procedures
Disclosure . . . . . . . . . . . . . . . . . . . . XIV Migrant
Camp Inspections . . . . . . . . . . . . . XI-2 Recordkeeping Forms
(OSHA-101 & -200). . . . . . . . . . . . . . XIII-14 Requirements . . . .
. . . . . . . . . . . . . . . XIII-14 Records Request of . . . . . . . .
. . . . . . . . . . . . XIV-2 Referrals Credit Reporting Bureau. . . . .
. . . . . . . . . VI-29 Debt Collection Agency . . . . . . . . . . . . .
. VI-29 Solicitor. . . . . . . . . . . . . . . . . . . . . VI-29
Temporary Labor Camps. . . . . . . . . . . . . . . XI-3 Refusal of Entry.
. . . . . . . . . . . . . . . . . . . XIII-13 Reporting
Fatality/Catastrophe . . . . . . . . . . . . . . . XIII-7 Reports of
Reprisal . . . . . . . . . . . . . . . . . . XIII-12 Representatives
Authorized . . . . . . . . . . . . . . . . . . . . XIV-8 Employee . . . .
. . . . . . . . . . . . . . . . . XIV-8 Employer . . . . . . . . . . . .
. . . . . . . . . XIII-4 Reprisal (Report of). . . . . . . . . . . . . .
. . . . XIII-12 Retention FOIA Files . . . . . . . . . . . . . . . . . .
. . XIV-12 Safety and Health Programs Violations (Federal Agencies). . .
. . . . . . . . XIII-11 Security Clearance. . . . . . . . . . . . . . . .
. . . XIII-A-2 Solicitor Referrals. . . . . . . . . . . . . . . . . . . .
. VI-29 Special Emphasis Programs (SEP) . . . . . . . . . . . .
XIII-6 State Plan States (see STP 2.22A) . . . . . . . . . . . XIV-11
Statements Witness. . . . . . . . . . . . . . . . . . . . . . XIV-11
Subpoena Administrative . . . . . . . . . . . . . . . . . . XIII-13
Targeting . . . . . . . . . . . . . . . . . . . . . . . XIII-4 Technical
Assistance Request (Federal Agencies). . . . . . . XIII-22 Temporary
Labor Camps (see also CPL 2-2.42) . . . . . . XI
OSHA Instruction CPL 2.45B CH-5 March 3, 1995 Office of General Industry
Compliance Assistance
Time
Allowed for Payment of Penalties . . . . . . . . . VI-23 Frames
for Federal Agency Programs . . . . . . . . XIII-15 Victim Family . . . .
. . . . . . . . . . . . . . . . . . XIV-12 FOIA . . . . . . . . . . . . .
. . . . . . . . . . XIV-12 Violations Safety and Health Programs . . . .
. . . . . . . . XIII-11 Waiver FOIA Fees. . . . . . . . . . . . . . . . .
. . . . XIV-12 Warrants. . . . . . . . . . . . . . . . . . . . . . . .
XIII-13 Witness Statements. . . . . . . . . . . . . . . . . . .
XIV-11
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