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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
SUBJECT: Changes to the Field Operations Manual (FOM)
A. Purpose. This instruction transmits page changes to the FOM, OSHA
Instruction CPL 2.45B, June 15, 1989.
B. Scope. This instruction applies OSHA-wide.
C. References.
1. OSHA Instruction CPL 2.51H, March 22, 1993, Exemptions and
Limitations under the Current Appropriations Act.
2. OSHA Instruction CPL 2.95, February 10, 1992, Enforcement
Authority at the Department of Energy's (DOE) Government-Owned,
Contractor-Operated (GOCO) Sites.
3. OSHA Instruction CPL 2.97, January 26, 1993, Fatality/Catastrophe
Reports to the National Office ("Flash Reports").
4. OSHA Instruction DIS .4B, August 29, 1988, Investigator's Manual.
D. Background. This OSHA Instruction will update the Field
Operations Manual (FOM) by providing guidance to the field
on a variety of policy and program changes. It will also
serve as interim guidance until the reinvented FOM, which is
being developed by the FOM Revision Team, is issued sometime
in early 1994.
E. Action. Replace existing pages with the attached CH-4
pages as listed below:
Existing Pages Replacement Pages
Table of Contents, 1 thru 17 Table of Contents, 1 through 16
I-11 through 12 I-11 through 12
II-1 through 36 II-1 through 34
III-37 through 48 III-37 through 48
III-57 through 58 III-57 through 58
III-73 through 88 III-73 through 88
IV-9 through 10 IV-9 through 10
IV-19 through 22 IV-19 through 22
IV-27 through 42 IV-27 through 42
VI-1 through 2 VI-1 through 2
VI-9 through 10 VI-9 through 10
VI-15 through 16 VI-15 through 16
VI-19 through 20 VI-19 through 20
VIII-5 through 10 VIII-5 through 9
IX-1 through 4 IX-1 through 4
IX-9 through 12 IX-9 through 12
X-1 through 15 X-1
XIII-1 through 36 XIII-1 through 28
None XIII-A-1 through 8
None Index-1 through Index-21
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, CH-2.
2. Explain the content of this change to the State designees
as requested.
3. Advise the State designees of the changes made to the
Field Operation Manual (FOM). The States now have six
months from the issuance date of this instruction to
submit a plan supplement (I.1.a.(3)(a) of the SPM)
documenting changes set forth therein. States which
have not yet submitted their revised FOM in response to
OSHA Instruction CPL 2.45B and 2.45B CH-1, CH-2 and CH-3
shall not delay those submissions to incorporate the
changes being transmitted by this instruction.
4. Ensure that State designees are asked to acknowledge
receipt of this Federal program change in writing to
the Regional Administrator as soon as the State's
intention is known, but not later than 70 calendar days
after the date of issuance (10 days for mailing and 60
days for response). In the acknowledgment, the State
should address the State's intent with regard to new,
significant changes listed in Paragraph H. of this
instruction.
a. If the State intends to follow Federal policies
and procedures described in the changes to the
FOM, the State must submit revised pages, adapted
as appropriate to refer to State law, regulations
and administrative structure, or a revised cover
page which has been incorporated into the State's
adopted manual indicating that the revisions to
the Federal FOM had been adopted for State use,
how references in the Federal FOM correspond to
the State structure, and how it will be applied.
b. If the State adopts an alternative to the Federal
FOM, the State must submit replacement pages to
the FOM within 6 months of the issuance date of
the directive transmitting the FOM changes. The
plan change supplement must identify and provide a
rationale for all substantial differences from the
Federal policies and procedures in order for OSHA
to judge whether a different State procedure is as
effective as comparable Federal procedure.
c. The State plan supplement must address the
significant changes noted in paragraph H. of this
instruction. The following are clarifications and
instructions to the States on specific policies
and procedures:
(1) Targeting - States that use OSHA safety list
for high-hazard targeting should be aware
that it is now based on Federal OSHA
violation history by SIC - not BLS rates (II-10).
(2) Case file documentation for willful
violations related to fatalities (IV-28).
The State revised manual should reflect that
when a willful violation is related to a
fatality, the case file must contain adequate
documentation for not referring the case for
criminal prosecution.
(3) Where serious penalty calculation would
result in a penalty less than $100, then a
$100 penalty shall be proposed (VI-2 and VI-19).
OSHA has revised its procedure for the
calculation of serious penalties to
administratively set a $100 minimum penalty
when the adjusted proposed penalty for a
serious violation would amount to less than
$100. In the States' response to this
change, they are to follow procedures in the
revised FOM or at least as effective
alternative procedures.
(4) Deleted Discrimination Complaints Chapter -
(X-1.) OSHA has deleted Discrimination
Complaints Chapter from the FOM and will use
only OSHA Instruction DIS .4B, Investigator's
Manual. States may similarly delete this
chapter.
(5) Complaints can allege general duty violations
- not just standards and regulations (IX-1).
States revised manual should indicate that
complaints can also allege general duty
violations -- not just standards and
regulations.
d. The State plan supplement must also:
(1) Incorporate the State's own policies in such
areas where Federal policy does not apply
directly to the State's operations or has not
been adopted by a State.
(2) Describe how the policies and procedures
apply to State and local government sectors,
though a separate chapter or appropriate
references where a State's FOM is intended to
cover both public and private sectors.
6. Ensure, upon receipt of the State plan supplement
submitted in response to this Federal program change,
that a line-by-line review of the State plan supplement
is performed, identifying and evaluating the relative
effectiveness of all substantive differences from the
Federal provisions.
a. If the Regional review shows that the State's plan
supplement is incomplete or otherwise less
effective than Federal requirements, the Regional
administrator shall negotiate with the State to
make the necessary changes.
b. The Regional Office shall provide any technical
assistance for a State to resolve deficiencies in
its plan supplement.
7. After Regional review of the State plan supplement and
resolution of any comments thereon, forward the State
submission to the National Office in accordance with
established procedures. The Regional Administrator
shall provide a judgment on the relative effectiveness
of each substantial difference in the State plan change
and an overall assessment thereon with a recommendation
as to approval by the Assistant Secretary.
8. In light of the critical importance of a State's FOM to
its program effectiveness and some States' historical
delinquency in responding to previous compliance policy
changes, closely monitor the States' progress in
responding to this Federal program change to ensure
compliance with its requirements within the specified
6-month period.
H. Significant Changes.
1. Updates References to the Appropriation Act in OSHA
Instruction CPL 2.51H. (Pages I-12, II-2, II-19, II-36,
III-30 and VI-2).
2. Adds Metric System Conversion (Pages II-20, III-47 &
48, IV-9, 10, 19, 20, 22, and 32).
3. Changes "shall" to "may" Regarding Partial
Inspections (Page II-2). An exception is provided
concerning the mandatory review of employer's injury
and illness records and assessment of employer's
programs.
4. Adds NOTE Concerning Documentation of Unusual
Circumstances that Require Modification of Inspection
Priorities (Page II-5).
5. Changes Definition of "High Hazard Industry" in Area
of Safety (Page II-9).
6. Replaces BLS Rate Data with IMIS Violation Data
Safety Priority (Pages II-10 through 12). Industry
priority for safety inspections for FY '94 will be
based on a ratio similar to that used for health
inspections, which is the number of serious violations
of safety standards per safety inspection in that
industry.
7. Replaces Reference to "Dodge Reports" and "Dodge
Slips" with "OSHA Inspection Construction Reports"
(Pages II-11, 21, 22, and 24).
8. Deletes Firms with IMIS Identified Valid Deletion
Criteria (Page II-12). Beginning with the FY '94
establishment lists, all establishments with valid
deletion criteria will be deleted by the National
Office. Caution should be taken when adding
establishments to the establishment lists, since
establishments will have been deleted in that SIC or
may be included in a different SIC.
9. Deletes Sites with Ten or Fewer Employees (Page II-12).
In the past all sites with ten or fewer employees were
deleted from the list. For FY '94, sites with ten
or fewer employees that are part of larger employers
will not be deleted. This includes branch locations
that show no employment on the Dun's file, but may have
large employment.
10. Adds NOTE to Clarify the Calculation of Five Percent
Low Hazard and Non-manufacturing (Page II-16). The
intent of this provision is that "up to" five percent
in each of these categories are to be included for
inspection. When the calculation yields a fractional
establishment, the factional part is dropped and the
integer part is the number to be included.
11. Creates a Single Cycle for the Year (Pages II-17 to
18). One cycle early in the fiscal year should
contain the number of planned inspections estimated for
the year. If more establishments are needed, another
cycle can be selected late in the year to provided
enough establishments to finish the year.
12. Merges Lists for Two Consecutive Months for
Construction (Page II-20). The lists for two
consecutive months may be merged and worked from at the
same time. The first month is consider carryover when
the second month is merged with the third month.
13. Provides that the Area Office will Directly Notify
the Construction Resource Analysis (CRA) Group at the
University of Tennessee by Telephone or FAX (Page II-22).
14. Changes Approval Requirements of Local Emphasis
Programs (Page II-30). The Director of Compliance
Programs no longer has to give approval for all LEPs.
15. Adds a Statement Regarding Construction Activities
within DOE Sites (Pages II-34 and III-38). Reference
is made to OSHA Instruction CPL 2.95
16. Adds a NOTE Regarding Exception for Partial
Inspections (Page III-40). An exception is provided
concerning the mandatory review of employer's injury
and illness records and assessment of employer's
programs.
17. Reserves Section on Hazard Communication (Page III-41).
18. Makes an Editorial Correction in the Second Line of
Paragraph D.8.a.(2)(b) 2 e by Striking Out "and
investigations" (Page III-45)
19. Adds the Statement "Follow-ups will Normally be
Conducted within Three Years." (Page III-46).
20. Removes the Requirement to Provide Copies of
Standards to the Employer and Employee Representatives
(Page III-58).
21. Replaces Material that was Inadvertently Removed by
CH-3, and Adds a NOTE that Lists the Nine Standards
which Prohibit Employee Rotation as a Means of Reducing
the Hazard as an Administrative Control (Pages III-74 &
75).
22. Corrects a Discrepancy between the FOM and 29 CFR
1903 Regulations to State that the Area Director Shall
Make a Determination 15 Days after the Posting, not 15
Days after the Certification (Page III-79).
23. Adds a Requirement for Adequate Documentation of
Decisions not to Pursue Criminal Investigations When
there is a Willful Violation Related to a Fatality
(Page IV-28).
24. Removes Welding from the List of Primary Hazards
Regarding the Ventilation Standards (Page IV-34).
25. Adds a Provision Stating the Smallest Proposed
Penalty for a Serious Violation will be $100
(Page VI-2).
26. Removes "and history" to Clarify When NOT to Give
"Good Faith" (Pages VI-9 and VI-15).
27. Amends Penalty Chart to Replace "Zeros" with "$100,"
and Adds a Second NOTE (Page VI-19).
28. Replaces Superseded Report Procedures with Reference
to CPL 2.97, Fatality/Catastrophe Reports to the
National Office ("Flash Reports") (Page VIII-6).
29. Adds "General Duty Clause" (Page IX-1). This
clarifies that a complaint can allege a serious hazard
that is not covered by a standard.
30. Adds "such as recordkeeping" (Page IX-4). This
clarifies what violations are to be considered informal
complaints.
31. Removes Requirement to Supply Employer Copy of
Standards in Paragraph A.8.a. (Page IX-9).
32. Removes Provisions Regarding Tenth Letter Inspections
(Page IX-10).
33. Changes the Time Frame for Informing Complainants
about Delays in Issuing a Citation from 15 Working Days
to 30 Working Days (Page IX-11). The paperwork
burden is increased because of the length of time
necessary to receive laboratory results is usually
greater than 15 working days.
34. Removes Discrimination Complaints from the FOM and
References DIS .4B, Investigator's Manual (Page X-1).
35. Clarifies and Expands the Scope, Jurisdiction, and
Definitions Applicable to Federal Agencies
(Pages XIII-1 through 4).
36. Eliminates the Requirement for Federal Agencies to
Provide OSHA with an Establishment Safety and Health
Action Plan for Targeted Inspections (Page XIII-4).
37. Adds Requirement under Conduct of Targeted
Inspections to Inspect for Violations of 29 CFR 1960
Citable Program Elements (Page XIII-6). OSHA will
not give Federal agencies advance notice when
inspections will be conducted (except Federal prisons).
38. Adds Requirement to Inspect for Violations of 29 CFR
1960 Citable Program Elements in Fatality/Catastrophe
Investigations (Page XIII-6).
39. Changes Inspection Time Frames for Responding to
Complaints to be Consistent with Private Sector (Page
XIII-8).
40. Adds Appropriate Instructions when Responding to
Complaints when the Agency has a Certified Committee
(Page XIII-9). Provision allows announced
inspections at agencies with Certified Committees.
41. Adds Provisions to Investigate Reports of Safety and
Health Program Violations and to Cite Violations of 29
CFR 1960 Citable Program Elements (Page XIII-11).
42. Adds New Procedure that Decentralizes the Handing of
Reprisal Reports to the Regional Administrator (Page
XIII-12).
43. Clarifies and Expands Recordkeeping and Reporting
Requirements for Federal Agencies (Page XIII-14).
44. Adds Requirement to Include Technical Assistance with
Complying with 29 CFR 1960 Citable Program Elements
(Page XIII-22).
7
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
45. Clarifies and Expands Procedures for Issuing the OSHA
Notice of Unsafe or Unhealthful Working Conditions,
OSHA-2H Form (Page XIII-23). The procedures for
issuing the OSHA Notice with regard to violations of 29
CFR 1960 citable program elements, general duty clause,
and repeat violations, and the multiemployer worksite
policy are expanded and clarified.
46. Expands Requirements for Assuring Verification of
Abatement (Page XIII-27).
47. Clarifies Position Concerning Federal Agency Requests
for Petitions for Modification of Abatement Dates (Page
XIII-27). Emphasizes that requests for PMAs should
be similar to that for the private industry in Chapter
III, even though Review Commission rules do not apply
to Federal agencies.
48. Replaces Old Text with more Effective Procedures for
Handling Failure to Abate Situations (Page XIII-27).
49. Replaces Appendix (Pages XIII-A-1 through XIII-A-8).
Removed old appendix that provided guidance on
action plans and replaced it with the citable program
elements.
50. Adds an Index (Pages Index-1 through Index-20).
After 20 years the FOM now has an index!
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
8
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
CHAPTER PAGE
TABLE OF CONTENTS
I. GENERAL RESPONSIBILITIES AND ADMINISTRATIVE PROCEDURES
A. Director, Office of Field Programs.. . . . . . . . . . . . I-1
B. Regional Administrator.. . . . . . . . . . . . . . . . . . I-2
C. Area Director. . . . . . . . . . . . . . . . . . . . . . . I-2
D. Supervisor.. . . . . . . . . . . . . . . . . . . . . . . . I-4
E. Compliance Safety and Health Officer.. . . . . . . . . . . I-5
F. Area Office as Full Service Resource Center. . . . . . . . I-7
1. Outreach Program Plan. . . . . . . . . . . . . . . . I-7
2. Regional Office Support Services.. . . . . . . . . . I-8
3. Training and Education Services. . . . . . . . . . . I-9
4. Referral Services. . . . . . . . . . . . . . . . . . I-10
5. Other Services . . . . . . . . . . . . . . . . . . . I-11
6. Public Information Policy. . . . . . . . . . . . . . I-13
II. COMPLIANCE PROGRAMMING
A. Program Planning . . . . . . . . . . . . . . . . . . . . . II-1
B. Inspection/Investigation Types . . . . . . . . . . . . . . II-1
C. Inspection Scope . . . . . . . . . . . . . . . . . . . . . II-2
D. Inspection Selection Criteria. . . . . . . . . . . . . . . II-2
E. Inspection Priorities. . . . . . . . . . . . . . . . . . . II-3
F. Inspection Scheduling. . . . . . . . . . . . . . . . . . . II-4
1. Unprogrammed Inspections . . . . . . . . . . . . . . II-4
a. Priorities. . . . . . . . . . . . . . . . . . . II-4
b. Scope . . . . . . . . . . . . . . . . . . . . . II-4
c. Followup Inspections. . . . . . . . . . . . . . II-5
d. Monitoring Inspections. . . . . . . . . . . . . II-7
e. Reinspection Referrals. . . . . . . . . . . . . II-9
2. Programmed Inspections . . . . . . . . . . . . . . . II-9
a. General . . . . . . . . . . . . . . . . . . . . II-9
(1) Policy . . . . . . . . . . . . . . . . . . II-9
(2) Description. . . . . . . . . . . . . . . . II-10
b. Guidelines and Procedures . . . . . . . . . . . II-11
(1) Inspection Scheduling for General Industry
(Safety and Health). . . . . . . . . . . . II-11
(a) Industry Rank Report. . . . . . . . . II-11
(b) Establishment Lists . . . . . . . . . II-12
1 High Hazard Establishment Lists for
Safety . . . . . . . . . . . . . . II-12
2 Low Hazard Establishment List for
Safety . . . . . . . . . . . . . . II-12
3 Nonmanufacturing Establishment List
for Safety . . . . . . . . . . . . II-13
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
4 Health Establishment List
. . . . . . . . . . . . . . . . . II-13
5 Adjustments
. . . . . . . . . . . . . . . . . II-13
a Additions
. . . . . . . . . . . . . . . . . II-14
b Deletions
. . . . . . . . . . . . . . . . . II-14
(1) (c) Inspection Register . . . . . . . . . II-16
(d) Inspection Cycle
. . . . . . . . . . . . . . . . . . . II-17
(e) Inspection Scheduling . . . . . . . . II-17
(f) Deletions and Additions . . . . . . . II-20
(2) Inspection Scheduling for Construction . . II-20
(a) Inspection List . . . . . . . . . . . II-21
(b) OSHA Construction Inspection Reports
. . . . . . . . . . . . . . . . . . . II-21
(c) Limitation on Frequency of Selection. II-21
(d) Scheduling Cycle. . . . . . . . . . . II-22
(e) Completion of Inspection List . . . . II-23
(f) Carryovers. . . . . . . . . . . . . . II-23
(g) Area Director Administration of
Inspection List . . . . . . . . . . . II-24
(h) Health Construction Inspections . . . II-24
(3) Inspection Scheduling for Maritime . . . . II-25
(a) Maritime Industries Scheduled with General
Industry Inspections. . . . . . . . . II-25
(b) Maritime Inspections Scheduled with
Construction. . . . . . . . . . . . . II-25
(c) Water Transportation Services (Longshoring,
Marine Terminals, Voyage Repair . . . II-25
1 Inspection List
. . . . . . . . . . . . . . . . . II-26
2 Numbering of List
. . . . . . . . . . . . . . . . . II-27
3 Quarterly Inspection Cycle for Port
Areas. . . . . . . . . . . . . . . II-27
4 Annual Inspection Cycle for
Employers. . . . . . . . . . . . . II-28
5 Inspection Scheduling
. . . . . . . . . . . . . . . . . II-28
6 Deletions. . . . . . . . . . . II-30
7 Other Maritime Industry
Inspections. . . . . . . . . . . . II-30
8 Health Maritime. . . . . . . . II-31
(4) Special Emphasis Programs. . . . . . . . . II-31
(a) Description . . . . . . . . . . . . . II-31
(b) Scheduling Inspections. . . . . . . . II-32
(c) Program Evaluation. . . . . . . . . . II-32
(5) Other Special Programs . . . . . . . . . . II-32
G. Exemptions and Limitations . . . . . . . . . . . . . . . . II-35
III. GENERAL INSPECTION PROCEDURES
A. CSHO Responsibilities. . . . . . . . . . . . . . . . . . . III-1
B. Preparation. . . . . . . . . . . . . . . . . . . . . . . . III-1
1. General Planning . . . . . . . . . . . . . . . . . . III-1
2. Preinspection Planning . . . . . . . . . . . . . . . III-2
3. Preinspection Compulsory Process . . . . . . . . . . III-2
4. Inspection Materials and Equipment . . . . . . . . . III-2
5. Expert Assistance. . . . . . . . . . . . . . . . . . III-3
6. Safety and Health Rules of the Employer. . . . . . . III-3
7. Immunization and Other Special Entrance Requirements III-4
8. Personal Security Clearance. . . . . . . . . . . . . III-4
C. Advance Notice of Inspections. . . . . . . . . . . . . . . III-6
1. Policy . . . . . . . . . . . . . . . . . . . . . . . III-6
2. Procedures . . . . . . . . . . . . . . . . . . . . . III-8
D. Conduct of the Inspection. . . . . . . . . . . . . . . . . III-9
1. Entry of the Workplace . . . . . . . . . . . . . . . III-9
a. Time of Inspection. . . . . . . . . . . . . . . III-9
b. Severe Weather Conditions . . . . . . . . . . . III-10
c. Presenting Credentials. . . . . . . . . . . . . III-10
d. Refusal to Permit Inspection. . . . . . . . . . III-11
(1) Refusal of Entry or Inspection . . . . . . III-11
(2) Questionable Refusal . . . . . . . . . . . III-12
(3) Employer Interference. . . . . . . . . . . III-12
(4) Administrative Subpoena. . . . . . . . . . III-12
(5) Obtaining Compulsory Process . . . . . . . III-13
(6) Compulsory Process . . . . . . . . . . . . III-17
(7) Action to be Taken Upon Receipt of Compulsory
Process. . . . . . . . . . . . . . . . . . III-17
(8) Refused Entry or Interference With a Compulsory
Process. . . . . . . . . . . . . . . . . . III-18
(9) Federal Marshal Assistance . . . . . . . . III-18
e. Forcible Interference with Conduct of Inspection or
Other Official Duties . . . . . . . . . . . . . III-18
f. Release for Entry . . . . . . . . . . . . . . . III-19
g. Bankrupt or Out of Business . . . . . . . . . . III-19
h. Strike or Labor Dispute . . . . . . . . . . . . III-20
i. No Inspection . . . . . . . . . . . . . . . . . III-20
2. Employee Participation . . . . . . . . . . . . . . . III-20
3. Opening Conference . . . . . . . . . . . . . . . . . III-21
a. Purpose of the Inspection . . . . . . . . . . . III-21
b. Health Inspections. . . . . . . . . . . . . . . III-22
c. Attendance At Opening Conference. . . . . . . . III-23
d. Scope . . . . . . . . . . . . . . . . . . . . . III-23
e. Handouts and Additional Items . . . . . . . . . III-24
f. Program Mix . . . . . . . . . . . . . . . . . . III-24
g. Form Completion . . . . . . . . . . . . . . . . III-24
h. Employees of Other Employers. . . . . . . . . . III-24
i. Voluntary Compliance Programs . . . . . . . . . III-25
j. Other Opening Conference Topics . . . . . . . . III-30
4. Records Review . . . . . . . . . . . . . . . . . . . III-30
a. Procedures for Determining Lost Workday Injury
(LWDI) Rate . . . . . . . . . . . . . . . . . . III-30
b. Results of Establishment's LWDI Rate. . . . . . III-36
5. Walkaround Representatives . . . . . . . . . . . . . III-36
a. Employer Representatives. . . . . . . . . . . . III-36
b. Employee Representatives. . . . . . . . . . . . III-36
6. Special Situations . . . . . . . . . . . . . . . . . III-37
a. Preemption by Another Agency. . . . . . . . . . III-37
b. Labor Relations Disputes. . . . . . . . . . . . III-38
c. Expired Collective Bargaining Agreement . . . . III-38
d. Employee Representatives Not Employees of the
Employer. . . . . . . . . . . . . . . . . . . . III-39
e. More Than One Representative. . . . . . . . . . III-39
f. Disruptive Conduct. . . . . . . . . . . . . . . III-39
g. Trade Secrets . . . . . . . . . . . . . . . . . III-39
h. Classified Areas. . . . . . . . . . . . . . . . III-40
i. Apparent Violations Observed Prior to the
Walkaround. . . . . . . . . . . . . . . . . . . III-40
j. Use of Tape Recorders . . . . . . . . . . . . . III-40
7. Examination of Record Programs and Posting
Requirements . . . . . . . . . . . . . . . . . . . . III-40
a. Records . . . . . . . . . . . . . . . . . . . . III-40
b. Posting . . . . . . . . . . . . . . . . . . . . III-42
c. Additional Information. . . . . . . . . . . . . III-42
8. Walkaround Inspection. . . . . . . . . . . . . . . . III-43
a. General Procedures. . . . . . . . . . . . . . . III-43
b. Health Inspections. . . . . . . . . . . . . . . III-50
c. Taking Photographs and/or Videotapes. . . . . . III-54
d. Interviews. . . . . . . . . . . . . . . . . . . III-54
e. Special Circumstances . . . . . . . . . . . . . III-57
9. Closing Conference . . . . . . . . . . . . . . . . . III-58
a. General . . . . . . . . . . . . . . . . . . . . III-58
b. Specific. . . . . . . . . . . . . . . . . . . . III-59
(1) Citation Issued . . . . . . . . . . . . . III-60
(2) Citation Posting . . . . . . . . . . . . . III-60
(3) Complying with Citation and Notification of
Penalty. . . . . . . . . . . . . . . . . . III-61
(4) Informal Conference. . . . . . . . . . . . III-61
(5) Penalties . . . . . . . . . . . . . . . . III-62
(6) Contesting Citation and Notification of
Penalty. . . . . . . . . . . . . . . . . . III-62
(7) Abatement Action . . . . . . . . . . . . . III-64
(8) Petition for Modification of Abatement
Date . . . . . . . . . . . . . . . . . . . III-64
(9) Followup Inspection. . . . . . . . . . . . III-64
(10) Failure to Abate . . . . . . . . . . . . . III-65
(11) False Information. . . . . . . . . . . . . III-65
(12) Employee Discrimination. . . . . . . . . . III-65
(13) Variance . . . . . . . . . . . . . . . . . III-65
(14) SBA Loans. . . . . . . . . . . . . . . . . III-65
(15) De Minimis Violations. . . . . . . . . . . III-66
(16) Referral Inspection. . . . . . . . . . . . III-66
(17) OSHA-funded State Consultation Services. . III-66
(18) Other Agency Services and Program. . . . . III-66
E. Abatement. . . . . . . . . . . . . . . . . . . . . . . . . III-67
1. Period . . . . . . . . . . . . . . . . . . . . . . . III-67
2. Reasonable Abatement Date. . . . . . . . . . . . . . III-67
3. Abatement Periods Exceeding 30 Calendar Days . . . . III-68
4. Verification of Abatement. . . . . . . . . . . . . . III-68
5. Effect of Contest Upon Abatement Period. . . . . . . III-69
6. Feasible Administrative, Work Practice and Engineering
Controls in Health Inspections . . . . . . . . . . . III-69
7. Long-term Abatement Date for Implementation of
Feasible Engineering Controls. . . . . . . . . . . . III-72
8. Multistep Abatement. . . . . . . . . . . . . . . . . III-73
9. Petitions for Modification of Abatement. . . . . . . III-76
F. Employer Abatement Assistance. . . . . . . . . . . . . . . III-81
1. Policy . . . . . . . . . . . . . . . . . . . . . . . III-81
2. Type of Assistance . . . . . . . . . . . . . . . . . III-81
3. Disclaimers. . . . . . . . . . . . . . . . . . . . . III-81
4. Procedures . . . . . . . . . . . . . . . . . . . . . III-81
5. Services Available to Employers. . . . . . . . . . . III-82
G. Informal Conferences . . . . . . . . . . . . . . . . . . . III-82
1. General. . . . . . . . . . . . . . . . . . . . . . . III-82
2. Procedures . . . . . . . . . . . . . . . . . . . . . III-82
a. Notification of Participants. . . . . . . . . . III-82
b. Telephone Conference. . . . . . . . . . . . . . III-82
c. Participants by OSHA Officials. . . . . . . . . III-83
d. Conduct of the Informal Conference. . . . . . . III-84
e. Decisions . . . . . . . . . . . . . . . . . . . III-85
f. Failure to Abate. . . . . . . . . . . . . . . . III-85
H. Followup Inspections . . . . . . . . . . . . . . . . . . . III-86
1. Inspection Procedures. . . . . . . . . . . . . . . . III-86
2. Failure to Abate . . . . . . . . . . . . . . . . . . III-86
3. Reports. . . . . . . . . . . . . . . . . . . . . . . III-87
4. Followup Files . . . . . . . . . . . . . . . . . . . III-88
I. Conduct of Monitoring Inspection (PMAs and Long-Term
Abatement) . . . . . . . . . . . . . . . . . . . . . . . . III-88
1. General. . . . . . . . . . . . . . . . . . . . . . . III-88
2. Procedures . . . . . . . . . . . . . . . . . . . . . III-88
APPENDIX A
Narrative, OSHA-1A Form. . . . . . . . . . . . . . . . . . . . III-A-1
Industrial Hygiene Inspection Outline. . . . . . . . . . . . . III-A-6
Notice of Alleged Imminent Danger, OSHA-8 Form . . . . . . . . III-A-13
Photo Mounting Worksheet, OSHA-89 Form . . . . . . . . . . . . III-A-17
Note Taking Sheet, OSHA-94 Form. . . . . . . . . . . . . . . . III-A-21
Inspection Case File Activity Diary. . . . . . . . . . . . . . III-A-25
IV. VIOLATIONS
A. Basis of Violations. . . . . . . . . . . . . . . . . . . . IV-1
1. Standards and Regulations. . . . . . . . . . . . . . IV-1
a. Definition and Application of Horizontal and Vertical
Standards . . . . . . . . . . . . . . . . . . . IV-1
b. Violation of Variances. . . . . . . . . . . . . IV-3
2. General Duty Requirement . . . . . . . . . . . . . . IV-4
a. Evaluation of Potential 5(a)(1) Situations. . . IV-4
b. Discussion of 5(a)(1) Elements. . . . . . . . . IV-4
(1) A Hazard To Which Employees Were Exposed . IV-4
(2) The Hazard Must be Recognized. . . . . . . IV-7
(3) The Hazard Was Causing or Was Likely to Cause
Death or Serious Physical Harm . . . . . . IV-9
(4) The Hazard May Be Corrected by a Feasible and
Useful Method. . . . . . . . . . . . . . . IV-10
c. Use of the General Duty Clause. . . . . . . . . IV-11
d. Limitations on Use of the General Duty Clause . IV-12
e. Classification of Violations Cited Under the General
Duty Clause . . . . . . . . . . . . . . . . . . IV-14
f. Procedures for Implementation of Section 5(a)(1)
Enforcement . . . . . . . . . . . . . . . . . . IV-15
g. Reporting Hazards Not Covered by a Standard . . IV-16
3. Employee Exposure. . . . . . . . . . . . . . . . . . IV-16
a. Definition of Employee. . . . . . . . . . . . . IV-16
b. Observed Exposure . . . . . . . . . . . . . . . IV-16
c. Unobserved Exposure . . . . . . . . . . . . . . IV-16
d. Documenting Employee Exposure . . . . . . . . . IV-17
4. Regulatory Requirements. . . . . . . . . . . . . . . IV-18
5. Hazard Communication . . . . . . . . . . . . . . . . IV-18
B. Types of Violations. . . . . . . . . . . . . . . . . . . . IV-18
1. Serious Violations . . . . . . . . . . . . . . . . . IV-18
2. Other-than-serious Violations. . . . . . . . . . . . IV-24
3. Willful Violations . . . . . . . . . . . . . . . . . IV-24
4. Criminal/Willful Violations. . . . . . . . . . . . . IV-25
5. Repeated Violations. . . . . . . . . . . . . . . . . IV-28
6. De Minimis Violations. . . . . . . . . . . . . . . . IV-31
C. Health Standard Violations . . . . . . . . . . . . . . . . IV-32
1. General. . . . . . . . . . . . . . . . . . . . . . . IV-32
2. Citation of Ventilation Standards. . . . . . . . . . IV-32
3. Violations of the Noise Standard . . . . . . . . . . IV-34
4. Violations of the Respirator Standard. . . . . . . . IV-36
5. Violations of Air Contaminant Standards
(29 CFR 1910.1000 Series). . . . . . . . . . . . . . IV-37
6. Classification of Violations of Air Contaminant
Standards. . . . . . . . . . . . . . . . . . . . . . IV-38
a. Principles of Classification. . . . . . . . . . IV-38
b. Effect of Respirator Protection Factors . . . . IV-39
c. Additive and Synergistic Effects. . . . . . . . IV-39
7. Guidelines for Issuing Citations of Air Contaminant
Violations. (Reserved) . . . . . . . . . . . . . . . IV-39
8. Violations of the Hazard Communication Standard
(Reserved). . . . . . . . . . . . . . . . . . . . . .IV-39
9. Citing Improper Personal Hygiene Practices . . . . . IV-39
10. Classification of Violations for the New Health
Standards . . . . . . . . . . . . . . . . . . . . . IV-41
V. CITATIONS
A. Pre-Citation Consultation. . . . . . . . . . . . . . . . . V-1
1. General. . . . . . . . . . . . . . . . . . . . . . . V-1
2. Procedures . . . . . . . . . . . . . . . . . . . . . V-1
B. Writing Citations . . . . . . . . . . . . . . . . . . . . V-2
1. General. . . . . . . . . . . . . . . . . . . . . . . V-2
2. Specific Instructions . . . . . . . . . . . . . . . V-2
a. Standards and Regulations . . . . . . . . . . . V-2
b. SAVEs Manual. . . . . . . . . . . . . . . . . . V-3
c. Alternative Standards . . . . . . . . . . . . . V-3
d. Ordering of Violations on the Citation. . . . . V-3
C. Grouping and Combining of Violations . . . . . . . . . . . V-3
1. Definitions. . . . . . . . . . . . . . . . . . . . . V-3
2. Combining. . . . . . . . . . . . . . . . . . . . . . V-4
3. Grouping . . . . . . . . . . . . . . . . . . . . . . V-5
a. When to Group . . . . . . . . . . . . . . . . . V-5
b. When Not to Group . . . . . . . . . . . . . . . V-5
D. Employer/Employee Responsibilities . . . . . . . . . . . . V-6
1. Section 5(b) of the Act. . . . . . . . . . . . . . . V-6
2. Employee Refusal to Comply . . . . . . . . . . . . . V-7
E. Affirmative Defenses . . . . . . . . . . . . . . . . . . . V-7
1. Definition . . . . . . . . . . . . . . . . . . . . . V-7
2. Burden of Proof. . . . . . . . . . . . . . . . . . . V-7
3. Explanations . . . . . . . . . . . . . . . . . . . . V-7
F. Issuing Citations - Special Circumstances . . . . . . . . V-9
1. Follow-up Inspections. . . . . . . . . . . . . . . . V-9
2. Multi-Employer Worksites . . . . . . . . . . . . . . V-9
3. Violation by Violation . . . . . . . . . . . . . . . V-10
G. Amending or Withdrawing Citation and Notification
of Penalty in Part or In Its Entirety. . . . . . . . . . . V-10
1. Citation Revision Justified. . . . . . . . . . . . . V-10
2. Citation Revision Not Justified. . . . . . . . . . . V-11
3. Procedures for Amending or Withdrawing Citations . . V-11
H. Settlement of Cases By Area Directors. . . . . . . . . . . V-12
1. General (Section 17 Designation) . . . . . . . . . . V-12
2. Pre-Contest Settlement (Informal Settlement
Agreement) . . . . . . . . . . . . . . . . . . . . . V-14
3. Post-Contest Settlement (Formal Settlement
Agreement) . . . . . . . . . . . . . . . . . . . . . V-16
4. Procedures for Preparing the Informal Settlement
Agreement . . . . . . . . . . . . . . . . . . . . . V-17
5. Corporate-wide Settlement Agreements . . . . . . . . V-18
APPENDIX (SAVEs and AVDs)
A. General. . . . . . . . . . . . . . . . . . . . . . . . . . V-17
B. SAVEs Manual . . . . . . . . . . . . . . . . . . . . . . . V-17
1. Purpose. . . . . . . . . . . . . . . . . . . . . . . V-17
2. Scope. . . . . . . . . . . . . . . . . . . . . . . . V-17
3. General Instructions . . . . . . . . . . . . . . . . V-18
4. SAVEs Options. . . . . . . . . . . . . . . . . . . . V-18
5. Violations Without SAVEs . . . . . . . . . . . . . . V-18
C. Examples . . . . . . . . . . . . . . . . . . . . . . . . . V-19
D. Citing Health Violations . . . . . . . . . . . . . . . . . V-25
E. Examples of Health SAVEs . . . . . . . . . . . . . . . . . V-25
VI. PENALTIES
A. General Policy . . . . . . . . . . . . . . . . . . . . . . VI-1
B. Civil Penalties. . . . . . . . . . . . . . . . . . . . . . VI-1
1. Type of Violation as a Factor. . . . . . . . . . . VI-1
2. Statutory Authority. . . . . . . . . . . . . . . . . VI-1
3. Minimum Penalty. . . . . . . . . . . . . . . . . . . VI-2
4. Penalty Factors . . . . . . . . . . . . . . . . . . VI-2
5. Gravity of Violation . . . . . . . . . . . . . . . . VI-2
6. Severity Assessment . . . . . . . . . . . . . . . . VI-3
7. Probability Assessment . . . . . . . . . . . . . . . VI-3
8. Gravity-based Penalty. . . . . . . . . . . . . . . . VI-6
9. Gravity Calculations for Combined or Grouped
Violations . . . . . . . . . . . . . . . . . . . . . VI-7
10. Penalty Adjustment Factors . . . . . . . . . . . . . VI-8
11. Imminent Danger Situations . . . . . . . . . . . . . VI-11
12. Effect on Penalties if Employer Immediately Corrects or
Initiates Corrective Action . . . . . . . . . . . . VI-11
13. Failure to Abate . . . . . . . . . . . . . . . . . . VI-11
14. Repeated Violations. . . . . . . . . . . . . . . . . VI-14
15. Willful Violations . . . . . . . . . . . . . . . . . VI-15
16. Violation of 29 CFR 1903 and 1904 Regulatory
Requirements . . . . . . . . . . . . . . . . . . . . VI-15
Table VI-1 (PENALTY TABLES). . . . . . . . . . . . . VI-19
C. Criminal Penalties . . . . . . . . . . . . . . . . . . . . VI-20
D. Handling Monies Received from Employers . . . . . . . . . VI-20
1. Responsibility of Area Director. . . . . . . . . . . VI-20
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. Compromise of Debts Over $100,000. . . . . . . . . . VI-30
VII. IMMINENT DANGER
A. General. . . . . . . . . . . . . . . . . . . . . . . . . . VII-1
1. Definition . . . . . . . . . . . . . . . . . . . . . VII-1
2. Requirements . . . . . . . . . . . . . . . . . . . . VII-1
B. Preinspection Procedures for Handling Imminent Danger
Situations . . . . . . . . . . . . . . . . . . . . . . . . VII-1
1. When an Imminent Danger Report Is Received by the
Field. . . . . . . . . . . . . . . . . . . . . . . . VII-1
2. Technical Considerations . . . . . . . . . . . . . . VII-2
3. Scheduling . . . . . . . . . . . . . . . . . . . . . VII-3
C. Inspection . . . . . . . . . . . . . . . . . . . . . . . . VII-3
1. Scope. . . . . . . . . . . . . . . . . . . . . . . . VII-3
2. Procedures . . . . . . . . . . . . . . . . . . . . . VII-3
a. Advance Notice. . . . . . . . . . . . . . . . . VII-3
b. Refusal to Permit Inspection. . . . . . . . . . VII-4
c. Preemption Question . . . . . . . . . . . . . . VII-4
3. Elimination of the Imminent Danger . . . . . . . . . VII-4
a. Voluntary Elimination of the Imminent Danger. . VII-4
(1) What Constitutes Voluntary Elimination . . VII-4
(2) Action Where Voluntary Elimination Is
Accomplished . . . . . . . . . . . . . . . VII-5
b. Action Where Voluntary Elimination Is Not
Accomplished. . . . . . . . . . . . . . . . . . VII-6
4. Issuing Notice of Alleged Imminent Danger. . . . . . VII-6
5. Reporting the Issuance of Imminent Danger Notices
(OSHA-8 Form). . . . . . . . . . . . . . . . . . . . VII-7
D. Citations and Proposed Penalties . . . . . . . . . . . . . VII-7
1. Citations and Penalties. . . . . . . . . . . . . . . VII-7
2. Effect of Court Action . . . . . . . . . . . . . . . VII-7
E. Followup Inspection. . . . . . . . . . . . . . . . . . . . VII-8
1. Court Action . . . . . . . . . . . . . . . . . . . . VII-8
2. No Court Action. . . . . . . . . . . . . . . . . . . VII-8
3. Immediate Correction . . . . . . . . . . . . . . . . VII-8
F. Removal of Imminent Danger Notice. . . . . . . . . . . . . VII-8
VIII. FATALITY/CATASTROPHE INVESTIGATIONS
A. General. . . . . . . . . . . . . . . . . . . . . . . . . . VIII-1
1. Policy . . . . . . . . . . . . . . . . . . . . . . . VIII-1
2. Definitions . . . . . . . . . . . . . . . . . . . . VIII-1
3. Fatality/Catastrophe Investigations . . . . . . . . VIII-1
B. Action . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-2
1. Preinvestigation Activities. . . . . . . . . . . . . VIII-2
a. Area Director . . . . . . . . . . . . . . . . . VIII-2
b. Preliminary Investigation . . . . . . . . . . . VIII-2
c. Investigation Team. . . . . . . . . . . . . . . VIII-2
d. Selection of CSHO . . . . . . . . . . . . . . . VIII-2
e. Equipment . . . . . . . . . . . . . . . . . . . VIII-3
f. Other Agency. . . . . . . . . . . . . . . . . . VIII-3
2. Investigation Procedures . . . . . . . . . . . . . . VIII-3
a. Scope . . . . . . . . . . . . . . . . . . . . . VIII-3
b. Inspection Strategy When a Comprehensive Inspection Is
To Be Performed . . . . . . . . . . . . . . . . VIII-3
c. Abbreviated Opening Conference. . . . . . . . . VIII-3
d. Families of Victims . . . . . . . . . . . . . . VIII-4
e. Criminal. . . . . . . . . . . . . . . . . . . . VIII-6
C. Reports Removed. Refer to OSHA Instruction
CPL 2.97. . . . . . . . . . . . . . . . . . . . VIII-6
D. Special Situations . . . . . . . . . . . . . . . . . . . . VIII-6
1. Preemption . . . . . . . . . . . . . . . . . . . . . VIII-6
a. General . . . . . . . . . . . . . . . . . . . . VIII-6
b. Agency Cooperation. . . . . . . . . . . . . . . VIII-7
2. Use of Expert Assistance . . . . . . . . . . . . . . VIII-7
a. National Office Contact . . . . . . . . . . . . VIII-7
b. Choice of Experts . . . . . . . . . . . . . . . VIII-7
c. Other Federal Agency. . . . . . . . . . . . . . VIII-8
d. Consultants . . . . . . . . . . . . . . . . . . VIII-8
e. Legal Advice. . . . . . . . . . . . . . . . . . VIII-8
3. Rescue Operations. . . . . . . . . . . . . . . . . . VIII-8
a. Consultation. . . . . . . . . . . . . . . . . . VIII-8
b. Rescue Operations . . . . . . . . . . . . . . . VIII-8
c. Application of Standards. . . . . . . . . . . . VIII-8
d. Emergency Situations. . . . . . . . . . . . . . VIII-9
4. Public Information Policy. . . . . . . . . . . . . . VIII-9
a. Area Director . . . . . . . . . . . . . . . . . VIII-9
b. Information Officer . . . . . . . . . . . . . . VIII-9
c. Other Officials . . . . . . . . . . . . . . . . VIII-9
IX. COMPLAINTS AND REFERRALS
A. Complaints . . . . . . . . . . . . . . . . . . . . . . . . IX-1
1. General. . . . . . . . . . . . . . . . . . . . . . . IX-1
a. Agency Response . . . . . . . . . . . . . . . . IX-1
b. Complainant Identity. . . . . . . . . . . . . . IX-1
2. Definitions. . . . . . . . . . . . . . . . . . . . . IX-1
a. Complaint . . . . . . . . . . . . . . . . . . . IX-1
b. Employee. . . . . . . . . . . . . . . . . . . . IX-2
c. Representative of Employees . . . . . . . . . . IX-2
d. Formal Complaint. . . . . . . . . . . . . . . . IX-2
e. Nonformal Complaint . . . . . . . . . . . . . . IX-3
3. Receiving Complaints . . . . . . . . . . . . . . . . IX-4
4. Evaluating Complaints. . . . . . . . . . . . . . . . IX-5
5. Information Needed for Complaint Evaluation . . . . IX-6
a. Taking Complaints . . . . . . . . . . . . . . . IX-6
b. Additional Information. . . . . . . . . . . . . IX-6
6. Responding to Complaints Alleging Imminent Danger
Conditions . . . . . . . . . . . . . . . . . . . . . IX-8
7. Responding to Formal Complaints. . . . . . . . . . . IX-8
a. Determination . . . . . . . . . . . . . . . . . IX-8
b. Priorities for Responding by Inspections to Formal
Complaints. . . . . . . . . . . . . . . . . . . IX-8
8. Responding to Nonformal Complaints . . . . . . . . . IX-9
a. Responding by Letter to Nonformal Complaints. . IX-9
b. Responding by Inspection to Nonformal
Complaints. . . . . . . . . . . . . . . . . . . IX-9
9. Scope of Inspection. . . . . . . . . . . . . . . . . IX-10
10. Procedures . . . . . . . . . . . . . . . . . . . . . IX-10
a. Copy of the Complaint . . . . . . . . . . . . . IX-10
b. Identity of Complainant . . . . . . . . . . . . IX-11
c. Walkaround Rights . . . . . . . . . . . . . . . IX-11
d. Results of Inspection to Complainant. . . . . . IX-11
e. Notification of Delays. . . . . . . . . . . . . IX-11
f. Citation Not Warranted. . . . . . . . . . . . . IX-11
g. Communication to Complainant. . . . . . . . . . IX-12
B. Referrals. . . . . . . . . . . . . . . . . . . . . . . . . IX-12
1. General. . . . . . . . . . . . . . . . . . . . . . . IX-12
2. Definitions. . . . . . . . . . . . . . . . . . . . . IX-12
3. Procedures . . . . . . . . . . . . . . . . . . . . . IX-15
X. DISCRIMINATION COMPLAINTS
Removed. Refer to OSHA Instruction DIS .4B
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
A. General CSHO Responsibilities. . . . . . . . . . . . . . . XII-1
B. Standards. . . . . . . . . . . . . . . . . . . . . . . . . XII-1
1. Applicability . . . . . . . . . . . . . . . . . . . XII-1
2. Enforcement . . . . . . . . . . . . . . . . . . . . XII-2
C. Employer Worksite. . . . . . . . . . . . . . . . . . . . . XII-2
1. General. . . . . . . . . . . . . . . . . . . . . . . XII-2
2. Beyond Single Area Office. . . . . . . . . . . . . . XII-2
3. Administrative Convenience . . . . . . . . . . . . . XII-2
D. Advance Notice . . . . . . . . . . . . . . . . . . . . . . XII-2
1. General. . . . . . . . . . . . . . . . . . . . . . . XII-2
2. Authorized . . . . . . . . . . . . . . . . . . . . . XII-2
E. Entry of the Workplace . . . . . . . . . . . . . . . . . . XII-3
1. Severe Weather Conditions. . . . . . . . . . . . . . XII-3
2. Right to Enter--Refusal to Permit Inspection . . . . XII-3
3. Opening Conference . . . . . . . . . . . . . . . . . XII-3
a. Subcontractors. . . . . . . . . . . . . . . . . XII-3
b. Employee Representatives. . . . . . . . . . . . XII-3
c. Other Agency. . . . . . . . . . . . . . . . . . XII-4
d. Closing Conference. . . . . . . . . . . . . . . XII-4
e. Responsibilities for Common Services. . . . . . XII-4
f. Complaints. . . . . . . . . . . . . . . . . . . XII-4
4. Selecting Employer and Employee Representatives . . XII-4
a. Authorized Representative . . . . . . . . . . . XII-4
b. Employee Interviews . . . . . . . . . . . . . . XII-5
c. Walkaround Provisions . . . . . . . . . . . . . XII-5
d. Too Many Representatives. . . . . . . . . . . . XII-5
F. Closing Conference . . . . . . . . . . . . . . . . . . . . XII-6
1. General. . . . . . . . . . . . . . . . . . . . . . . XII-6
2. Contractor Names and Addresses . . . . . . . . . . . XII-6
G. Citations and Penalties. . . . . . . . . . . . . . . . . . XII-6
1. Mailing. . . . . . . . . . . . . . . . . . . . . . . XII-6
2. Where to Post Citations . . . . . . . . . . . . . . XII-6
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
b. Receipt of Fatality/Catastrophe Reports . . . . XIII-6
c. Agency Investigation. . . . . . . . . . . . . . XIII-7
d. OSHA Investigation Decision . . . . . . . . . . XIII-7
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
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
A. General. . . . . . . . . . . . . . . . . . . . . . . . . . XV-1
B. Transmittal of Notice of Contest and Other Documents
to Commission. . . . . . . . . . . . . . . . . . . . . . . XV-1
1. Notice of Contest . . . . . . . . . . . . . . . . . XV-1
2. Documents to Executive Secretary . . . . . . . . . . XV-2
a. All Notices of Contest . . . . . . . . . . . . XV-2
b. All Contested Citations and Notices of Proposed Penalty
or Notice of Failure to Abate Issued in the
Case. . . . . . . . . . . . . . . . . . . . . . XV-2
c. Certification Form. . . . . . . . . . . . . . . XV-2
d. Pamphlet or OSHA Forms. . . . . . . . . . . . . XV-3
3. Petitions for Modification of Abatement Dates (PMAs) XV-4
C. Transmittal of File to Regional Solicitor . . . . . . . . XV-4
1. Notification of The Regional Solicitor . . . . . . . XV-4
2. Information Required in Case File. . . . . . . . . . XV-4
3. Parties Served Notice of Contest . . . . . . . . . . XV-5
4. Other Legal Documents. . . . . . . . . . . . . . . . XV-6
5. Subpoena . . . . . . . . . . . . . . . . . . . . . . XV-6
D. Communications with Commission Employees . . . . . . . . . XV-6
E. Dealings With Parties While Proceedings Are Pending
Before the Commission. . . . . . . . . . . . . . . . . . . XV-6
1. Clearance with Regional Solicitor. . . . . . . . . . XV-6
2. Inquiries. . . . . . . . . . . . . . . . . . . . . . XV-6
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
F. 4. b. The specific offerings of each of the resources identified
shall be determined so that proper use may be made of them.
c. Lists of these resources with names of contact persons,
addresses and telephone numbers shall be developed and kept
on file. They shall be updated at least once a year.
d. Caution shall be exercised in making referrals to particular
consultants or other private safety and health services or
equipment distributors. OSHA does not wish to promote or to
give the appearance of promoting specific enterprises. There
are organizations to which interested parties can be
referred for lists of such businesses.
e. In State plan Area Offices, referral services would, of
course, include referral to available State plan program
services, such as enforcement and other compliance services,
and training and education.
5. Other Services.
a. Voluntary Compliance Programs. OSHA offers a large
variety of voluntary compliance programs which employers shall
be encouraged to investigate and in which to participate, when
appropriate.
(1) Voluntary Protection Programs. The Area Director and
staff shall be familiar with the various VPP
possibilities and should encourage and assist employers
who may be apt participants in such programs.
(2) Labor/Management Programs. The Area Director and
staff shall also be familiar with programs being
conducted. While potential participants in such programs
may be limited, appropriate employers shall be
encouraged and assisted to develop a program for
consideration.
b. Abatement Assistance. It is OSHA policy to offer
assistance in every feasible manner toward the removal of
safety or health hazards from the workplace. Such assistance
shall be offered to any interested party as deemed appropriate
and feasible by the Area Director in consultation with the
Regional Administrator. Abatement assistance may be offered
in connection with an enforcement inspection or independently
of such an inspection.
(1) When connected with citations issued as a result of an
inspection, abatement assistance shall be governed by
the guidelines in the FOM, Chapter III, F.
(2) When no inspection is involved, OSHA shall offer any
appropriate off-site assistance in removing hazards from
the workplace.
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(a) Employers and employee representatives shall be
encouraged to seek such assistance whenever it could
be helpful.
(b) The offering of such assistance shall be a part of
the outreach program plan developed by each Area
Director. The means of making known OSHA's policy
of offering hazard removal assistance shall be
determined as a part of that program plan.
NOTE: Full Service Area Office assistance is
appropriate when notice of an unsafe or
unhealthful working condition comes to the
Area Director's attention in an establishment
otherwise exempt from enforcement activity by
virtue of an industry exemption under the
Appropriations Act. (See OSHA Instruction CPL
2.51H, or the most current version.) For
example, if a nonformal complaint or a referral
is received for such an establishment, it would
be appropriate to write a letter to the
employer noting the allegation, outlining the
requirements of OSHA standards, suggesting
voluntary abatement action and either offering
offsite abatement assistance or informing the
employer of consultation services available.
(3) Onsite consultation services shall be made available to
Federal agencies which request such assistance. (See
Chapter XIII.)
c. Other Technical Services. It is OSHA policy to offer
technical assistance whenever appropriate.
(1) Such services shall be available to any interested party
within the Area Office community. They shall not be
limited only to employers covered by the OSH Act.
(2) The Area Office may loan out selected technical equipment
on a limited basis to other Federal agencies, State
program administrators, and OSHA contractors, such as
7(c)(1) consultation managers, provided that the
borrowers are trained in the use of the equipment,
for the purpose of conducting initial monitoring to
identify potential health hazards, emergency monitoring,
single case monitoring when processes have been changed,
or for other legitimate purposes. Loans of equipment for
routine monitoring are not feasible.
(3) Guidelines shall be developed in each Region governing
the lending policies and procedures to be followed in the
Area Office. Such policies and procedures shall include
the following national guidelines:
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
CHAPTER II
COMPLIANCE PROGRAMMING
A. Program Planning.
1. Purpose. Compliance Programming provides general guidelines
to the Regional Administrator and Area Director in planning
compliance operations and related activities and instructions
for their implementation.
2. Primary Consideration. The primary consideration in
conducting compliance operations is the attainment of maximum
effective inspection coverage. To achieve this goal, the
guidelines in this chapter shall be used for scheduling
inspections.
B. Inspection/Investigation Types.
1. Unprogrammed. Inspections scheduled in response to alleged
hazardous working conditions that have been identified at a
specific worksite are unprogrammed. This type of inspection
responds to imminent dangers, fatalities/catastrophes, complaints
and referrals. It also includes followup and monitoring
inspections scheduled by the Area Office.
NOTE: This category includes all employers
directly affected by the subject of the
unprogrammed activity.
2. Unprogrammed Related. Inspections of employers at
multi-employer worksites whose operations are not
directly affected by the subject of the conditions
identified in the complaint, accident, or referral are
unprogrammed related. An example would be a trenching
inspection conducted at the unprogrammed worksite,
where the trenching hazard was not identified in the
complaint, accident report, or referral.
3. Programmed. Inspections of worksites which have
been scheduled based upon objective or neutral
selection criteria are programmed. The worksites are
selected according to national scheduling plans for
safety and for health or special emphasis programs.
4. Programmed Related. Inspections of employers at
multi-employer worksites whose activities were not
included in the programmed assignment such as a low
hazard employer at a worksite where programmed
inspections are being conducted for all high hazard
employers. All high hazard employers at the
worksite shall normally be included in the programmed
inspections. (See Chapter III, D.3.h.(1).)
II-1
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
C. Inspection Scope. Inspections, either programmed or
unprogrammed, may fall into one of two categories depending
on the scope of the inspection:
1. Comprehensive. A substantially complete inspection
of the potentially high hazard areas of the
establishment. An inspection may be deemed
comprehensive even though, as a result of the exercise
of professional judgment, not all potentially hazardous
conditions, operations and practices within those areas
are inspected.
2. Partial. An inspection whose focus is limited to
certain potentially hazardous areas, operations,
conditions or practices at the establishment.
a. A partial inspection, whether programmed or
unprogrammed, may include, in addition to its
principal focus, a review of injury and illness
records, an assessment of the employer's hazard
communication and lockout/tagout programs, an
evaluation of the employer's safety and health
management program, and a brief walkaround to
survey, as deemed appropriate, those areas,
conditions, operations, and practices that, based
on the exercise of discretion and professional
judgment, are believed to have the greatest hazard
potential, but see Chapter III, D.1.d.(5)(b)
regarding inspection warrants.
b. The information gathered during this review and
walkaround shall be used to confirm or revise the
determination made in accordance with the FOM,
Chapter III, D.7.c., as to whether the
inspection's scope should be expanded.
D. Inspection Selection Criteria
1. General Requirements. OSHA's priority system for
conducting inspections is designed to distribute
available OSHA resources as effectively as possible to
ensure that maximum feasible protection is provided to
the working men and women of this country.
a. Scheduling. The Area Director shall ensure
that inspections are scheduled within the
framework of the priorities outlined in this
chapter, that they are consistent with the
objectives of the Agency, and that appropriate
documentation of scheduling practices is
maintained. (See OSHA Instruction CPL 2.51H (or
most current version) for current congressional
exemptions and limitations on OSHA inspection
activity.)
b. Effect of Contest. If an employer scheduled
for inspection, either programmed or unprogrammed,
has contested a citation and/or a penalty received
as a result of a previous inspection and the case
is still pending before the Review Commission, the
following guidelines apply:
II-2
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(1) If the employer has contested the penalty
only, the inspection shall be scheduled in
accordance with the guidelines given under F,
that is, it shall be scheduled as though
there were no contest.
(2) If the employer has contested the citation
itself or any items thereon, then:
(a) Unprogrammed inspections shall be
scheduled in accordance with the
guidelines in E.1. The scope of such an
inspection normally shall be partial.
All items under contest shall be
excluded from the inspection unless a
potential imminent danger is involved.
(b) Programmed inspections may be carried
over to the next cycle in accordance
with the guidelines given under
F.2.b.(1)(e) 1, F.2.b.(2)(e) 3,
and F.2.b.(3)(c) 5 b. Such
inspections may continue to be carried
over until the case is no longer before
the Commission. If the inspection is
done, all items under contest shall be
excluded from the inspection unless a
potential imminent danger is involved.
(c) On rare occasions, when warranted
by the particular circumstances
involved, programmed safety
inspections may be carried over to
the next cycle when the employer
has contested a previously issued
health citation. The same is true
for programmed health inspections
when the employer has contested a
previously issued safety citation.
The decision to carry such an
inspection over shall be made only
after consultation with the
Regional Administrator.
2. Employer Contacts. Contacts for information
initiated by employers or their representatives shall
not trigger an inspection, nor shall such employer
inquiries protect them against regular inspections
conducted pursuant to guidelines established by the
agency. Further, if an employer or his representative
indicates that an imminent danger exists or that a
fatality or catastrophe has occurred, the Area Director
shall act in accordance with established inspection
priority procedures.
E. Inspection Priorities.
1. Order of Priority. Unless otherwise noted in
particular cases, priority of accomplishment and
assignment of manpower resources for inspection
categories shall be as follows:
Priority Category
First Imminent Danger
Second Fatality/Catastrophe
Investigations
II-3
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Third Investigation of
Complaints/Referrals
Fourth Programmed
Inspections
2. Efficient Use of Resources. Unprogrammed
inspections normally shall be scheduled and conducted
prior to programmed inspections. For efficient use of
resources, or when agency objectives so dictate,
programmed inspections may occasionally receive a
higher priority than unprogrammed inspections. For
example, a programmed inspection may be conducted
during the response period for a formal
other-than-serious complaint.
F. Inspection Scheduling.
1. Unprogrammed Inspections. Those inspections
conducted in response to specific evidence of hazardous
conditions at a worksite are considered unprogrammed
inspections.
a. Priorities. Unprogrammed inspections
(excluding followups and monitoring) shall
normally be scheduled with the following
priorities:
(1) Reports of alleged imminent danger situations
from any source, including referrals and
complaints regardless of formality (Chapter
VII);
(2) Fatalities/catastrophes (Chapter VIII);
(3) Formal complaints, CSHO referrals,
reinspection referrals, and referrals from
other agencies, classified as serious
(Chapter IX);
(4) Media and employer reports of accidents
involving serious injuries or hazards of a
serious nature (Chapter IX, B.2.b.(6) and
(7));
(5) 11(c) nonformal complaint referrals (Chapter
IX, B.2.b.(4));
(6) Formal other-than-serious complaints (Chapter
IX);
(7) Nonformal complaints requiring an inspection
(Chapter IX, A.8.b.).
b. Scope. Unprogrammed inspections of an
establishment are normally partial inspections
limited to the specific working conditions or
practices forming the basis of the unprogrammed
inspection. Depending upon available resources,
the scope may be expanded under any of the
following circumstances which shall be documented
in the case file:
II-4
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(1) The establishment is listed on the current
Area Office safety or health inspection
register and the deletion criteria given in
Chapter II or OSHA Instruction ADM 1-1.30,
Chapter X, do not apply.
(2) A substantially complete inspection of a
construction or maritime establishment has
not been conducted within the preceding 3
months.
(3) OSHA inspection records for the establishment
or for the employer in the case of a mobile
worksite, indicate a history of significant
violations.
(4) The allegations providing the basis for the
unprogrammed inspection indicate the
existence of potential hazards which can be
identified by expanding the inspection.
(5) Any other legitimate reason as determined by
the Area Director.
NOTE: Any establishment or worksite covered
under the Inspection Exemption through
the Consultation Program, the Voluntary
Protection Program or another similar
qualifying program, normally shall not
receive a comprehensive inspection
unless the Regional Administrator for
good reason decides otherwise.
c. Followup Inspections. In cases where a
followup inspection is necessary, it shall be
conducted as promptly as resources permit.
(1) Followup Inspection Priority. Except in
unusual circumstances, followup inspections
shall be conducted no later than 30 working
days after the latest violation abatement
date and shall take priority over all
programmed inspections and any unprogrammed
inspection with hazards evaluated as other-
than-serious. The seriousness of the hazards
requiring abatement shall determine the
priority among followup inspections.
NOTE: If unusual circumstances require
modification of inspection
priorities, the case file shall be
documented regarding the unusual
circumstances.
(2) Required Followup Inspection. Followup
inspections normally are required in the
following situations:
(a) Willful, repeated and high gravity
serious violations;
(b) Failure to abate notifications;
(c) Citations related to an imminent danger
situation;
II-5
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(d) When the employer fails to respond to a
request for notification of abatement
action by letter or other means after
having been contacted several times; and
(e) Whenever the Area Director believes that
particular circumstances (e.g., the
number and/or the type of violations,
past history of the employer, complex
engineering controls, and etc.) indicate
the need for a followup.
NOTE: See Chapter III, D.9.b.(9).
(3) Exceptions to Required Followup
Inspections. It will not be necessary to
conduct a followup inspection if any of the
following applies:
(a) Unquestionable Proof of Abatement.
A followup inspection will not be
necessary where unquestionable proof of
abatement has been presented such as
when the CSHO observed and documented
the correction of the cited condition
during the inspection.
(b) Area Director Determination. The
Area Director may determine that a
followup inspection is not required.
Justification for not conducting
followup inspections may include
statements by the employee or employer
representative or other knowledgeable
professionals attesting to the
correction of the violation.
NOTE: Written signed statements are
preferred; however, verbal
communications are acceptable
if summarized by OSHA
personnel in a written
memorandum for the case file.
(c) Administrative Closing of Case File.
Where a required followup inspection has
not been conducted within 6 months of
the final correction date (and the case
has become a final order of the
Commission), the case file normally
shall be administratively closed after
consultation with the Regional
Administrator. All administratively
closed case files shall contain
verification of abatement as well as
documentation as to the reasons why the
required followup inspection was not
conducted.
(4) Multiple Abatement Dates. If a followup
inspection is to be conducted where an
employer has been cited for a number of
violations with varying abatement dates, the
followup inspection normally shall not be
scheduled until after most, if not all, of
the abatement dates set forth for the more
serious violations in the citation(s) have
passed. If satisfactory corrective action
has been taken by the employer, additional
followup activity normally
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
shall not be scheduled unless the Area
Director believes that complex engineering
controls or other special factors involved
in the case warrant such activity.
(5) Notice of Contest Not Filed. Followup
inspections may be conducted during the 15-
day notice of contest period provided the
date set for abatement has passed and the
employer has not actually filed such a
notice. Normally, however, only those
conditions considered high gravity serious
shall subject an employer to being scheduled
for followup during the contest period. If
such a followup inspection reveals a failure
to abate, a Notification of Failure to Abate
Alleged Violation (OSHA-2B) may be issued
immediately without regard to the contest
period of the initial citation. (See
Chapter V, F.1. and Chapter VI, B.13.a.)
(6) Notice of Contest Filed. When a citation
is currently under contest, a followup
inspection shall not be scheduled regarding
the contested items.
(a) If the employer contests the proposed penalty
but not the underlying citation, a followup
inspection normally shall not be conducted
unless the violations are considered high
gravity and the Area Director decides that a
followup is necessary.
(b) If a followup inspection is conducted at
establishments involved in proceedings before
the Review Commission, the CSHO shall
explain in the opening conference that the
inspection will not involve matters before the
Commission.
(7) Final Order. When the notice of contest
is withdrawn, the proceeding is settled, or
the Commission affirms alleged violations
that are contested, the abatement period
begins; and a followup inspection may be
scheduled as appropriate after the Area
Director has received clearance from the
Regional Solicitor.
d. Monitoring Inspections. Monitoring
inspections are conducted to ensure that hazards
are being corrected and employees are being
protected, whenever a long period of time is
needed for an establishment to come into
compliance. Such Inspections may be scheduled,
among other reasons, as a result of a petition for
modification of abatement date (PMA) (Chapter III,
E.9); a corporate-wide settlement agreement (CSA)
(OSHA Instruction CPL 2.90); or to ensure that
terms of a permanent variance are being carried
out.
(1) Monitoring visits shall be conducted for each
(PMA) date on serious, willful and repeated
violations which extends the final abatement
date by more than one year from the citation
issuance date.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(a) These inspections shall be conducted as
soon as possible after first contact
with the employer but no later than 15
working days following the receipt of
certification of posting unless an
extension is requested and granted by
the Review Commission. (See Chapter
III, E.9.f. and g.)
(b) Such inspections shall have priority
equal to that of serious formal
complaints. The seriousness of the
hazards requiring abatement shall
determine the priority among monitoring
inspections.
(2) Monitoring visits in response to PMAs for
other-than-serious violations or for serious,
willful, or repeated violations which would
result in a final abatement date of one year
or less from the citation issuance date shall
be scheduled at the discretion of the Area
Director, based on the gravity of the
violation and on resource availability.
(a) These inspections shall be conducted as
soon as possible after first contact
with the employer but not later than 15
working days following the receipt of
certification of posting unless an
extension is requested and granted by
the Review Commission. (See Chapter
III, E.9.f. and g.)
(b) Such inspections shall have priority
equal to that of serious formal
complaints. The seriousness of the
hazards requiring abatement shall
determine the priority among monitoring
inspections.
(3) Monitoring visits shall be scheduled to check
on progress made on long-term or multistep
abatement plans whenever abatement dates
extend beyond one year from the issuance date
of the citation.
(a) These inspections shall be conducted
every 6 months, counted from the
citation date until final abatement has
been achieved for all cited violations.
If the case has been contested, the
final order date shall be used as a
starting point, instead of the citation
date. A settlement agreement may
specify an alternative monitoring
schedule.
(b) If the employer is submitting
satisfactory quarterly progress reports
and the Area Director agrees, after
careful review, that these reports
reflect adequate progress on
implementation of control measures and
adequate interim protection for
employees, a monitoring inspection may
be conducted every 12 months.
(c) Such inspections shall have priority
equal to that of serious formal
complaints. The seriousness of the
hazards requiring abatement shall
determine the priority among monitoring
inspections.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(4) Monitoring visits shall be scheduled to
verify compliance with the terms of granted
variances.
(a) The Directorate of Technical Support
shall provide to each affected Area
Office an updated list of granted
variances at the beginning of each
fiscal year.
(b) The Area Director shall review each
variance annually to determine if an
inspection is warranted based on:
1 Significant differences from
standards;
2 No monitoring for current and
previous two fiscal years; or
3 Employer not in compliance
with terms on previous
inspections.
(c) Such inspections shall have priority
equal to that of a serious formal
complaint.
(d) A report on the results of these
monitoring visits shall be forwarded to
the Director of Technical Support
through the Directors of Field Programs
and Compliance Programs.
(5) Monitoring visits may also be made for other
reasons, as outlined in Chapter III, I.1.
e. Reinspection Referrals. Once a determination
is made that a reinspection referral is required,
based on the definition in Chapter IX, B.2.b.(2),
the inspection shall be conducted in accordance
with the priorities given at F.1.a.(3).
2. Programmed Inspections. A programmed inspection
generally is a comprehensive inspection of the worksite
but may be limited as necessary in view of resource
availability and other enforcement priorities. (Low
hazard areas, such as office space, may be excluded
from inspection without affecting the comprehensiveness
of the inspection.)
a. General. Certain considerations are
fundamental to the implementation of OSHA's
targeting system.
(1) Policy. It is OSHA policy that
inspections conducted as programmed
inspections be primarily in the "high hazard"
sectors of employment.
(a) In the area of safety, the Agency
considers a "high hazard industry" to be
one within a Standard Industrial
Classification (SIC) with a previous
history of serious OSHA safety
violations.
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December 13, 1993
Office of General Industry Compliance Assistance
(b) In the area of health, the agency
considers a "high hazard" industry to be
one with a previous history of serious
OSHA health citations.
(c) For the purpose of scheduling programmed
inspections, construction and maritime
are considered to be categories of high
hazard employment.
(d) Other specific industries, such as
logging, and oil and gas extraction, are
also high hazard industries and are
frequently scheduled for inspection as
special emphasis programs.
(2) Description. Both programmed safety
inspections and programmed health inspections
are scheduled using a multiple-step process.
(a) The initial selection of a particular
category of employment (e.g., Federal
Agency, high hazard general industry,
construction, maritime, or high hazard
health) is made in accordance with
current agency policy with actual
numbers of planned inspections taken
from the annual Field Operations Program
Plan projections made at the Area Office
level, reviewed at the Regional and
National Office levels and approved by
the Assistant Secretary. (See OSHA
Instruction PAE 1.1B.)
(b) Within a category, priority is
established by grouping, such as by
industry. Within the grouping
establishments are selected for
inspection and placed in an inspection
cycle.
1 For Federal Agencies, the
priority is based on the Lost
Time Claims Rate (LTCR) List
based on the Office of Worker
Compensation Programs LTCR and
a list of targeted agencies
will be supplied by the
National Office after
consultations with the
Regional Administrator and the
agency DASHO. (See Chapter
XIII.)
2 For General Industry safety,
the priority is based on the
number of serious safety
violations per safety
inspection by industry and the
List of establishments within
these industries will be
provided by the National
Office.
3 For General Industry health,
the priority is based on the
number of serious health
violations per health
inspection by industry and the
list of establishments within
these industries will be
provided by the National
Office.
4 For Construction, the universe
of active construction sites
is maintained by the
Construction Resource Analysis
(CRA) group at the University
of Tennessee. Each month CRA
randomly selects
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
active worksites for inspection.
Each area office receives the
list from CRA and the OSHA
Construction Inspection
Reports for each site from
F.W. Dodge.
5 For Low Hazard Manufacturing
and Nonmanufacturing safety,
the National Office supplies a
list of establishments
randomly selected from those
available in each category and
the Area Office selects the
number needed from this list.
(c) Where no establishment list is provided
by the National Office (e.g., maritime
and logging categories), the Area
Director shall compile a complete list
of active establishments (worksites)
considering all establishments
(worksites) within the coverage of the
office and using the best available
information (commerce directories,
commercial telephone listings, local
permits, local knowledge, etc.). From
this list worksites for inspection will
be selected randomly.
b. Guidelines and Procedures. Programmed
inspections shall be conducted jointly by both
safety and health personnel whenever resources are
available and it is likely, based on experience in
inspecting similar workplaces, that both safety
hazards and health hazards exist to a significant
degree. If an inspection is begun as safety only
or as health only but the CSHO determines during
the course of the inspection that it should be
expanded, the CSHO shall contact the Area Director
or supervisor, as appropriate. A decision will
then be made on the basis of the information
available whether the inspection should be
expanded and, if so, to what extent. A decision
may also be made, based on resource availability,
to handle the information as a CSHO referral for
inspection at a later time.
NOTE: Establishments which appear on both the
safety and health registers should be
scheduled for a joint safety/health
inspection whenever practicable. (See
F.2.b.(1)(e) 1 g.)
(1) Inspection Scheduling for General Industry
(Safety & Health). The following
procedures are to be adhered to in
programming General Industry safety and
health inspections.
NOTE: Federal Agency Program targeted
inspections and onsite evaluations
have a priority equal to that of
private sector general industry
programmed inspections. The
scheduling system for these
inspections is outlined in Chapter
XIII.
(a) Industry Rank Report. The National
Office shall provide each Area/District
Office with a Statewide Industry Rank
Report (SIC List), listing industries by
their 4-digit Standard Industrial
Classification (SIC)
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
codes where available. These lists are
sent electronically at the beginning of
each fiscal year. (See OSHA Instructions
CPL 2.25H and ADM 1-1.30.)
1 The Safety SIC Lists are
statewide listings of
industries with a previous
history of serious OSHA safety
violations. A list is
provided with the top 200
safety industries ranked by
the industry's number of
serious safety violations per
inspection. The number of
serious safety violations per
inspection is calculated by
dividing the number of serious
safety violations for the
previous three calendar years
in the industry by the number
of safety inspections
conducted in the industry.
2 The Health SIC Lists are a
statewide listing of
industries with a previous
history of serious OSHA health
violations. A list is
provided with the top 200
health industries ranked by
the industry's number of
serious health violations per
inspection. The number of
serious health violations per
inspection is calculated by
dividing the number of serious
health violations for the
previous five calendar years
in the industry by the number
of health inspections
conducted in the industry. A
list in SIC order is also
provided.
(b) Establishment Lists. The National
Office will also provide a series of
establishment lists (in rank order) for
use by the Area Office in programming
inspections. These lists are provided
electronically when needed.
NOTE: Establishments showing 10 or
fewer employees, unless they
are part of a larger employer,
will be deleted from
establishment lists provided
by the National Office.
1 High Hazard Establishment
List for Safety. A list of
establishments located within
the Area/District Office
jurisdiction for each SIC code
on the High Hazard SIC List
(the top 200 safety
industries) will be provided
by the National Office as
available to all Area/
District Offices. This list
is divided into groups and
made available electronically
to all Area/District Offices.
(See OSHA Instructions CPL
2.25H, Appendix B and
ADM 1-1.30, Chapter X.)
2 Low Hazard Establishment
List for Safety. A list of
randomly selected establishments
in industries not included in
the top 200 safety industries
located within the Area/District
Office jurisdiction will be
provided by the National
Office to all Area/District
Offices. A randomly selected
pool of these establishments
is included in
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
each group of establishments made
available electronically to all
Area/District Offices. (See OSHA
Instruction ADM 1-1.30, Chapter
X.)
3 Nonmanufacturing Establishment
List for Safety. A list of
establishment randomly
selected from industries with
SIC codes in the ranges 0100
through 0799 and 4000 through
8999 and located within the
Area/District Office
jurisdiction will be provided
by the National Office to all
Area/District Offices. A
randomly selected pool of
these establishments is
included in each group of
establishments made available
electronically to all
Area/District Offices. (See
OSHA Instruction ADM 1-1.30,
Chapter X.)
4 Health Establishment List. A
list of establishments located
within the Area/District Office
jurisdiction for each SIC code on
the Health SIC List will be
provided by the National Office as
available to all Area/District
Offices. This list is divided into
groups and made available
electronically to all Area/District
Offices. (OSHA Instruction CPL
2.25H, Appendix A, and ADM 1-1.30,
Chapter X.)
5 Adjustments. Prior to use
of establishment lists provided by
the National Office for scheduling
purposes, the Area Director
shall make appropriate additions
and deletions as follows:
NOTE #1: IMIS Codes for additions
and deletions are also
found in OSHA Instruction
ADM 1-1.30, Chapter X,
Table I, Update Codes.
Additions and deletions
may be applied to the
inspection register (as
defined in F.2.b.(1)(c)).
No additions should be
made to the Low Hazard
Manufacturing and the
Nonmanufacturing
programmed inspection
lists because the lists
are a random sample of
all establishments in
each of these categories.
The planning guide
software will select the
appropriate number of
establishments for low
hazard manufacturing and
nonmanufacturing for each
safety cycle.
NOTE #2: Beginning with the FY
1994 establishment lists,
all establishments with
valid deletion criteria
will be deleted by the
National Office. Caution
should be taken when
adding establishments to
the establishment list,
since establishments will
have been deleted in that
SIC or may be included in
a different SIC.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
a Additions. The following
updated code shall be used for
adding establishments to the
list:
Code Description
AA When information
received from local
sources reliably
indicates that an
establishment is
classified within a
SIC code on one of
the SIC Lists but
does not appear on
the corresponding
establishment list
provided. Additions
shall be placed on
the proper SIC List
in accordance with
the listing
criterion used;
e.g.,
alphabetically, by
size, etc.
b Deletions. The following
deletion codes shall be used
to update establishment lists.
Deletions for any other reason
shall be requested from
the Regional Administrator and
approved by the Director of
Compliance Programs.
EXCEPTION: Approval from the
National Office is not
required when the deletion
code is used to eliminate
duplicate listings or
establishments not within
OSHA's jurisdiction.
Activity Code Description
(# = last digit
of the fiscal
year)
A# Activity ceased or process not
active.
B# Business Closed -- Establishment
is no longer in business.
C# Consultation -- Establishment has
been approved for exemption from
inspection through consultation.
H# Health ispection -- A substantially
complete health inspection was
conducted within the current or
previous 3 fiscal years with no
serious violations cited; or, where
serious violations were cited, an
acceptable abatement letter or a
followup inspection has documented
"good faith" efforts to abate all
serious hazards.
I# Incorrect SIC code -- The correct
SIC code for the establishment
is not on the current Safety High
Hazard SIC List or the current
Health High Hazard SIC List or the
current Health SIC Lists. This
deletion also applies when the
correct estblishment
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
SIC code is not on the Low Hazard
SIC List when used for scheduling
according to F.2.b.(1)(e)
4 a (i.e., when the correct
SIC code is a nonmanufacturing
code).
EXAMPLES: Establishment is
listed an incorrect SIC code which
is on the High Hazard SIC
List but the correct SIC code for
the establishment is not on the
High Hazard SIC List.
Establishment is listed in a SIC
code which was on the High Hazard
SIC List for the fiscal year in
which the Inspection Register was
made up initially, but is no
longer on the High Hazard SIC
List at the time the inspection is
scheduled.
NOTE: If an establishment is
listed on the Low Hazard
or the Nonmanufacturing
Establishment List for
Safety under an incorrect
SIC code, the establishment
shall not be deleted from
those lists unless the
correct SIC code is Listed
on the High Hazard SIC
List. In that case, the
establishment shall be
removed from the Low
Hazard or Nonmanufacturing
Establishment List for Safety
and added to the High
Hazard Establishment List
following F.2.b.(1)(f).
J# Jurisdictional error -- Not within
Area Office geographic area
or jurisdiction.
L# Location of establishment--Could
ot be found.
O# Other reasons for deletion not listed
above. Approval for deletion shall
be requested from the Regional
Administrator and approved by the
Director of Compliance Programs.
P# Plant office or headquarters --
Nonplant facility.
S# Safety inspection -- Any comprehensive
programmed safety inspection or a
substantially complete unprogrammed
safety inspection conducted within
the current or previous two (2)
fiscal years.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
T# Ten or fewer employees --
Employers who had no more
than 10 employees at any time
during the previous 12 months.
V# Voluntary protection program
participation approved.
Establishment has been approved to
participation in the voluntary
protection program.
W# Reserved.
Y# Carryover
(c) Inspection Register. After all the
appropriate additions and deletions are
made, the Area Office inspection
registers shall be made up by
determining which establishments are to
be scheduled for inspection during the
current fiscal year. The number of
projected programmed inspections is
taken from the revised OSHA-146 Form
(OSHA-146 EZ). This number shall be
adjusted to reflect the number of
planned inspections in each category
that are expected to be done in the next
year. The number of carryover
establishments shall be subtracted to
determine the number of establishments
required to meet the projected number.
1 The Safety Inspection Register
shall consist of the following
elements:
a Five percent of the total
number of projected programmed high
hazard safety inspections to be
conducted shall be scheduled from
the Low Hazard Establishment
List;
b Five percent of the total
number of projected programmed high
hazard safety inspections to be
conducted shall be scheduled from the
Nonmanufacturing Establishment List;
NOTE: Since a fractional
establishment cannot
be inspected, five
percent should be
read to mean up to,
but not exceeding
five percent. If,
for example the
total number is 50,
five percent would
be 2.5, but only 2,
not 3,
establishments
should be inspected.
c Ninety percent of the
total number of projected programmed
high hazard safety inspections shall
be selected in rank order from the High
Hazard Establishment List, for
the purpose of inspection scheduling.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
2 The Health Inspection Register
shall consist of the total number of
projected programmed health inspections
selected in rank order from the Health
Establishment List.
3 The inspection registers,
together with adequate documentation on all
additions, deletions, or other modifications,
shall be maintained in the Area Office
for 3 years following their completion. (See
OSHA Instruction ADM 12.5 Appendix
F, A.l. and B.1., Records Disposition
Schedule NC1-100-82-1, Item 1a.)
(d) Inspection Cycle. An inspection
cycle is a group of establishments which
have been selected for inspection. The cycle has two characteristics: 1) once
started all establishments within the
cycle must be inspected, and 2) the
establishments within the cycle may be
inspected in any order. Ideally, the
size of the cycle should be such that
all establishments will be inspected
during the course of the fiscal year and
there would be no carry over. It is
best to estimate a cycle size of
sufficient size to last 10 to 12 months.
If the cycle is not large enough to
cover the entire fiscal year, when it is
about to be finished another cycle can
be chosen that is of a size to cover the
balance of the fiscal year. The next
year's cycle will be selected from next
year's register which will have
refreshed data.
(e) Inspection Scheduling. Within a cycle,
establishments may be scheduled and inspected
in any order that makes efficient use of available
resources.
1 Each inspection cycle shall be completed
before another cycle is begun. The only
exceptions are as follows:
a An establishment may be carried over
to another cycle if the establishment is
not operating normally because of strikes,
seasonal fluctuations, or other factors.
b An establishment may be carried over
to another cycle if necessary equipment
or personnel with necessary experience
and qualifications to perform the
inspection are not presently available.
c An establishment may be carried over
to another cycle if it is the last
remaining establishment in a cycle, its
inspection would require travel in excess
of 50 miles and it cannot be combined with
other inspection activity.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
d An establishment may be carried over
to another cycle if the employer has not
yet completed abatement action required
as a result of a previous comprehensive
OSHA inspection of the same inspection
type (safety or health) because the
final abatement date has not yet come.
e An establishment may be carried over
to another cycle if the employer has
contested a citation item issued as a
result of a previous OSHA inspection
and the case is still pending before the
Review Commission.
f An establishment may be carried over
to another cycle if the inspection
cannot be completed due to the employer's
refusal to allow the inspection.
g An establishment may be carried over
to another cycle if the inspection
must be deferred because of the
presence of a at the worksite or
because the establishment has applied
has not yet been approved in the
Inspection Exemption through has
has Consultation Program or a
Voluntary Protection Program which
carries a temporary exemption from
inspection.
h Approval for carrying
over an establishment for reasons not
listed above be requested from the
Regional and approved by the
Director, Office of Field Programs.
NOTE: Although the Area
Director is
authorized to carry
over inspections to
another cycle for
the reasons given in
this subparagraph,
in most cases there
is no requirement to
do so.
o There may be good
reasons for not
carrying an
establishment over
to another cycle; in
that case, the Area
Director is free to
schedule the
inspection.
o If an inspection is
conducted rather
than carried over
and if there are
items under contest
or with an abatement
date that is still
open, those items
shall be excluded
from the scope of
the inspection
unless monitoring of
abatement is
required; e.g.,
pursuant to a
settlement
agreement. (See
OSHA Instruction CPL
2.90.)
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
2 As previously described, the
inspection cycle is established with
the number of projected at the beginning
of the fiscal year. Number of inspections
actually performed, however, will depend on
factors such as staffing, unprogrammed
inspection activity and special programs.
If all establishments in the
inspection cycle are inspected before the
end of the fiscal year, another cycle
shall be prepared by extending the
inspection register. The number of
establishments on this inspection cycle
will be equal to the estimate of the
number of inspections that the Area Office
projects it can conduct prior to the end of
the fiscal year. The planning guide
software will give the 90/5/5 split for
high hazard, low hazard and non-
manufacturing as each cycle is generated.
a If all establishments in the current
cycle are inspected before the end
of the fiscal year, another cycle
shall be prepared by extending the
inspection register to the next group
consecutively numbered establishments
on the high hazard list and randomly
generated low hazard and non-
manufacturing establishments.
b The number of establishments on the
extended inspection register will be
equal to an estimate of the number of
inspections that the Area Office projects
it can conduct prior to the end of the
fiscal year.
3 Any cycle begun but not yet completed at
the end of the fiscal year shall be completed,
subject to the exceptions set forth in
F.2.b.(1) (e) 1, before beginning the new
fiscal year inspection cycle. The number
of inspections yet to be completed shall be
taken into account in setting the new
fiscal year inspection cycle.
4 In the event that inspections have been
conducted in all eligible establishments on
the Establishment Lists received from the
National Office befor completing the planned
number of inspections, the Area Director
shall:
a For safety, request from
the National Office,
through the Regional
Administrator, additional
establishments from the
Low Hazard Establishment
List, selected in rank
order, making appropriate
adjustments, according to
F.2.b.(1)(b) 5.
b For health, request from the
National Office, through the
Regional Administrator, a list
of additional establishments
within the next group of
targeted health SIC codes.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(f) Deletions and Additions. Once the
inspection cycle itself begins, the
following policy shall guide additions
and deletions:
1 An establishment shall be deleted
from an inspection cycle whenever one of
the criteria form deletion becomes applicable.
For example, an establishment may be out of
business or inactive.
2 Where it is learned only after the
compliance officer has arrived at the
establishment that one of the criteria for
deletion applies, the inspection shall not
be conducted (or continued if already begun).
Citations for the completed portion of the
inspection shall still be issued, unless the
SIC code is exempted. (See OSHA Instruction
2.51H, or most current version.)
3 If the CSHO learns after arrival that
the establishment has been classified in
the wrong SIC code, but the correct SIC
is on the safety or the health register,
the CSHO shall conduct the inspection
at that time. Otherwise, the inspection
shall be deferred.
4 A newly discovered establishment
may be added at any time to the
inspection register. If the establishment's
SIC was included in an already completed
cycle, the inspection shall be performed
as part of the next cycle.
(2) Inspection Scheduling for Construction.
Due to the mobility of the construction
industry, the transitory nature of
construction worksites and the fact that
construction worksites frequently involve
more than one construction employer,
inspections shall be scheduled from a list of
construction worksites rather than
construction employers. The National Office
will provide to each Area/District Office a
randomly selected list of construction
projects from all covered active projects.
This list should contain the projected number
of sites the office plans on inspecting in
the next month.
(a) Inspection List. OSHA has
contracted with F.W. Dodge and the
Construction Resources Analysis (CRA)
group of the University of Tennessee.
Each month F.W. Dodge will provide to
CRA information on construction projects
which are expected to start in the next
60 days. CRA adds to the Dodge data a
time period when each project is active
and maintains a file containing all
active construction projects. From this
file of active construction projects,
CRA will generate monthly for each Area
Office a randomly selected construction
inspection list based upon:
1 Counties located within Area Office
boundaries;
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
2 Estimated number of worksites
to be inspected during the monthly
scheduling period (to be determined by
the Area Director);
3 The selection criteria are to
be determined by the Area Director
based on local conditions, approved
by the Regional Administrator, and
provided to CRA for entry into the
system. These selection criteria
may be designed to include any class
of worksites within the computerized
selection process. Some examples
of such criteria are:
a A minimum dollar value of
the construction project.
b A minimum size of the
project in square meters.
c A certain length of time
the project is likely to
last.
d Specific stages of
construction project (in
percent complete).
e Specific types of
construction projects.
(b) OSHA Construction Inspection
Reports. CRA will order appropriate
OSHA Construction Inspection Reports,
corresponding to the sites on the
randomly selected list for each Area
Office.
(c) Limitation on Frequency of
Selection. Normally, no site shall be
selected for inspection more frequently
than once per trimester. Therefore, CRA
will remove from its master files any
project selected for an inspection for a
period of four months and reenter it in
the fifth month if it is still active.
Thus, if a list is not used, CRA should
be notified so those sites will be
returned to available status. Refer to
paragraph F.2.b.(2)(d)4 for return
procedures.
(d) Scheduling Cycle. The scheduling
period (cycle) for construction
inspections shall be one calendar month.
Each month, each Area Office will
receive its programmed construction
inspection list from CRA. Within the
following 10 days it will receive the
OSHA Construction Inspection Reports
corresponding to the sites on the
inspection list. Offices receiving 10
or fewer OSHA Construction Inspection
Reports will receive them by FAX. This
list will be dated the following month.
It can be used when received and should
be completed by the end of the month it
is dated. The use of the current list
is important because conditions change
rapidly and the lists become out- dated.
The best planning strategy is to receive
from CRA the required number of sites
for the month to ensure that the most
current list is always being used.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1 All sites on the inspection list
shall be inspected, and the sites
can be scheduled in any order
to make efficient use of resources.
2 Complaints shall be treated in
accordance with Chapter IX, A. All
other information indicating the
possible need for a construction
inspection at a specific worksite shall
be treated as a referral, in accordance
with Chapter IX, B.
3 The Area Office shall make no
deletions from the inspection list, except
where the Area Director documents that:
a Little or no construction
activity at a worksite on the list has
begun or activity has already been
substantially completed before an
inspection can be made.
b A worksite has become
ineligible for any reason; e.g., where
a substantially complete inspection of
the worksite has been conducted as a
result of a complaint investigation.
c A worksite has been
approved for exemption from inspection
through or for participation in the
voluntary protection program.
4 If a new list is received and it is
anticipated that it will not be used,
because of a large number of sites
remaining on the current list, the
CRA shall be notified directly by the
Area Office by FAX or phone as
soon as practicable so that the unused
sites may be restored to be eligible
for possible selection on the next list.
The unused list shall be marked as such
and retained in the scheduling file.
(See F.2.b.(2)(g)1.)
(e) Completion of Inspection List. By
the middle of each cycle, the Area Director
shall assess progress in inspecting all
sites on the list in order to plan resources
for the following cycle.
1 If it appears that not all sites on the
list will have been inspected by the end of
the month, the Area Director may request
a shortened list from CRA for the following
month through the Assistant Regional
Administrator for Federal-State Operations.
2 If it appears that all sites on the list
will have been inspected by the end of the
third week of the month, or if fewer
employers are inspected than originally
the Area Director may request a
supplemental inspection list from
CRA through the Assistant Regional
Administrator for Federal-State
Operations.
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OSHA Instruction CPL 2.45B CH-4
Office of General Industry Compliance Assistance
3 Consecutive months' lists may
be combined and used
concurrently. However, all
sites from the first month of
a combined list shall be
inspected before worksites
from the second month list are
combined with a third month,
except when a site is carried
over as described at
F.2.b.(2)(f) below. That is,
lists for two consecutive
months can be combined to form
one combined cycle; but the
first month's list must be
completed or classified as
carryover before the second
months list can be combined
with the third months list and
so on.
(f) Carryovers. Worksites on one inspection
list may be carried over to the next cycle only
under the following circumstances:
1 A worksite may be carried over to the
next cycle if it is not operating normally
at the time of the inspection because of
strikes, weather or other factors.
2 A worksite may be carried over to the
next cycle if necessary equipment or
personnel with experience and qualifications
to perform the inspection are not presently
available.
3 A worksite may be carried over to the
next cycle in the interest of efficient use
of resources. The number of such carryovers
may not exceed 25% of the total number of
sites on the original cycle. Any worksite
carried over in this manner may not be
carried over a second time.
4 A worksite may be carried over to the
next cycle if the inspection cannot be
completed due to the employer's refusal to
allow it.
5 A worksite may be carried over to the
next cycle if conditions (construction
activity at the site) have not changed
substantially since a prior inspection.
6 A worksite may be carried over to the
next cycle if the inspection must be deferred
because of the presence of a consultant at the
worksite.
7 Approval for carrying over a worksite for
reasons not listed above must be requested
from the Regional Administrator and approved
by the Director of Field Programs.
NOTE: Although the Area Director is
authorized to carry over inspections
to another cycle for the reasons
given in this subparagraph, there
is no requirement to do so.
There
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
may be good reasons for not
carrying a worksite over to another
cycle; in that case the Area
Director is free to schedule
the inspection.
(g) Area Director Administration of Inspection
List. The Area Director shall be responsible
for maintaining documentation of the construction
inspection list and for ensuring that selection
criteria are current and appropriate.
1 The monthly construction inspection
lists received from CRA and the corresponding
OSHA Construction Inspection Reports
shall be maintained in the Area Office for a
period of 3 years after completion of the
cycle whether they are used or not. (Records
Disposition Schedule NC1-1800-82-1, Item 1a.)
2 If circumstances indicate a need to modify
the Area Office's selection criteria on file
with CRA, the Area Director shall contact the
Assistant Regional Administrator for Federal-
State Operations. All modifications to the
Area Office's selection criteria shall be
approved by the Regional Administrator and
shall be effective for the month following
entry into the computer if recieved by the
23rd of the month.
(h) Health Construction Inspections. No seperate
scheduling method is applied for programmed
construction health inspections. Rather, the Area
Director shall determine which construction
inspections are to be conducted as a joint
inspection where serious health hazards are likely
to exist at the worksite. However, a local emphasis
plan may be submitted and approved for scheduling
health construction inspections.
(3) Inspection Scheduling for Maritime. The maritime
industry is made up of several industrial activities
and, due to the unique differences among the industries,
several scheduling methods are necessary. Consequently,
maritime inspections shall be scheduled either as local
emphasis programs as outlined in F.2.b.(4) or as follows:
(a) Maritime Industries Scheduled With General
Industry Inspections. All fixed maritime
(shipyard) establishments listed on the safety or
the health inspection registers for each Area
Office shall be scheduled and inspected with
General Industry as outlined in F.2.b.(1).
(b) Maritime Inspections Scheduled With
Construction. Maritime construction
shall be scheduled with other
construction inspections as outlined in
F.2.b.(2).
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(c) Water Transportation Services
(Longshoring, Marine Terminals, Voyage
Repair). Because of differences in
conducting water transportation services
operations in a large port, where, for
example, many stevedores generally
conduct longshoring operations, and on
rivers and other waterways, where
loading and unloading by a single
employer is generally involved, water
transportation services inspections may
be scheduled either by port area or by
employer.
NOTE #1: The method of selection shall
be determined at the beginning
of each fiscal year by each
Area Director, based on the
type of water transportation
services activities within the
Area Office jurisdiction and
on the ability to identify
active employers and their
worksites. The selection
method shall be approved by
the Regional Administrator.
NOTE #2: Inspections may be scheduled
by employer in large ports
when the Area Director is able
to identify all of the
employers (stevedores) working
within the port and, when a
particular employer is to be
inspected, all active
worksites (vessels) of that
employer.
NOTE #3: All marine terminals, which
may be associated with a port
area or with an employer, and
all voyage (mobile, nonfixed
or dockside) ship repair
operations which may be under
way at the time of the
scheduled water transportation
services inspection shall be
inspected along with the
inspection of all active
longshoring operations.
1 Inspection List. This list shall
consist of the worksites from which water
transportation services inspections will
be scheduled. It may be constructed in
either of two ways:
a By Port Area. A list of Port
Areas shall be prepared at the beginning
of the fiscal year by the Area Director,
using OSHA inspection history, local
knowledge and experience, company
schedules, and information from other
sources.
EXAMPLES: The port of Savannah might be
subdivided into three Port Areas; the
port of Houston might be subdivided
into eight or more Port Areas. Other
large ports may be subdivided in the
same manner.
(i) The list shall be
arranged alphabetically by
port and within each port
by Port Area (location name).
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(ii) This list shall be
reviewed and revised as necessary
each year and submitted to the
Regional Administrator for
approval.
(iii) The Area Director
shall use the Port Area List
to prepare a list of all
stevedores, marine terminals,
and ship-building and repair
employers working each Port
Area. All of these employers
who are actively working in
the Port Area at the time of
the scheduled inspection of
the Port Area shall be included
in the programmed inspection
of the Port Area. (See,
however, F.2.b.(3)(c) 5
a.)
(iv) No employer shall be
inspected at more than one
worksite (vessel) during any
Port Area inspection except
for imminent danger reports,
fatalities, formal complaints
and referrals.
(v) Port Areas which
have received a substantially
complete inspection within the
preceding quarter (i.e., at
least one worksite was inspected
each employer working a Port
Area at the time of the
scheduled inspection) shall be
deleted from the Port Area List
for the next quarter.
b By Employer. A list of all
water transportation services employers
within the Area Office jurisdiction
shall be prepared, based on OSHA
inspection history, local knowledge and
experience, company schedules, and other
sources.
(i) If all employers
identified are programmed for
inspection within a cycle, no
additional selection procedure
is necessary except as outlined
in F.2.b.(3)(c)5.
(ii) If not all employers
are to be inspected, the list
shall be arranged alphabetically
by employer name and by location.
(iii) Employers who have
received a substantially
complete inspection in the
previous fiscal year shall be
deleted from the list for the
next fiscal year unless all
employers on the list received
such an inspection.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(iv) The list of employees
shall be reviewed and
revised as necessary each
year and submitted to the
Regional Administrator
for approval initially
and whenever revised.
2 Numbering of List. After a list of
Port Areas or a list of employers has been
prepared and adjusted as necessary, the
list is sorted alphabetically by name
and location and each Port Area or each
employer on the list shall be numbered
consecutively, beginning with the number 1.
3 Quarterly Inspection Cycle for Port
Areas. Using the number of water
transportation services inspections projected
for the year on the OSHA-146 EZ Form and
divide by 4, a quarterly inspection cycle
shall be prepared as follows:
a Apply the random number table to
the Port Area List which has been
prepared as directed in F.2.b.(3)(c)2
a.
b Select Port Areas in the order
prescribed by the random numbers until
the number of inspections estimated
(i.e., total number of employers) at
least equals the number of inspections
projected for the applicable quarter.
4 Annual Inspection Cycle for Employers.
Using the number of water transportation
services inspections projected for the year
in the OSHA-146 EZ Form, one annual inspection
cycle shall be prepared as follows:
a Apply the random number table to the
Employer List which has been prepared
as directed in F.2.b.(3)(c)2 b.
b Select employers in the order
prescribed by the random numbers until the
number of inspections estimated at least
equals the number of inspections projected
projected for the fiscal year.
c Random numbers would not be used if
all employers on the list are to be
inspected.
5 Inspection Scheduling. Within a cycle
Port Areas or employers may be scheduled and
inspected in any order that makes efficient
use of available resources.
a When scheduling workplaces in a
larger port either by Port Area or by
employer in accordance with
F.2.b.(3)(c)1 a or c
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
and all active workplaces of the
scheduled employer are not to be
inspected, the Area Director may
select any of the active workplaces
for inspection. Due consideration
shall be given to resource
availability, size and type of
project involved, previous activity
at the various locations, the
potential presence of other related
activities such as terminal
operations and dockside repair
activities, and other relevant
factors in selecting the particular
worksite(s) to be inspected.
b Each inspection cycle shall be
completed before the next cycle is
begun. The only exceptions
are as follows:
(i) A worksite may be
carried over to the next
cycle if it is not operating
normally because of strikes,
or other factors.
(ii) A worksite may be
carried over to the next cycle
if necessary equipment or
personnel with experience and
qualifications to perform the
inspection are not presently
available.
(iii) A worksite may be
carried over to the next cycle
if its inspection would require
travel in excess of 50 miles
and it cannot be combined with
other inspection activity.
(iv) (NOT FOR PORT AREAS)
An employer may be carried over
to another cycle if the employer
has not yet completed abatement
action required as a result of a
previous comprehensive OSHA
maritime inspection of the same
inspection type (safety or
health) because the final
abatement date has not yet come.
(v) (NOT FOR PORT AREAS)
An employer may be carried over
to another cycle if the
employer has contested a citation
or a citation item issued as a
result of a previous OSHA
inspection of the same inspection
type (safety or health) and the
case is still pending before
the Review Commission.
(vi) A worksite may be
carried over to the next cycle
if the inspection cannot be
completed due to the employer's
refusal to allow it.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(vii) A worksite may be
carried over to another cycle
if the inspection must be
deferred because of the presence
of a consultant at the worksite
or because the worksite is a
participant in the Inspection
Exemption through Consultation
Program or a Voluntary
Protection Program which carries
a temporary exemption from
inspection.
(viii) Approval for carrying
over a worksite for reasons not
listed above must be requested
from the Regional Administrator
and approved by the Director of
Compliance Programs.
NOTE: Although the Area Director
is authorized to carry
over inspections to
another cycle for the
reasons given this
subparagraph, there is
no requirement to do
so. there may be good
reasons for not carrying a
worksite over to another
cycle; in that case the
Area Director is free
to schedule the
inspection.
c If all Port Areas in the quarterly
inspection cycle or all employers
in the annual cycle have been inspected
but fewer employers are inspected than
originally predicted, additional Port
Areas or employers shall be selected
appropriate list, using the order
prescribed by the random numbers,
until the additional number of
inspections at least equals the
number of inspections still needed to
meet the number of inspections
projected for the quarter or the year.
d Similarly, if the Area Office is
able to do more programmed water
transportation services inspections than
the number of inspections projected at the
beginning of the year, additional Port
Areas or employers shall be scheduled for
inspection in the order prescribed
by the random numbers.
e At the end of a fiscal year the
number of inspections yet to be
completed in that cycle shall be taken
into account in setting the new
inspection cycle.
EXAMPLE: At the end of the fiscal year
an Area Office has 2 maritime employers
left to inspect. If the projected
number of
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
water transportation services
inspections for the new fiscal year is
10, the new list shall be used to select
8, rather than 10, maritime employers.
6 Deletions. After the beginning of an
inspection cycle, a Port Area or employer
shall be deleted from the inspection cycle
if a substantially complete inspection of the
Port Area or the employer has been conducted
during an unprogrammed inspection.
NOTE: This paragraph does not preclude
further unprogrammed inspections
conducted in response to specific
evidence of conditions involving
imminent danger or serious hazards
at a worksite, such as those
obtained through direct observations.
These instances shall be evaluated
by the Area Director and, if
appropriate, investigated as
referral inspections.
7 Other Maritime Industry Inspections.
Maritime industries not covered by one of the
above scheduling programs, such as oil and
gas extraction and diving operations, shall
be scheduled as local emphasis programs under
the Special Emphasis Programs procedures
outlined in F.2.b.(4).
8 Health Maritime Construction and
Water Transportation Services) Inspections.
No seperate programmed maritime health
inspections. Rather, the Area Director shall
determine which maritime inspections are to be
conducted as joint inspections because serious
health hazards are likely to exist at the
worksite, or scheduled as a local emphasis
program.
(4) Special Emphasis Programs. Special Emphasis
Programs provide for programmed inspections in high
potential injury or illness rate situations which are
not covered by the scheduling systems outlined in the
preceding subsections of F.2.b. or, if covered, are
not addressed to the extent considered adequate under
the specific circumstances present. Special emphasis
programs may also be used to set up alternative
scheduling procedures or other departures from national
procedures. They include National Emphasis Programs and
Local Emphasis Programs.
(a) Description. The description of and the
reasons for specific National Emphasis Programs
will be set forth in appropriate instructions
or notices as the occasion arises. Local
Emphasis Programs may be developed by the Area
Office or by the Regional Office, depending
on the matter addressed.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1 The description of the particular Special
Emphasis Program shall be identified by
one or more of the following:
a Specific industry.
b Trade/craft.
c Substance or other hazard.
d Type of workplace operation.
e Type/kind of equipment.
f Other identifying characteristic.
2 The reasons for and the scope of a
Special Emphasis Program shall be described
described and may be limited by geographic
boundaries, size of worksite, or similar
considerations.
3 National or local pilot programs may also
be established under Special Emphasis
Programs. Such programs may be conducted for
the purpose of assessing the actual extent of
suspected or potential hazards, determining
the feasibility of new or experimental
compliance procedures, or for any other
legitimate reason.
(b) Scheduling Inspections. The following
guidelines shall apply in scheduling Special
Emphasis Program inspections:
1 Certain Special Emphasis Programs
identify the specific worksites and/or
industries that will be inspected;
therefore, the only action remaining to
be taken is the scheduling of inspections.
2 Other Special Emphasis Programs identify
only the subject matter of the program
and contemplate that not all worksites within
the program will necessarily be inspected.
3 If no special worksites are identified
within the program, the Regional Administrator
or the Area Director shall use available
information to compile a worksite list.
4 Where no procedures for scheduling
worksites for inspection are specified
by the National Office, the Regional
Administrator or the Area Director shall
develop such procedures. The procedures
set forth in F.2.b.(2) for scheduling
construction inspections may be used for
scheduling worksites within Special
Emphasis Programs.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Scheduling procedures other than those
specified in F.2.b(2) shall be submitted
for approval to the Director of Compliance
Programs through the Regional Administrator.
(c) Program Evaluation. Agency policy currently
requires the Regional Administrator to evaluate
any special emphasis program approved for inspection
within the Region. This evaluation shall consist of
a report of the program's successes and
difficulties in accomplishing its identified
goals. Every program submitted for approval shall
contain a program evaluation element.
(5) Other Special Programs. The Agency may develop
programs to cover special categories of inspections
which are not covered under the planning guide or under
Special Emphasis Programs. Currently migrant farmworker
camp inspections have been designated as such a program.
(a) In accordance with 20 CFR Part 42, OSHA has
agreed to conduct migrant farmworker camp
inspections annually, the number to be assigned
by the Assistant Secretary in accordance with
in accordance with current program plan
procedures. These inspections are to be
distributed among the Regions in accordance
with traditional levels of such activity.
(b) At the beginning of each season, the Regional
Administrators for the Employment Standards
Administration (ESA) will provide each Regional
Administrator with a list of migrant farmworker
camps which ESA does not intend to inspect
itself.
1 The list will contain all known migrant
camps except the ones to be inspected by ESA.
2 The list will also contain all known
migrant camps not subject to ESA inspection
because they do not have farm labor
contractors associated with them.
(c) When the list is received, the Regional
Administrator shall determine what procedure is
to be used for scheduling migrant camp inspections.
These inspections may be scheduled either by the
the Regional Office or by the Area Office. If
the scheduling is to be done by the Area Office,
the list received from ESA shall be subdivided by
geographical area and forwarded to the
appropriate Area Office as soon as possible.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(d) The Regional Administrator is responsible, under
either scheduling procedure, for ensuring that the
minimum number of inspections mandated for the
Region is accomplished. Area Offices may be
assigned a proportional number of the inspections
for which the Region is responsible or some other
equitable distribution procedure may be used.
(e) The office responsible for scheduling these
inspections shall proceed as follows:
1 Add to the ESA list (if one is recieved)
all additional known migrant camps, using all
available information, including OSHA
inspection history, local knowledge and
experience, and information from other
relevant sources. This list shall be reviewed
and revised as necessary each year.
2 Delete any camps known to be inactive
from past experience or from other reliable
sources from the list referred to in the
preceding subparagraph.
3 If the total number of camps on the list
is equal to or less than the number of
inspections to be conducted, all of the
camps shall be scheduled for inspection.
4 If the total number of camps exceed the
number of inspections to be conducted,
number the adjusted list consecutively
beginning with 1.
5 Using a random number method and following
the guidelines in OSHA Instruction CPL 2.25H,
Appendix C, select farmworker camp sites in
the order prescribed by the random numbers
numbers until the number of camps selected
equals the number of projected inspections
for the year. The resulting list shall
constitute the annual cycle.
6 If the Regional Office has scheduled the
inspections for the whole Region, the list
shall be subdivided and assigned to the
appropriate Area Offices for inspection.
7 Camps on the list for inspection may
be selected and inspected in any order that
makes efficient use of available resources.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
8 The inspection cycle shall be completed
before the end of the current growing
season. The only exceptions are as follows:
a An establishment may be carried
over to the next cycle (next growing
season) if substantially all activity
has been completed at the site where
the migrant camp is located and the
camp itself has been vacated before
the inspection could be conducted.
b An establishment may be carried over
to the next cycle if the inspection
cannot be completed due to the employer's
refusal to allow it and there is not
enough time to obtain a warrant.
c Approval for carrying over a
worksite for reasons not listed above
must be requested from the Regional
Administrator and approved by the
Director, Office of Field Programs.
9 As the cycle progresses, each time a
camp is deleted as not inspectable or is
carried over to the next cycle (year) for
some legitimate reason, another camp shall
be immediately selected from the migrant
camp list in the order prescribed by the
the random numbers and added to the
inspection list until the number of
inspections conducted equals the number of
inspections needed to meet the total number
projected for the Area (Regional) Office or
until the list of known migrant camps is
exhausted.
G. Exemptions and Limitations.
1. Congress may place exemptions and limitations on OSHA
activities through the annual Appropriations Act.
Refer to current OSHA Instructions for guidelines on
how to apply current exemptions and limitations to
compliance programming. (See OSHA Instruction CPL
2.51H., or most current version.)
2. New construction activities within DOE sites will no
longer be considered part of OSHA's jurisdiction. When
such sites appear on targeting lists, they shall be
deleted. If inspections are underway at such sites,
they shall be terminated with appropriate explanations
to the employer and to employee representative.
Complaints from employees at such sites shall be
referred to the DOE for resolution. See CPL 2.95,
Enforcement Authority at the Department of Energy's
(DOE) Government-Owned, Contractor-Operated (GOCO)
Sites, February 10, 1992.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(1) Employees Represented by a Certified or
Recognized Bargaining Agent. During the opening
conference, the highest ranking union official or
union employee representative shall designate who will
participate in the walkaround.
(2) Safety Committee. The employee members of an
established plant safety committee or the employees
at large may have designated an employee representative
for OSHA inspection purposed or agreed to accept as
purposes or agreed to accept as their representative
the employee designated by the committee to accompany
the CSHO during an OSHA inspection.
(3) No Certified or Recognized Bargaining
Agent. Where employees are not represented by
an authorized representative, where there is no
established safety committee, or where employees have
not chosen or agreed to an employee representative
for OSHA inspection purposes whether or not there is
a safety committee, the CSHO shall determine is
the CSHO shall determine if any other employees would
suitably represent the interests of employees on the
walkaround.
(a) If selection of such employee representatives is
impractical, the inspection shall be conducted
without an accompanying employee representative;
and the CSHO shall consult with a reasonable
number of employees during the walkaround in
accordance with the provisions of 29 CFR
1903.8 and Section 8(e) of the Act.
(b) Employees selected for interviewing shall include
individuals judged know knowledgeable about the
area or process being inspected.
6. Special Situations.
a. Preemption by Another Agency. Section 4(b)(1) states
that the OSH Act does not apply to working conditions over
which other Federal agencies exercose statutory
responsibility. The determination of preemption by another
Federal agency is, in many cases, a highly complex matter.
To preclude as much as possible any misunderstanding with
other agencies and to avoid consequent adverse actions by
employers (or agencies) the Area Director shall observe the
following guidelines whenever a situation arises involving
a possible preemption of jurisdiction question:
(1) The Area Director shall be alert to potential
conflicts with other agencies at all times. If a
question arises, usually upon receipt of a complaint,
referral, or other inquiry, the OSHA Directives System
shall be consulted immediately to determine if the
issue has been addressed there in a Memorandum of
Understanding or other agreement with the agency
involved.
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OSHA Instruction CPL 2.45B CH-4
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Office of General Industry Compliance Assistance
NOTE: New construction activities within
DOE sites are no longer considered
part of OSHA's jurisdiction. See
CPL 2.95, Enforcement Authority at
the Department of Energy's (DOE)
Government-Owned, Contractor-
Operated (GOCO) Sites, February 10,
1992.
(2) If not, the Area Director shall consult with the
Regional Administrator who shall provide clarification
of the issue after consulting with the Regional
Solicitor, if appropriate, or with the other Federal
agency's local or Regional Office.
NOTE: Routine contact with other Federal agencies
at the local and regional levels is highly
desirable where Section 4(b)(1) issues may
arise. Regional Administrators and Area
Directors shall maintain active liason with
their counterparts in other agencies to ensure
full cooperation in the event a situation
requires clarification.
(3) If the Regional Office is unable to clarify the issue,
it shall be referred to the Director, Office of Field
Programs.
(4) At times an inspection may have already begun when the
Section 4(b)(1) question arises. In such cases the CSHO
shall interrupt the inspection and contact the supervisor
for guidance.
(5) If, following an inspection, there remains any doubt
as to OSHA coverage, the proposed citation and penalty
shall be cleared with the Regional Solicitor, through
the Regional Administrator, and, if necessary, the
Director of Compliance Programs, prior to issuance.
(6) If it is determined that OSHA does not have jurisdiction,
the case shall be referred to the appropriate agency if
if there is reason to believe that violations may exist.
b. Labor Relations Disputes. The CSHO shall not become
involved in labor relations disputes either between a
recognized union and the employer or between two or more
unions competing for bargaining rights. However, if there
is a recognixed union, the highest ranking official
available will designate the authorized walkaround
representative even though another union may be seeking
recognition.
c. Expired Collective Bargaining Agreement. When a union
contract has expired, the CSHO shall assume that the incumbent
union remains as the bargaining agent unless that union is
decertified officially replaced, or has abandoned bargaining
agent status.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
d. Employee Representatives Not Employees of the Employer.
Walkaround representatives authorized by employees will
usually be employees of the employer. If, however, a
a non-employee (union official, industrial hygienist, safety
engineer, or other experienced safety or health person) is
designated by the employees as their representative to
accompany the CSHO during the inspection, such a person
inspection, such a person normally shall be accorded
walkaround rights consistent with 29 CFR 1903.8(c).
Questionable circumstances, including delays of more than one
hour, shall be referred to the supervisor. A non-employee
representative shall be cautioned by the CSHO not to discuss
matters pertaining to operations of the employer during the
inspection.
e. More Than One Representative. At establishments where
more than one employer is present or in situations where
groups of employees have different representatives, it is
acceptable to have a different employer/employee
representative for different phases of the More than one
employer and/or representative may accompany the CSHO
throughout or during any of an inspection if the CSHO
determines that such additional will aid and not
interfere with the inspection (29 CFR 1903.8(a)).
(1) Whenever appropriate to avoid a large group, the CSHO
shall encourage multiple employers to agree upon and
choose a limited number of for walkaround
accompaniment purposes. If necessary, during the
employer representatives not on the walkaround shall
be contacted to in particular phases of the inspection.
(2) As an alternative, the CSHO shall divide a
multi-employer inspection into separate phases;
e.g., excavation, steel erection, mechanical,
electrical, etc., encourage employer representatives
to in different phases, as appropriate.
(3) The same principles shall govern the selection of
employee representatives when several are involved.
f. Disruptive Conduct. The CSHO may deny the
right of accompaniment to any person whose conduct
interferes with a full and orderly inspection (29
1903.8(d)). If disruption or interference occurs, the
CSHO shall use professional judgment to whether to
suspend the walkaround or take other action. The
supervisor shall be consulted the walkaround is
suspended. The employee representative shall be advised
that during the matters unrelated to the inspection shall
not be discussed with employees.
g. Trade Secrets. The CSHO shall ascertain from the
employer if the employee representative is authorized to
enter any trade secret area(s). If the CSHO shall
consult with a reasonable number of employees who work in
the area (29 CFR 1903.9(d)).
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
h. Classified Areas. In areas containing
information classified by an agency of the U.S. Government
in the interest of national security, persons authorized
to have access to such information may accompany a CSHO
(29 CFR must also have the proper security clearances to
enter these areas.
i. Apparent Violations Observed Prior to the Walkaround.
When an apparent violation is the CSHO prior to the
walkaround, it shall be noted. All such apparent violations
during the walkaround and cited if appropriate. When
possible, serious violations and documented immediately
at the commencement of the walkaround.
j. Use of Tape Recorders. The use of tape recorders during
the required conferences may inhibit the free exchange of
information, and care be exercised in their use. Tape
recorders may be used by the CSHO only after authorization
by the supervisor.
(1) The use of tape recorders may be authorized whenever
circumstances justify it, such as where there is
conflicting evidence that the preservation of
statements is advisable or where securing statements
from affected employees will delay the expeditious
completion of the investigation.
(2) The tape recorder shall not be used in locations where
it may be hazardous.
(3) If the employer, employer representative, affected
employees, or any other witnesses object to recording
their statements during part of the investigation, the
inspection shall be continued without the tape recorder.
7. Examination of Record Programs and Posting Requirements.
a. Records. As appropriate, the CSHO shall comply with
the records review procedures that follow, and document
the findings in the case file.
NOTE: Exception -- For partial inspections,
whether programmed or unprogrammed, the
CSHO may, but is not required to,
include a review of the injury and
illness records and an assessment of
some or all of the employer's programs.
See Chapter II, C.2.a.
(1) Injury and Illness Records. At the time of the
inspection, all injury and illness records required by
29 CFR 1904 shall be examined. If the records have
been examined during the current calendar year by a
CSHO of same discipline, the CSHO need only review
the injury and illness records since last inspection.
The OSHA-200 data need not be entered on the OSHA-1,
unless:
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(a) The OSHA-200 data was not available at the time
of the last inspection, but has now become
available; or
(b) The calendar year has changed since the last
inspection and new OSHA-200 data is available.
NOTE: The CSHO shall not request access to the
Bureau of Labor Statistics survey questionnaire
(OSHA-200S) or even ask if the employer has
participated in the survey program.
(2) Access to Employee Exposure and Medical
Records. During all health inspections and safety
inspections when designated by the supervisor, whatever
the LWDI rate, the CSHO shall determine if applicable
exposure and medical records are being maintained in
accordance with the medical surveillance recordkeeping
requirements of applicable standards or of 29 CFR 1910.20.
CSHO access to the employee medical records is authorized
under Other Regulations and Procedures, 29
CFR 1913.10(b)(4), for the limited purpose of verifying
the existence of required records. Review of the
content of such medical records may require a written
access order or express employee consent. (See OSHA
Instructions CPL 2-2.32, CPL 2-2.33, and CPL 2-2.46.)
(3) Hazard Communication. [RESERVED]
(4) Lockout/Tagout. Evaluations of compliance with
lockout/tagout standards shall be conducted during
all general industry inspections within the scope of
the standard. The review of records shall include
special attention to injuries related to maintenance
and servicing operations. (See OSHA
Instruction STD 1-7.3.)
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(5) Other Records. Any other records which fall within
the scope of the inspection and which are related
directly to the purpose of the inspection (29 CFR
1903.3(a)) shall be examined. These may include, but
are not limited to:
(a) Required certification records properly completed
and any available equipment inspection and
maintenance records;
(b) Medical surveillance or monitoring records, employee
exposure records and other medical records not
covered under the hazard communication standard.
(See D.7.a.(3).)
NOTE: Whenever circumstances indicate or whenever
assigned by their supervisors, adequately
cross-trained CSHOs conducting a safety
inspection shall also conduct a survey of
records required by various health standards
to be maintained by the employer. These
required records may be evaluated by the
CSHO at the site or may be copied for
examination by the health staff.
(c) Safety committee minutes; checklists; records of
inspections conducted by plant safety and
health committees, insurance companies, or
consultants; if voluntarily supplied by the
employer.
(d) Variance documentation.
b. Posting. The CSHO shall determine if posting requirements
are met in accordance with 29 CFR 1903 and CFR 1904. These
include, but are not limited to:
(1) OSHA poster informing employees of their rights and
obligations under the Act.
(2) Log and Summary of Occupational Injuries and Illnesses
during the month of February.
(3) Current citations, if any.
(4) Petitions for Modification of Abatement Date (PMAs).
c. Additional Information. It is OSHA policy that all
safety and health inspections include an entry into and
survey of the workplace. Physical inspection of the
workplace offers the opportunity not only to identify
hazards, but also to verify the effectiveness of safety
and health programs.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(1) Accordingly, for all safety and health inspections,
the CSHO shall review the employer's overall safety
and health management program and specific programs
such as those related to personal protective
equipment and respiratory protection to evaluate their
effectiveness and identify deficiencies.
(2) This review shall include a brief survey of the
workplace, focusing on any high hazard areas.
(3) A partial inspection may be expanded, in consultation
with the Area Director, based on the following factors:
(a) Lack of comprehensive safety and health
management program. (See D.8.a.(2) and Chapter
III Appendix, "Narrative," B.18.)
(b) Significant deficiencies in critical programs
such as respiratory protection programs, hazard
communication, lockout/tagout, wire rope
inspection for cranes, or fire protection programs.
(c) Moderate to high gravity serious violations of
safety and health standards uncovered during the
plant tour.
(d) Concentrations of injuries or illnesses in
specific areas of the plant.
(e) Has a high injury and illness rate relative to
their industry (SIC).
(4) If it is determined to expand the inspection, the
employer shall be immediately so notified.
(5) Observed violations shall be documented and cited
appropriately.
8. Walkaround Inspection. The main purpose of the walkaround
is to identify potential safety and/or health hazards in the
workplace. The CSHO shall conduct the inspection in such a
manner as to eliminate unnecessary personal exposure to hazards
and to minimize unavoidable personal exposure to the extent
possible.
a. General Procedures. It is essential during the walkaround
portion of every inspection for the CSHO to:
(1) Become familiar with plant processes, collect information
on hazards, observe employees' activities and interview
them as appropriate.
(a) For health inspections, a preliminary tour of the
establishment normally shall be accomplished
before any decision to conduct an in-depth
industrial hygiene investigation.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(b) Such a preliminary walkaround shall survey existing
engineering controls and collect screening samples,
when appropriate, to determine the need for
full-scale sampling.
1 If screening reveals potentially high
exposure levels, a comprehensive health
inspection shall be conducted.
2 If screening samples must be sent to the
laboratory for analysis, the employer shall
be so informed.
a If the laboratory results show that
potentially high employee exposure
levels exist, full-scale sampling of the
potentially hazardous areas will be
conducted.
b If the results are negative, the file
will be closed.
(2) Evaluate the employer's safety and health program
(whether written or not) as follows:
(a) By ascertaining the degree to which the employer
is aware of potential hazards present in the
workplace and the methods in use to control them:
1 What plans and schedules does the
employer have to institute, upgrade and
maintain engineering and administrative
controls?
2 What is the employer's work practices
program?
(b) By determining employee knowledge of any hazards
which exist in the establishment; the extent to
which the employer's program covers the
precautions to be taken by employees actually or
potentially exposed to plant hazards; emergency
procedures and inspection schedules for emergency
personal protective equipment; the program for the
selection, use and maintenance of routine personal
protective equipment; and overall quality and
extent of the educational and training program and
the degree of employee participation in it.
1 Compliance with the training requirements
of any applicable safety and/or health
standard shall be determined.
2 The following specific elements of the
establishment safety and health program
shall be evaluated in the detail appropriate
to the circumstances of the inspection:
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
a Comprehensiveness. Evaluate the
degree to which the employer's safety and
health program addresses the full range
of hazards normally encountered in the
employers operations. This is an overall
evaluation and shall take into account
the evalutions of the remaining categories.
Indicate whether the program is written.
b Communication.
Evaluate the employees' awareness of
the access to the safety and health
program, taking into account the principal
means by which the program is communicated
to them (e.g., oral instructions, booklets,
memorandums, posters, etc.). Consider
whether safety meetings are held by the
employer, their frequency and the persons
conducting them (e.g., crew foremen,
intermediate level supervisors, safety
director, etc.). The effectiveness of
these means shall be considered in the
evaluation.
c Enforcement. Evaluate the degree
to which safety and health rules are
actually enforced, taking into account
the principal methods used (e.g.,
warnings, written disciplinary action,
discharge, etc.) and the effectiveness of
these methods. Determine whether there
is a staff (or one specific person)
with assigned safety or health
responsibilities and consider the
effectiveness of the staff's performance.
d Safety/Health Training Program.
Evaluate separately any safety and health
training programs the employer has.
Factors to be considered include the need
for special training in view of the
hazards likely to be encountered or of
specific requirements for such training
and the need for ongoing or periodic
training or retraining of employees.
e Investigations. Evaluate the
employer's efforts to make accident/
injury/illness investigations and
indicate whether adequate corrective
and preventive actions are taken as a
result.
(3) Determine compliance with specific performance standards
that require emphases such as hazard communication and
lockout/tagout.
(4) Identify locations and conditions that recieved citations
during a previous inspection and include follow-up or
monitoring activities as part of the walkaround to
ensure proper abatement or to determine abatement
progress, if the citations are a final, unstayed order
of the Review Commission. Follow-up and monitoring
activities do not constitute a separate inspection
when they are conducted as part of another investigation.
No separate
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
OSHA-1 should be submitted. Follow-ups will normally
be conducted within three years.
(a) Record all facts pertinent to an apparent failure
to abate, repeated or willful violation on the
appropriate compliance worksheets, as described in
D.8.a.(5).
(b) Determine if a letter of abatement previously
received from the employer accurately described the
correction of a previously cited violation.
(c) Apparent violations shall be brought to the
attention of employer and employee representatives
at the time they are documented.
(5) Record all facts pertinent to an apparent violation
on the appropriate compliance worksheets. Apparent
violations shall be brought to the attention of employer
and employee representatives at the time they are
documented.
(a) All notes, observations, analyses, and other
information shall be either recorded on the
worksheet or attached to it.
1 Because this documentation is required for
each instance of an alleged violation, the
CSHO shall normally use one worksheet to
describe each instance as it is note.
2 If identical violations of the same
standard or of several related standards are
noted in one general location in the
establishment and if the documentation is
essentially the same, all of those violations
may be treated as a single instance description
and only one worksheet need be completed for
that instance.
3 Photographs, videotapes, sketches, and
descriptions that are attached to the
worksheet are part of the inspection record
and shall be noted on the form. The original
field notes, as a basic documentation of the
violation, shall be attached to the worksheet
and retained in the case file. See OSHA
Instruction ADM 12.5, Pages D-8 and 9, for
filing arrangement .
(b) The CSHO shall provide as much detailed information
as practical to establish the specific
characteristics of each violation as follows:
1 Describe the observed hazardous conditions
or practices (i.e., the facts which constitute
a hazardous condition, operation or practice
and the essential facts as to how and/or why
a standard
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
is allegedly violated). Specifically identify
the hazards to which employees have been or
could be exposed. Describe the type of
accident which the violated standard was
designed to prevent in this situation, or
note the name and exposure level of any
contaminant or harmful physical agent to
which employees are, have been or could be
exposed. If more than one type of accident
or exposure could reasonably be predicted to
occur, describe the one which would result
in the most serioud injury illness. For the
type of accident described, include:
a All factors about the violative
condition which could significantly affect
the nature and severity of the resulting
of the resulting injuries, (e.g., "fall
of 20 feet (6 meters) onto protruding
rebar"; "fall into water-filled
excavation")
b Other factors which could affect the
probability that an injury would occur,
such as:
o Proximity of the workers to the
point of danger of the operation.
o Stress producing characteristics of
the operation (e.g., speed, heat,
repetitiveness, noise, position of
employee).
c For contaminants and physical agents,
any additional facts which clarify the
nature of employee exposure.
d The identification of the equipment
and process which pose the hazards, i.e.,
serial numbers, equipment types, trade
names, manufacturers, and etc. Include
a sketch when appropriate.
e The specific location of the violation:
o Building No. 3, second floor, column
no. 6.
o Machine Shop, N.E. corner, Department
12.
o Foundry, N.W. corner, shakeout area.
f State the nature of the more serious
types of injury or illness which it is
reasonably predictable and could result
from the accident or health exposure.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
o Thus, the entry for the "fall from
20 feet (6 meters) onto
protruding rebar" might read "death
rebar" might read "death from
multiple injuries." For exposure
to asbestos, the entry might read
"asbestosis, cancer and death."
o Broad categories of injuries and
health effects (such as "electric
shock," "burns," or "lacerations")
shall be qualified to indicate
whether the injuries or health
effects are major or minor.
o In identifying the illnesses which
a standard regulating exposure to an
air contaminant or harmful physical
agent is designed to prevent in a
particular worksite, it may be
necessary to consider not only the
level of exposure but also the
frequency and duration of exposure
to the contaminant or agent.
g Any specific measurements taken
during the inspection (e.g., "20 ft.
(6 m) distance from top of scaffold
platform to ground level"; "employee
standing 2 ft. (60 cm) from
unguarded floor edge"; "employee seated
2 ft. (60 cm) from source of metal
fumes") which will further document
the nature of the hazardous conditions
and operations.
o Describe how measurements were
taken during the inspection.
o Identify the measuring techniques
and equipment used and those who
were present; i.e., employee
or employer representative who
observed the measurements being
taken.
o Include calibration dates and
description of calibration procedures
used, if appropriate.
h Exposure facts so as to present a
picture of employee exposure to the
hazard for each particular occupation,
including:
o The occupation and the employer of
the exposed employees if the
employer is different from the one
on the corresponding OSHA-1.
o The number of exposed employees in
that occupation.
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(c) A transcription of a recorded statement shall be
made if necessary; the transcription shall meet
the requirments of D.8.d(5)(a) and (b).
e. Special Circumstances.
(1) Trade Secrets. Trade secrets are matters that are
not of public or general knowledge. A trade secret is
any confidential formula, pattern, process, equipment,
list, blueprint, device or compilation of information
used in the employer's business which gives an
advantage over competitors who do not know or use it.
(a) Policy. It is essential to the effective
enforcement of the Act that the CSHO and all
OSHA personnel preserve the confidentiality of all
information and investigations which might reveal
a trade secret.
(b) Restrictions and Controls. When the employer
identifies an operation or condition as a trade
secret, it shall be treated as such. Information
obtained in such areas, including all negatives,
photographs, videotapes, and OSHA documentation
forms, shall be labeled:
"ADMINISTRATIVELY CONTROLLED INFORMATION"
"RESTRICTED TRADE INFORMATION"
1 Under Section 15 of the Act, all
information reported to or obtained by a
CSHO in connection with any inspection or
other activity which contains or which
might reveal a trade secret shall be kept
confidential. Such information shall not
be disclosed except to other OSHA officials
concerned with the enforcement of the Act or,
when relevant, in any proceeding under the
Act.
2 Title 18 of the United States Code,
Section 1905, provides criminal penalties
for Federal employees who disclose such
information. These penalties include fines
of up to $1,000 or inprisonment of up to
one year, or both, and removal from office
or employment.
3 Trade secret materials shall not be
labeled as "Top Secret," "Secret,"
or "Confidential," nor shall these
security classification
designations be used in conjunction
with other words unless the trade
secrets are also classified by an
agency of the U.S. Government in
the interest of national security.
(c) Photographs and Videotapes. If the
employer objects to the taking of
photographs and/or videotapes because
trade secrets would or may be disclosed,
the CSHO should advise the employer of
the protection
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December 13, 1993
Office of General Industry Compliance Assistance
against such disclosure afforded by
Section 15 of the Act and 29
CFR 1903.9. If the employer still
objects, the CSHO shall contact the
supervisor.
(2) Areas Requiring Immunization. If, during an
inspection, a non-immunized CSHO encounters
an area requiring immunization, the CSHO
shall not enter that area but shall note a
description of the area, immunization
required, employees exposed, location and
other pertinent information in the case file.
(a) Nonimmunized CSHO. The CSHO shall
consult with the supervisor about
scheduling a properly immunized CSHO
for an immediate or later inspection, as
applicable. The CSHO shall then
complete the inspection of all other
areas of the establishment.
(b) Nonimmunized Walkaround Representative.
If, during an inspection, a properly
immunized CSHO finds that walkaround
representatives of employers and
employees are not properly
immunized and, therefore, not authorized
in the area, a reasonable number of
employees and the supervisor of that
area shall be consulted concerning
workplace health and safety. (See B.7.
for additional information.)
(3) Violations of Other Laws. If a CSHO observes
apparent violations of laws enforced by other
government agencies, such cases shall be
referred to the appropriate agency.
Referrals shall be made using appropriate
Regional procedures.
9. Closing Conference. At the conclusion of an
inspection, the CSHO shall conduct a closing conference
with the employer and the employee representatives.
(On multi-employer worksites, the CSHO shall decide
whether separate closing conferences will be held with
each employer representative.) A joint closing
conference shall be held with the employer and the
employee representatives whenever practicable. Where
either party wishes to have a separate conference or
where it is not practical to hold a joint closing
conference, separate closing conferences shall be held.
A written summary of each conference shall be included
in the case file. A copy of the written summaries will
be available from the Area Director upon request by the
employer or the employee representatives.
a. General. The CSHO shall describe the apparent
violations found during the inspection and
indicate the applicable sections of the standards
which may have been violated. During the closing
conference, both the employer and the employee
representatives shall be advised of their rights
to participate in any subsequent conferences,
meetings or discussions.
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(2) Whether or not a plan is submitted before issuing a
citation, an abatement plan shall be provided for in
the citation in addition to a final abatement date.
(3) When the plan is submitted, if the engineering or
administrative corrections proposed by the employer
appear to be all that are feasible based on the
current technology, this fact may be stipulated and
agreed to between OSHA and the employer.
(a) Such an agreement shall permit
assurances in advance to the employer
that the establishment will be in
compliance where the provisions of the
plan are fully implemented.
(b) It shall be made clear in the agreement
that the employer is not relieved from
instituting further engineering (or
administrative) controls as they become
technically feasible, it is likely that
such further controls will lower
employee exposure when exposure without
personal protective equipment (PPE)
remains over the PEL.
(c) In all situations where an agreement is
proposed, the advice of the Regional
Solicitor shall be sought on the legal
implications.
(d) If an agreement is acceptable, the
Regional Solicitor shall be requested to
assist in drafting the agreement.
Agreements having interregional
implications shall be cleared with the
Director, Office of Field Programs.
(4) A statement agreeing to provide the affected
Area Offices with written periodic progress
reports shall be part of the long-term
abatement plan. (See Chapter II and Chapter
V for monitoring requirements.)
8. Multistep Abatement. Citations with multistep abatement
periods normally will be issued only in those
situations in which ultimate abatement will require the
implementation of feasible engineering controls, as
distinguished from feasible administrative controls or
the use of PPE. Multistep abatements shall be based on
the conditions cited and related feasibility
considerations.
a. General. A step-by-step program for abatement
provides a tool for the CSHO to monitor abatement
progress after a citation has been issued, for the
employer to make abatement decisions and to set up
schedules efficiently, and for the employees to
understand the changes being made to the working
environment.
(1) Although abatement of an air contaminant
citation normally requires the implementation
of feasible engineering and/or administrative
controls,
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Office of General Industry Compliance Assistance
abatement may be accomplished in rare cases
through the use of PPE, even when engineering
or administrative controls are feasible (see
E.8.c.(3)).
(2) In such cases the Regional Administrator
shall contact the Directorate of Compliance
Programs through the Office of Field Programs
prior to approving final abatement through
the use of PPE.
b. Interim and Long-range Abatement. When the cited
employer is found to have no effective personal
protection program, in addition to long-term
abatement through the use of feasible
administrative or engineering controls, proper
abatement will include a short-term requirement
that appropriate PPE be provided.
(1) The Area Director, in issuing the citation,
shall set a short-range abatement date for
prompt temporary protection to employees
pending formulation and implementation of
long-range feasible engineering and/or
administrative controls. Short-range
administrative controls and PPE shall be
specified in the citation as the interim
protection. (See Chapter V, Appendix, E.
(Page V-26) for examples.)
(2) If it has been determined that the employer
will use engineering controls to achieve
abatement, a specific date shall be set by
which the employer can reasonably be expected
to implement engineering controls, including
enough time for the development of
engineering plans and designs for such
controls, as well as necessary construction
or installation time.
c. Considerations. In providing for multistep
abatement the following factors shall be taken
into consideration:
(1) In general, engineering controls afford the
best protection to employees, and the
employer shall be required to utilize such
controls in all instances to the extent
feasible. The noise standards and 29 CFR
1910.1000 require the use of either
engineering or administrative controls if any
such controls are feasible. Engineering and
work practice controls are to be used in
preference to respirators and other personal
protective equipment. In certain circumstances,
administrative controls can be successful
in controlling employee exposure
to contaminants; e.g., maintenance operations
involving toxic substances can sometimes be
performed at night in the absence of the
usual production staff.
NOTE: Employee rotation is an
administrative control that OSHA
prohibits as a method of complying
with the permissible exposure
limits of carcinogens in the
following standards:
Asbestos 29 CFR 1910.1001(f)(2)(iv)
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29 CFR 1926.58(g)(3)
Cadmium 29 CFR 1910.1027(f)(1)(v)
29 CFR 1915.1027(f)(1)(v)
29 CFR 1926.63(f)(1)(iv)
Ethylene Oxide 29 CFR 1910.1047(f)(2)(iv)
HAZWOPER 29 CFR 1910.120(g)(1)(iii)
MDA 29 CFR 1910.1050(g)(3)
29 CFR 1926.60(h)(4)
(2) Economic feasibility is a major issue to be
considered when imposing such controls.
Requirements that would threaten the economic
viability of an entire industry cannot be
considered economically feasible under the
OSH Act.
(3) OSHA may decide not to require engineering
controls for abatement but to allow the use
of PPE to abate the violation, at least until
such time as engineering controls become a
less significant burden for the company when
the following conditions are met:
(a) If significant reconstruction of a
single establishment involving a capital
expenditure which would seriously
jeopardize the financial condition of
the company is the only method whereby
the employer could achieve effective
engineering controls;
(b) If there are no feasible administrative
or work practice controls; and
(c) If adequate personal protective
equipment or devices are available.
(4) Proper evaluation of the economic feasibility
of engineering or administrative controls
does not require the Area Director to
understand all available economic information
before deciding that the issue of potential
economic infeasibility is involved. It is
sufficient that the employer produce evidence
of economic hardship adequate to convince the
Area Director that abatement by such controls
would involve considerable financial
difficulty.
(5) Whenever an employer complains that an
unbearable economic burden would result from
implementation of engineering or
administrative controls, the Area Director
shall request evidence from the employer.
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(a) Such evidence shall address the
reasonableness of the estimated costs of
engineering or administrative controls,
including installation, maintenance, and
lost productivity, whenever applicable,
as well as the progress of the employer
compared to that of industry in
installing such controls.
(b) The relative costs of engineering or
administrative controls versus PPE may
also be provided. Such comparisons
shall take replacement costs into
account.
(6) The Area Director shall discuss the problem
with the Regional Administrator, whenever
appropriate. The Regional Administrator
shall determine whether engineering controls
are economically infeasible. In cases with
potential national implications, the decision
(together with supporting evidence) shall be
brought to the attention of the Director of
Compliance Programs through the Director of
Field Programs.
(7) In those limited situations where there are
no feasible engineering or administrative
controls, full abatement can be allowed by
PPE.
9. Petitions for Modification of Abatement Date (PMA). 29
CFR 1903.14a governs the disposition of PMAs. If the
employer requests additional abatement time after the
15-working-day contest period has passed, the following
procedures for PMAs are to be observed:
a. Filing Date. A PMA must be filed in writing with
the Area Director who issued the citation no later
than the close of the next working day following
the date on which abatement was originally
required.
(1) If a PMA is submitted orally, the employer
shall be informed that OSHA cannot accept an
oral PMA and that a written petition must be
mailed by the end of the next working day
after the abatement date. If there is not
sufficient time to file a written petition,
the employer shall be informed of the
requirement of E.9.a.(2).
(2) A late petition may be accepted only if
accompanied by the employer's statement of
exceptional circumstances explaining the
delay.
b. When a PMA Is Anticipated. Whenever a citation
for engineering controls or other violation which
the Area Director believes can reasonably be
expected to give rise to a future PMA, the
following procedures shall apply:
(1) A followup date 45 days prior to the final
abatement date shall be entered into the
information retrieval system used by the Area
Office. When that
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followup date arrives, the file
shall be pulled and reviewed by the
supervisor and the CSHO involved.
(2) After review, the Area Director shall contact
the employer to determine abatement progress.
Information on the status of abatement shall
be obtained and documented in the case file.
The potential need for additional time shall
be discussed with the employer. If the
employer indicates that more time will be
necessary to complete correction of the
citations, this need shall be documented; and
the procedures for seeking a PMA shall be
explained.
c. Requirements for a PMA. If a letter is received
from an employer requesting a modification of an
abatement date, the Area Director shall ensure
that all of the following five requirements listed
in 29 CFR 1903.14a are set forth in sufficient
detail in the employer's petition:
(1) All steps taken by the employer and the dates
of such action in an effort to achieve
compliance during the prescribed abatement
period.
(2) The specific additional abatement time
estimated to achieve compliance.
(3) The reasons such additional time is
necessary, including the unavailability of
professional or technical personnel or of
materials and equipment, or because necessary
construction or alteration of facilities
cannot be completed by the original abatement
date.
(4) Interim steps being taken to safeguard the
employees against the cited hazard during the
abatement period.
(5) Written certification, including a copy of
the posted and served petition and the date
upon which such posting and service was made,
that a copy of the petition addressing, as
appropriate, each of the requirements set
forth in (1) through (4) of this subsection:
(a) Has been posted in a conspicuous place
near the location where the violation
occurred or where all affected employees
will have notice thereof. The petition
shall remain posted for 10 working days.
(b) Has been served on the authorized
representative of affected employees
where affected employees are
represented by an authorized
representative.
d. Failure to Meet All Requirements. If the
employer's letter does not meet all the
requirements of E.9.c., a letter spelling out
these requirements and identifying the
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missing elements shall be sent to the employer
within 10 working days, specifying a reasonable
amount of time for the employer to return the
completed PMA.
(1) If no response is received or if the
information returned is still insufficient, a
second attempt (by telephone or in writing)
shall be made. The employer shall be
informed of the consequences of a failure to
respond adequately; namely, that the PMA will
not be granted and the employer may, conse-
quently, be found in failure to abate.
(2) If the employer responds satisfactorily be
telephone and the Area Director determines
that the requirements for the PMA have been
met, appropriate documentation shall be
placed in the case file.
e. Abatement Efforts. The Area Director shall take
the steps necessary to ensure that the employer is
making a good faith attempt to bring about
abatement as expeditiously as possible.
(1) Where engineering controls have been cited or
required for abatement, a monitoring
inspection shall be scheduled to evaluate the
employer's abatement efforts. Failure to
conduct a monitoring inspection shall be
fully explained in the case file.
(2) Where no engineering controls have been cited
but more time is needed for other reasons not
requiring assistance from OSHA, such as
delays in receiving equipment, a monitoring
visit need not normally be scheduled.
(3) Monitoring inspections shall be scheduled as
soon as possible after the initial contact
with the employer and shall not be delayed
until actual receipt of the PMA. (See
E.9.b.(2).)
(4) The CSHO shall decide during the monitoring
inspection whether sampling is necessary and,
if so, to what extent; i.e., spot sampling,
short-term sampling, or full-shift sampling.
(5) The CSHO shall include pertinent findings in
the narrative along with recommendations for
action. To reach a valid conclusion when
recommending action, it is important to have
all the relevant factors available in an
organized manner. The following factors
shall be considered:
(a) Progress reports or other indications of
the employer's good faith, demonstrating
effective use of technical expertise
and/or management skills, accuracy of
information reported by the employer,
and timeliness of progress reports.
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(b) The employer's assessment of the hazards
by means of surveys performed by in-
house personnel, consultants and/or the
employer's insurance agency.
(c) Other documentation collected by area
office personnel, including verification
of progress reports, success and/or
failure of abatement efforts, and
assessment of current exposure levels of
employees.
(d) Employer and employee interviews.
(e) Specific reasons for requesting
additional time including specific plans
for controlling exposure and specific
calendar dates.
(f) Personal protective equipment.
(g) Medical programs.
(h) Emergency action plans.
NOTE: Not all these factors will be
pertinent in every PMA review.
Neither are all the factors listed
which must be considered in every
case.
f. Delayed Decisions. Although OSHA policy is to
handle PMAs as expeditiously as possible, there
are cases where the Area Director's decision on
the PMA is delayed because of deficiencies in the
PMA itself, a decision to conduct a monitoring
inspection and/or the need for Regional Office or
National Office involvement. Requests for
additional time (e.g., 45 days) for the Area
Director to formulate a position shall be sent to
the Review Commission through the Regional
Solicitor. A letter conveying this request shall
be sent at the same time to the employer and the
employee representatives.
g. Area Office Position on the PMA. After 15 working
days following the PMA posting, the Area Director
shall determine the Area Office position, agreeing
with or objecting to the request. This shall be
done within 10 working days following the 15 days
(if additional time has not been requested from
the Review Commission). The following action
shall be taken:
(1) If the PMA requests an abatement date which
is one year or less from the issuance date of
the citation, the Area Director has the
authority to approve or object to the
petition.
(2) Any PMA requesting an abatement date which is
more than one year from the issuance date of
the citation requires the approval of the
Regional Administrator as well as the Area
Director.
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(3) If the PMA is approved, the Area Director
shall notify the employer and the employee
representatives by letter.
(4) If, after a second contact with the employer,
the information required under E.9.c.
continues to be substantially insufficient,
the Area Director shall contact the Regional
Administrator who, after consultation with
the Regional Solicitor, shall object to the
PMA. The relevant documentation shall be
filed with the Review Commission in
accordance with 29 CFR 1903.14a(d).
(5) If supporting evidence justifies it (e.g.,
employer has taken no meaningful abatement
action at all or has otherwise exhibited bad
faith), the Area Director or the Regional
Administrator, as appropriate and after
consultation with the Regional Solicitor,
shall object to the PMA. In such a case, all
relevant documentation shall be sent to the
Review Commission in accordance with 29 CFR
1903.14a(d). Both the employer and the
employee representatives shall be notified of
this action by letter, with return receipt
requested.
(a) The letters of notification of the
objection shall be mailed on the same
date that the agency objection to the
PMA is sent to the Review Commission.
(b) When appropriate, after consultation
with the Regional Solicitor, a failure
to abate notification may be issued in
conjunction with the objection to the
PMA.
NOTE: If no objection is filed
within the time frame in
E.9.g., the PMA is
automatically granted even if
not explicitly approved.
h. Employee Objections. Affected employees or their
representatives may file an objection in writing
to an employer's PMA with the Area Director within
10 working days of the date of posting of the PMA
by the employer or its service upon an authorized
employee representative.
(1) Failure to file such a written objection with
the 10-working-day period constitutes a
waiver of any further right to object to the
PMA.
(2) If an employee or an employee representative
objects to the extension of the abatement
date, all relevant documentation shall be
sent to the Review Commission.
(a) Confirmation of this action shall be
mailed (return receipt requested) to the
objecting party as soon as it is
accomplished.
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(b) Notification of the employee objection
shall be mailed (return receipt
requested) to the employer on the same
day that the case file is forwarded to
the Commission.
F. Employer Abatement Assistance.
1. Policy. CSHOs shall offer appropriate abatement
assistance during the walkaround as to how workplace
hazards might be eliminated. The information shall
provide guidance to the employer in developing
acceptable abatement methods or in seeking appropriate
professional assistance.
2. Type of Assistance. The type of abatement assistance
provided will depend on the needs of the employer and
the complexity of the hazard. Where standards specify
abatement methods, such as guarding of belts and
pulleys, the CSHO shall, at a minimum, ensure that the
employer is aware of the specifications. For more
complex problems, the CSHO shall offer general
information on types of controls or procedures commonly
used to abate the hazard. Alternative methods shall be
provided whenever possible. (See E.6 for more specific
requirements on health inspections.)
3. Disclaimers. The employer shall be informed that:
a. The employer is not limited to the abatement
methods suggested by OSHA;
b. The methods explained are general and may not be
effective in all cases; and
c. The employer is responsible for selecting and
carrying out an effective abatement method.
4. Procedures. Information provided by OSHA to assist the
employer in identifying possible methods of abatement
for alleged violations shall be provided to the
employer as it becomes available or necessary. The
issuance of citations shall not be delayed.
a. Assistance Provided During An Inspection. CSHOs
shall utilize their knowledge and professional
experience in providing the employer with
abatement assistance during the inspection.
(1) Before leaving an inspection site and,
preferably, during the walkaround when an
apparent violation is noted, CSHOs shall
determine whether the employer wishes to
discuss possible means of abating apparent
violations. The discussion may continue at
the closing conference.
(2) CSHOs shall briefly document abatement
information provided to the employer or the
employer's negative response to the offer of
assistance on the appropriate OSHA-1B Form.
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b. Assistance Provided After An Inspection. If a
CSHO cannot provide assistance during an
inspection or if the employer has abatement
questions after the inspection, the Area Director
shall ensure that additional information, if
available, is obtained and provided as soon as
possible to the employer. Any communications with
the employer shall be documented in the case file.
5. Services Available to Employers. Employers requesting
abatement assistance shall be informed that OSHA is
willing to work with them even after citations have
been issued. In addition, employers shall be made
aware of the availability of OSHA-funded State
Consultation Services for which they may qualify. (See
D.9.b.(17).)
G. Informal Conferences.
1. General. Pursuant to 29 CFR 1903.19, the employer, any
affected employee or the employee representative may
request an informal conference.
NOTE: An informal conference may not be scheduled
after receipt of a written Notice of Intent
to Contest without prior approval of the
Regional Solicitor. If the intent to contest
is not clear, the Area Director shall contact
the employer for clarification.
2. Procedures. Whenever an informal conference is
requested by the employer, an affected employee or the
employee representative, both parties shall be afforded
the opportunity to participate fully. If the
requesting party objects to the attendance of the other
party, separate informal conferences shall be held.
During the conduct of a joint informal conference,
separate or private discussions shall be permitted if
either party so requests.
a. Notification of Participants. After an informal
conference has been scheduled, the Area Director
shall notify the affected parties of the date,
time and place, by telephone and, if considered
useful, in writing.
(1) The employer shall be requested to complete
and post the form found at the end of the
informal conference letter until after the
informal conference has been held.
(2) Documentation of the Area Director's actions
notifying the parties of the informal
conference shall be placed in the case file.
b. Telephone Conferences. The agency believes that
better settlements can be arrived at by means of
personal conferences between the Area Director and
the employer; consequently, informal conferences
shall normally not be held by telephone.
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(1) When circumstances exist (e.g., the employer
or the employee representatives would be
required to travel long distances, there is
insufficient time remaining for travel, or
only the penalty amount is likely to be at
issue) which the Area Director believes will
justify a telephone conference, such
circumstances shall be documented in the case
file.
(2) If a telephone conference is held, all of the
procedures regarding notification of affected
parties, participation of OSHA officials,
conduct of the conference, documentation of
discussions, and decision-making, outlined in
G.2.a., c., d., and e., shall be followed as
far as practicable.
(3) The reasons justifying any departures from
those procedures shall be explained in the
case file.
c. Participation by OSHA Officials. The inspecting
CSHOs and their supervisors shall be notified of
an upcoming informal conference and, if
practicable, given the opportunity to participate
in the informal conference (unless, in the case of
the CSHO, the Area Director anticipates that only
a penalty adjustment will result). They shall be
advised of any changes made by the Area Director
in the event that they were unable to participate.
(1) In complex cases, in order to ensure that
discussions of any possible settlement or
modifications to the citation(s) and/or
penalty may be completely and accurately
recalled, at least one other OSHA employee
(in addition to the Area Director) may be
present at the informal conference. This
employee may be the CSHO, supervisor, a
clerical staff member, or other assigned
person.
(2) A second OSHA staff member (compliance
officer, supervisor, or other assigned
person) shall attend all informal conferences
in the following situations:
(a) Cases which involve total proposed
penalties of $100,000 or more.
(b) Cases which are so lengthy or complex
that an additional individual is needed
to provide assistance to the principal
OSHA representative.
(3) The Area Director shall ensure that notes are
made indicating the basis for any decisions
taken at or as a result of the informal
conference. It is appropriate to tape record
the informal conference and to use the tape
recording in lieu of written notes, but the
tape recording is not a substitute for the
second OSHA conference participant under
paragraph (2) above.
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d. Conduct of the Informal Conference. The Area
Director shall conduct the informal conference in
accordance with the following guidelines:
(1) Opening Remarks. The opening remarks shall
include discussions of the following:
(a) Purpose of the informal conference.
(b) Rights of participants.
(c) Contest rights and time restraints.
(d) Limitations, if any.
(e) Settlements of cases.
(f) Other relevant information.
(2) Conference. The conference shall include
discussion of any relevant matters including
citations, safety and health programs,
conduct of the inspection, means of
correction, and penalties, in accordance with
the following:
(a) All parties shall be encouraged to
participate fully so their views can be
properly considered.
(b) Positions on all issues discussed shall
be fully considered before making a
determination regarding possible
settlement of the case in accordance
with current OSHA procedures.
(c) OSHA representatives shall make every
effort to assist both the employer and
the affected employees and/or their
representatives to improve safety and
health in the workplace.
(d) If the Area Director states any views on
the legal merits of the employer's
contentions, it should be made clear
that those views are personal opinions
only.
(3) Closing. At the conclusion of the discussion
the main issues and potential courses of
action shall be summarized. A copy of the
summary, together with any other relevant
notes or tapes of the discussion made by the
Area Director, shall be placed in the case
file.
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e. Decisions. At the termination of the informal
conference, the Area Director shall make a
decision as to what action is appropriate in the
light of facts brought up during the conference.
(1) When preparing to make a decision to settle a
case, the Area Director shall make a
reasonable effort to obtain the views of the
employee representative, if there is one and
if he/she was not in attendance at the
conference. (There is no need to contact the
employee representative if only a penalty
adjustment is involved.)
(2) Changes to citations, penalties or abatement
dates normally shall be made by means of an
informal settlement agreement in accordance
with current OSHA procedures; the reasons for
such changes shall be documented in the case
file.
(3) Employers shall be informed that they are
required by 29 CFR 1903.19 to post copies of
all amendments to the citation resulting from
informal conferences. Employee
representatives must also be provided with
copies of such documents. This regulation
covers amended citations, citation
withdrawals and settlement agreements.
(4) Affected parties shall be notified of the
results and/or decisions of the informal
conference in accordance with current OSHA
procedures.
(5) The CSHOs who conducted the inspection and
their supervisors shall be informed of the
results and/or decisions of informal
settlement agreements and/or amended
citations.
(6) For more detail on settlement agreements, see
Chapter V, H.
f. Failure to Abate. If the informal conference
involved an alleged failure to abate, the Area
Director may set a new abatement date in the
informal settlement agreement, documenting for the
case file the time that has passed since the
original citation, the steps that the employer has
taken to inform the exposed employees of their
risk and to protect them from the hazard, and the
measures that will have to be taken to correct the
condition.
(1) One a new abatement date has been set, a
modification of abatement date following
current IMIS procedures shall be entered into
the data system.
(2) A letter shall be sent to the employer
reminding him/her in the strongest possible
terms that abatement is legally required if
no written notice of contest is submitted
within the contest period for the
Notification of Failure to Abate Alleged
Violation.
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(3) The employer shall also be reminded that if
there is any problem in meeting the new
abatement date after it becomes a final
order, a written PMA must be filed with the
Area Director in accordance with E.9.a.
H. Followup Inspections.
1. Inspection Procedures. The primary purpose of a
followup inspection is to determine if the previously
cited violations have been corrected. Normally, there
shall be no additional inspection activity unless, in
the judgment of the CSHO, there have been significant
changes in the workplace which warrant further
inspection activity. In such a case, the supervisor
shall be consulted.
2. Failure to Abate. A failure to abate exists when the
employer has not corrected a violation for which a
citation has been issued or has not complied with
interim measures involved in a multi-step abatement
within the time given.
a. Initial Followup. The initial followup is the
first followup inspection after issuance of the
citation.
(1) If a violation is found not to have been
abated, the CSHO shall inform the employer
that the employer is subject to a
Notification of Failure to Abate Alleged
Violation and proposed additional daily
penalties while such failure or violation
continues.
(2) Failure to comply with enforceable interim
abatement dates involving multi-step
abatement shall be subject to a Notification
of Failure to Abate Alleged Violation.
(3) Where the employer has implemented some
controls, but other technology was available
which would have brought the levels of
airborne concentrations or noise to within
the regulatory requirements, a Notification
of Failure to Abate Alleged Violation
normally shall be issued. If the employer
has exhibited good faith, a late PMA for
extenuating circumstances may be considered
in accordance with E.9.a.(2).
(4) Where an apparent failure to abate by means
of engineering controls is found to be due to
technical infeasibility, no failure to abate
notice shall be issued; however, if proper
administrative controls, work practices or
personal protective equipment are not
utilized, a Notification of Failure to Abate
Alleged Violation shall be issued.
(5) There may be times during the initial
followup when, because of an employer's
flagrant disregard of a citation or an item
on a citation, or other factors, it will be
apparent that additional administrative
enforcement actions will be futile. In such
cases, action shall be initiated under
Section
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11(b) of the Act in the U.S. Court of
Appeals. The Area Director shall notify the
Regional Administrator, in writing, of all
the particular circumstances of the case for
referral to the Regional Solicitor.
b. Second Followup. Any subsequent followup after
the initial followup dealing with the same
violations is a second followup.
(1) After the Notification of Failure to Abate
Alleged Violation has been issued, the Area
Director shall allow a reasonable time for
abatement of the violation before conducting
a second followup. If the employer contests
the proposed additional daily penalties, a
followup inspection shall still be scheduled
to ensure correction of the original
violation.
(2) If a second followup inspection reveals the
employer still has not corrected the original
violations, a second Notification of Failure
to Abate Alleged Violation with additional
daily penalties shall be issued if the Area
Director, after consultation with the
Regional Administrator and Regional
Solicitor, believes it to be appropriate. If
a Notification of Failure to Abate Alleged
Violation and additional daily penalties are
not to be proposed, the Area Director shall
immediately contact the Regional
Administrator, in writing, detailing the
circumstances so the matter can be referred
to the Regional Solicitor for action, as
appropriate, in the U.S. Court of Appeals in
accordance with Section 11(b) of the Act.
3. Reports. The applicable identification and description
sections of the OSHA-1B/1B-IH Form shall be used for
documenting correction of willful, repeated and serious
violations and failure to correct items during followup
inspections. If violation items were appropriately
grouped in the OSHA-1B/1B-IH in the original case file,
they may be grouped on the followup OSHA-1B, if not,
individual OSHA-1B/1B-IH Forms shall be used for each
item. The correction of other-than-serious violations
may be documented in the narrative portion of the case
file.
a. Proper Documentation. The correction
circumstances observed by the CSHO shall be
specifically described in the OSHA-1B/1B-IH,
including any applicable dimensions, materials,
specifications, personal protective equipment,
engineering controls, measurements or readings, or
other conditions. Brief terms such as "corrected"
or "in compliance" will not be accepted as proper
documentation for violations having have been
corrected. When appropriate this written
description shall be supplemented by a photograph
and/or a videotape to illustrate correction
circumstances. Only the item description and
identification blocks need be completed on the
followup OSHA-1B/1B-IH with an occasional
inclusion of an applicable employer statement
concerning correction under the employer knowledge
section, if appropriate.
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b. Sampling. The CSHO conducting a followup
inspection to determine compliance with violations
of air contaminants and noise standards shall
decide whether sampling is necessary, and if so,
what kind; i.e., spot sampling, short-term
sampling or full-shift sampling. If there is
reasonable probability of an issuance of a
Notification of Failure to Abate Alleged
Violation, full-shift sampling is required.
c. Narrative. The CSHO shall include in the
narrative the findings pursuant to the inspection,
along with recommendations for action. In order
to reach a valid conclusion when recommending
action, it is important to have all the pertinent
factors available in an organized manner.
d. Failure To Abate. In the event that any item has
not been abated, complete documentation shall be
included on an OSHA-1B.
4. Followup Files. The followup inspection reports shall
be included with the original (parent) case file.
I. Conduct of Monitoring Inspection (PMAs and Long-Term
Abatement).
1. General. An inspection shall be classified as a
monitoring inspection when a safety/health inspection
is conducted for one or more of the following purposes:
a. To determine the progress an employer is making
toward final correction.
b. To ensure that the target dates of a multi-step
abatement plan are being met.
c. To ensure that an employer's petition for the
modification of abatement dates is made in true
and good faith and that the employer has attempted
to implement necessary controls as expeditiously
as possible.
d. To ensure that the employees are being properly
protected until final controls are implemented.
e. To ensure that the terms of a permanent variance
are being carried out.
f. To provide abatement assistance for items under
citation.
2. Procedures. Monitoring inspections shall be conducted
in the same manner as followup inspections described
under H of this chapter.
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(b) Employer Recognition. A recognized
hazard can be established by evidence of
actual employer knowledge. Evidence of
such recognition may consist of written
or oral statements made by the employer
or other management or supervisory
personnel during or before the OSHA
inspection.
1 Company memorandums, safety
rules, operating manuals or
operating procedures, and
collective bargaining
agreements may reveal the
employer's awareness of the
hazard. In addition,
accident, injury and illness
reports prepared for OSHA,
workmen's compensation, or
other purposes may show this
knowledge.
2 Employee complaints or
grievances to supervisory
personnel may establish
recognition of the hazard, but
the evidence should show that
the complaints were not merely
infrequent, off-hand comments.
3 The employer's own corrective
action may serve as the basis
for establishing employer
recognition of the hazard if
the employer did not
adequately continue or
maintain the corrective action
or if the corrective action
did not afford any significant
protection to the employees.
(c) Common-sense Recognition. If
industry or employer recognition of the
hazard cannot be established in
accordance with (a) and (b), recognition
can still be established if it is
concluded that any reasonable person
would have recognized the hazard. This
theory of recognition shall be used only
in flagrant cases.
EXAMPLE: In a general industry
situation, a court has held that any
reasonable person would recognize that
it is hazardous to dump bricks from an
unenclosed chute into an alleyway
between buildings which is 26 feet (7.8
meters) below and in which unwarned
employees work. (In construction,
5(a)(1) could not be cited in this
situation because 29 CFR l926.252 or
1926.852 applies.)
(3) The Hazard Was Causing or Was Likely to
Cause Death or Serious Physical Harm. This
element of a Section 5(a)(1) violation is
virtually identical to the substantial
probability element of a serious violation
under Section 17(k) of the Act. Serious
physical harm is defined in B.1. of this
chapter. This element of a Section 5(a)(1)
violation can be established by showing that:
(a) An actual death or serious injury
resulted from the recognized hazard,
whether immediately prior to the
inspection or at other times and places;
or
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(b) If an accident occurred, the likely
result would be death or serious
physical harm. For example, an employee
is standing at the edge of an unguarded
piece of equipment, 25 feet (7.6 meters)
above the ground. Under ese
circumstances if the falling incident
occurs, death or serious physical harm
(e.g., broken bones) is likely.
(c) In a health context, establishing
serious physical harm at the cited
levels may be particularly difficult if
the illness will require the passage of
a substantial period of time to occur.
Expert testimony is crucial to establish
that serious physical harm will occur
for such illnesses. It will generally
be easier to establish this element for
acute illnesses, since the immediacy of
the effects will make the causal
relationship clearer. In general, the
following must be shown to establish
that the hazard causes or is likely to
cause death or serious physical harm
when such illness or death will occur
only after the passage of a substantial
period of time:
1 Regular and continuing
employee exposure at the
workplace to the toxic
substance at the measured
levels reasonably could occur;
2 Illness reasonably could
result from such regular and
continuing employee exposure;
and
3 If illness does occur, its
likely result is death or
serious physical harm.
(4) The Hazard May Be Corrected by a Feasible
and Useful Method. To establish a Section
5(a)(1) violation the agency must identify a
method which is feasible, available and
likely to correct the hazard. The
information shall indicate that the
recognized hazard, rather than a particular
accident, is preventable.
(a) If the proposed abatement method would
eliminate or significantly reduce the
hazard beyond whatever measures the
employer may be taking, a Section
5(a)(1) citation may be issued. A
citation shall not be issued merely
because the agency knows of an abatement
method different from that of the
employer, if the agency's method would
not reduce the hazard significantly more
than the employer's method. It must
also be noted that in some cases only a
series of abatement methods will
alleviate a hazard. In such a case all
the abatement methods shall be
mentioned.
(b) Feasible and useful abatement methods
can be established by reference to:
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b. The four-step analysis as outlined below is
necessary to make the determination that an
apparent violation is serious. Apparent
violations of the general duty clause shall also
be evaluated on the basis of these steps to ensure
that they represent serious violations. The four
elements the CSHO shall consider are as follows:
(1) Step 1. The type of accident or health
hazard exposure which the violated standard
or the general duty clause is designed to
prevent.
(a) The CSHO need not establish the exact
way in which an accident, or health
hazard exposure would occur. The
exposure or potential exposure of an
employee is sufficient to establish that
an accident or health hazard exposure
could occur. However, the CSHO shall
note the facts which could affect the
severity of the injury or illness
resulting from the accident or health
hazard exposure.
(b) If more than one type of accident or
health hazard exposure exist which the
standard is designed to prevent, the
CSHO shall determine which type could
reasonably be predicted to result in the
most severe injury or illness and shall
base the classification of the violation
on that determination.
(c) The following are examples of a
determination of the type of accident or
health hazard exposure which a violated
standard is designed to prevent:
1 Employees are observed working
at the unguarded edge of an
open-sided floor 30 feet (9
meters) above the ground in
apparent violation of 29 CFR
1926.500(d)(1). This
regulation requires that the
edge of the open-sided floor
be guarded by standard
railings. The type of accident
which the violated standard is
designed to prevent
involves an employee falling
from the edge of the floor, 30 feet
(9 meters) to the ground below.
2 Employees are observed working
in an area in which debris is
located in apparent violation
of 29 CFR 1915.91(b). The
type of accident which the
violated standard is designed
to prevent involves an
employee tripping on
debris.
3 An 8-hour time-weighted
average sample reveals
regular, ongoing employee
overexposure to beryllium at
.004 mg/M3 in apparent
violation of 29 CFR
1910.1000(b)(1). This is .002
mg/M3 above the PEL of health
hazard exposure which the
violated standard is designed
to prevent.
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4 An 8-hour time-weighted
average sample reveals
regular, ongoing employee
overexposure to acetic acid at
20 ppm in violation of 29 CFR
1910.1000(a)(2). This is 10
ppm above the PEL of health
hazard exposure which the
violated standard is designed
to prevent.
(2) Step 2. The type of injury or illness
which could reasonably be expected to result
from the type of accident or health hazard
exposure identified in Step 1.
(a) In making this determination, the CSHO
shall consider all factors which would
affect the severity of the injury or
illness which could reasonably be
predicted to result from an accident or
health hazard exposure. The CSHO shall
not give consideration at this point to
factors which relate to the probability
that an injury or illness will occur.
The following are examples of a
determination of the types of injuries
which could reasonably be predicted to
result from an accident:
1 If an employee falls from the
edge of an open-sided floor 30
feet (9 meters) to the ground
below, that employee could
break bones, suffer a
concussion, or experience
other more serious injuries.
2 If an employee trips on
debris, that employee could
experience abrasions or
bruises, but it is only
marginally predictable that
the employee could suffer a
substantial impairment of a
bodily function. If, however,
the area were littered with
broken glass or other sharp
objects, it would be
reasonable to predict that an
employee who tripped on debris
could suffer a deep cut which
could require suturing.
(b) For conditions involving exposure to air
contaminants or harmful physical agents,
the CSHO shall consider the
concentration levels of the contaminant
or physical agent in determining the
types of illness which could reasonably
result from the condition. The Chemical
Information Manual, OSHA Instruction CPL
2-2.43A, shall be used to determine
toxicological properties of substances
listed as well as a Health Code Number.
A preliminary violation classification
shall be assigned in accordance with the
instructions given in C.6.a. of this
section.
(c) In order to support a preliminary
classification of serious, OSHA must
establish a prima facie case
that exposure at the sampled level
would, if representative of conditions
to which employees are normally exposed,
lead to illness. Thus the CSHO must
make every reasonable attempt to show
that the sampled exposure is in fact
representative of employee exposure
under normal working conditions. The
CSHO shall, therefore,
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identify and record all available
evidence which indicates the frequency
and duration of employee exposure. Such
evidence would include:
1 The nature of the operation
from which the exposure
results.
2 Whether the exposure is
regular and on-going or of
limited frequency and
duration.
3 How long employees have worked
at the operation in the past.
4 Whether employees are
performing functions which can
be expected to continue.
5 Whether work practices,
engineering controls,
production levels and other
operating parameters are
typical of normal operations.
(d) Where such evidence is difficult to
obtain or where it is inconclusive, the
CSHO shall estimate the frequency and
duration from the evidence available.
In general, if the evidence tends to
indicate that it is reasonable to
predict that regular, ongoing exposure
could occur, the CSHO shall presume such
exposure in determining the types of
illness which could result from the
violative condition. The following are
examples of determination of types of
illnesses which could reasonably result
from a health hazard exposure:
1 If an employee is exposed
regularly and continually to
beryllium at .004 mg/M3, it
is reasonable to predict that
berylliosis or cancer could
result.
2 If an employee is exposed
regularly and continually to
acetic acid at 20 ppm, it is
reasonable to predict that the
illness which could result,
viz., irritation to nose, eyes
throat, would not involve
serious physical harm.
(3) Step 3. Whether the types of injury or illness
identified in Step 2 couold include death or a form
of serious physical harm.
(a) In making this determination, the CSHO shall
utilize the following definition of
"serious physical harm":
1 Inpairment of the body in which part
of the body is made functionally useless
or is substantially reduced in efficiency
on or off the job. Such impairment may be
permanent or temporary, chronic or acute.
Injuries involving such impairment would
usually
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require treatment by a medical doctor.
Examples of injuries which constitute
such harm include:
a Amputation (loss of all or part
of a bodily appendage which
includes the loss of bone).
b Concussion.
c Crushing (internal, even though
skin surface may be intact).
d Fracture, simple or compound.
e Burn or scald, including
electric and chemical burns.
f Cut, laceration, or puncture
involving significant bleeding
and/or requiring suturing.
2 Illnesses that could shorten life or
significantly reduce physical or mental
efficiency by inhibiting the normal
function or a part of the body. Some
examples of such illnesses include
cancer, silicosis, asbestosis, byssinosis,
hearing impairment, central nervous system
impairment and visual impairment. Examples
of illnesses which constitute serious
physical harm include:
a Cancer.
b Poisoning (resulting from the
inhalation, ingestion or skin
absorption of a toxic substance
which adversely affects a
bodily system).
c Lung diseases, such a asbestosis,
silicosis, anmthrancosis.
d Hearing loss.
(b) The following are examples of determinations of
whether the types of injury or illnesses which
could reasonably result from an accident or health
hazard exposure could include death or serious
physical harm.
1 If an employee, upon falling 30 feet (9
meters) to the ground, suffers broken
bones or a concussion, that employee
would experience substantial
impairment of the usefulness of a part of
the body and would require treatment by a
medical doctor. This injury would
constitute serious physical harm.
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b Company officials were aware of a
continuing compliance problem but made
little or no effort to avoid violations.
EXAMPLE: Repeated issuance of citations
addressing the same or similar
conditions.
c An employer representative was not
aware of any legal requirement, but was
aware that a condition or practice was
hazardous to the safety or health of
employees and made little or no effort
to determine the extent of the problem
or to take the corrective action.
Knowledge of a hazard may be gained from
such means as insurance company reports,
safety committee or other internal
reports, the occurrence of illnesses or
injuries, media coverage, or, in some
cases, complaints of employees or their
representatives.
d In flagrant situations, willfulness
despite lack of knowledge of either a
legal requirement or the existence of a
hazard if the circumstances show that
the employer would have placed no
importance on such knowledge even if he
or she had possessed it.
(c) The violation of the standard caused the
death of an employee. In order to prove
that the violation of the standard
caused the death of an employee, there
must be evidence in the file which
clearly demonstrates that the violation
of the standard was the cause of or a
contributing factor to an employee's
death.
(2) Area Director Responsibilities. Although
it is generally not necessary to issue
"Miranda" warnings to an employer when a
criminal/willful investigation is in
progress, the Area Director shall seek the
advice of the Regional Solicitor on this
question.
(a) If the Area Director determines that
expert assistance is needed to prove the
causal connection between an apparent
violation of the standard and the death
of an employee, such assistance shall be
obtained in accordance with instructions
in Chapter III, B.5.
(b) Following the investigation, if the Area
Director decides to recommend criminal
prosecution, a memorandum containing
that recommendation shall be forwarded
promptly to the Regional Administrator.
It shall include an evaluation of the
possible criminal charges, taking into
consideration the greater burden of
proof which requires that the
Government's case be proven beyond a
reasonable doubt. In addition, if the
correction of the hazardous condition
appears to be an issue, this
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December 13, 1993
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shall be noted in the transmittal memorandum
because in most cases the prosecution of
a criminal/willful case delays the
affirmance of the civil citation and its
correction requirements.
(c) The Area Director shall normally issue a
civil citation in accordance with
current procedures even if the citation
involves allegations under consideration
for criminal prosecution. The Regional
Administrator shall be notified of such
cases, and they shall be forwarded to
the Regional Solicitor as soon as
practicable for possible referral to the
U.S. Department of Justice.
(d) When a willful violation is related to a
fatality, the Area Director shall ensure
the case file contains documentation
regarding the decision not to make a
criminal referral. The documentation
should indicate which elements of a
criminal violation make the case
unsuitable for criminal referral. For
example, the case file documentation
could state the evidence gathered for a
specific criminal/willful element did
not meet the greater burden of proof for
criminal prosecution.
5. Repeated Violations. An employer may be cited for
a repeated violation if that employer has been cited
previously for a substantially similar condition
and the citation has become a final order.
a. Identical Standard. Generally, similar
conditions can be demonstrated by showing that in
both situations the identical standard was
violated.
EXCEPTION: Previously a citation was issued for a
violation of 29 CFR 1910.132(a) for not requiring
the use of safety-toe footwear for employees. A
recent inspection of the same establishment
revealed a violation of 29 CFR 1910.132(a) for not
requiring the use of head protection (hardhats).
Although the same standard was involved, the
hazardous conditions found were not substantially
similar and therefore a repeated violation would
not be appropriate.
b. Different Standards. In some circumstances,
similar conditions can be demonstrated when
different standards are violated.
EXAMPLE: A citation was previously issued for a
violation of 29 CFR 1910 .28(d)(7) for not
installing standard guardrails on a tubular welded
frame scaffold platform. A recent inspection of
the same establishment reveals a violation of 29
CFR 1910.28(c)(14) for not installing guardrails
on a tube and coupler scaffold platform. Although
there are different standards involved, the
hazardous conditions found were substantially
similar and therefore a repeated violation would
be appropriate.
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c. Geographical Limitations. For purposes of
determining whether a violation is repeated, the
following criteria shall apply:
(1) High Gravity Serious Violations. When
high gravity serious violations are to be
cited, the Area Director shall obtain a
history of citations previously issued to
this employer at all of his identified
establishments, nationwide, (Federal
enforcement only) within the same two-digit
SIC code. If these violations have been
previously cited within the time limitations
described in B.5.d. and have become a final
order of the Review Commission, a Repeated
Citation shall be issued. Under special
circumstances, the Regional Administrator, in
consultation with the Regional Solicitor, may
also issue citations for repeated violations
without regard for the SIC code.
(2) Violations of Lesser Gravity. When
violations of lesser gravity than high
gravity serious are to be cited, Agency
policy is to encourage the Area Director to
obtain a national inspection history whenever
the circumstances of the current inspection
will result in a large number of serious,
repeat, or willful citations. This is
particularly so if the employer is known to
have establishments nationwide and if
significant citations have been issued
against the employer in other areas, or at
other mobile worksites.
(a) Although such a history would be useful
for almost all inspections, the Agency
recognizes that the resource demands, if
such histories were to be required in
every case, would be higher than the
resources available.
(b) If, for any reason, a history is
obtained, that history may be used to
support a repeated violation for any
violation found during the current
inspection (not just high gravity
serious). All violations found in the
current inspection may be cited as
repeated if the citation history shows
that they have previously been cited
within the 3-year limitation described
at B.5.d.
(c) Where a national inspection history has
not been obtained, the following
criteria regarding geographical
limitations shall apply:
1 Multifacility Employer. A
multifacility employer shall
be cited for a repeated
violation if the violation
recurred at any worksite
within the same OSHA Area
Office jurisdiction.
EXAMPLE: Where the construction
site extends over a large area
and/or the scope of the job is
unclear (such as road building),
that portion of the workplace
specified in the employer's
contract which falls within the
Area Office jurisdiction is the
establishment. If an employer's
activities at a jobsite are
performed in two or more Area
Office jurisdictions, a violation
in Area A cannot serve as the basis
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December 13, 1993
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for a repeated violation in Area B.
If, on the other hand, an employer
has several worksites within the
same Area Office jurisdiction, a
citation of a violation at Site A
will serve as the basis for a
repeated citation in Area B.
2 Longshoring Establishment.
A longshoring establishment
will encompass all longshoring
activities of a single
stevedore within any single
port area. Longshoring
employers are subject to
repeated violation citations
based on prior violations
occurring anywhere.
3 Other Maritime
Establishments. Other
maritime employers covered by
OSHA standards (e.g.,
shipbuilding, ship repairing)
are multifacility employers as
defined in 1 above.
d. Time Limitations. Although there are no
statutory limitations upon the length of time that
a citation may serve as a basis for a repeated
violation, the following policy shall be used in
order to ensure uniformity.
(1) A citation will be issued as a repeated
violation if:
(a) The citation is issued within 3 years of
the final order of the previous
citation, or,
(b) The citation is issued within 3 years of
the final abatement date of that
citation, whichever is later.
(2) When a violation is found during an
inspection and a repeated citation has been
issued for a substantially similar condition
which meets the above time limitations, the
violation may be classified as a second
instance repeated violation with a
corresponding increase in penalty (See
Chapter VI, B.14.b.)
EXAMPLE: An inspection is conducted in an
establishment on 10/17/90. A violation of 29
CFR 1910.217(c)(1)(i) is found. On 12/9/87 a
repeated violation of the same standard was
issued. The violation found during the
current inspection may be treated as a second
instance repeated violation.
(3) For any further repetition, the Regional
Administrator shall be consulted for
guidance.
e. Repeated vs. Willful. Repeated violations
differ from willful violations in that they may
result from an inadvertent, accidental or
ordinarily negligent act. Where a repeated
violation may also meet the criteria for willful
but not clearly so, a citation for a repeated
violation shall normally be issued.
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f. Repeated vs. Failure to Abate. A failure to
abate situation exists when an item of equipment
or condition previously cited has never been
brought into compliance and is noted at a later
inspection. If, however, the violation was not
continuous (i.e., if it had been corrected and
then reoccurred), the subsequent occurrence is a
repeated violation.
g. Area Director Responsibilities. After the
CSHO makes the initial recommendation that the
violation be cited as "repeated," the Area
Director shall:
(1) Ensure that the violation meets the criteria
outlined in the preceding subparagraphs of
this section.
(2) Ensure that the case file includes a copy of
the prior violation citation which serves as
the basis for the repeated citation. If the
prior violation citation is not available,
the basis for the repeated citation shall,
nevertheless, be adequately documented in the
case file.
(3) In questionable circumstances when it is not
clear that the violation meets the criteria
outlined in this section, consult with the
Regional Administrator before issuing a
repeated citation.
(4) If a repeated citation is issued, ensure that
the cited employer is fully informed of the
previous violations serving as a basis for
the repeated citation, either by telephone or
by notation in the AVD portion of the
citation, using the following or similar
language:
THE (COMPANY NAME) WAS PREVIOUSLY
CITED FOR A VIOLATION OF THIS
OCCUPATIONAL SAFETY AND HEALTH
STANDARD OR ITS EQUIVALENT STANDARD
(NAME PREVIOUSLY CITED STANDARD)
WHICH WAS CONTAINED IN OSHA
INSPECTION NUMBER ____________,
CITATION NUMBER ____________, ITEM
NUMBER ____________, ISSUED ON
(DATE).
6. De Minimis Violations. De minimis violations are
violations of standards which have no direct or
immediate relationship to safety or health. Whenever
de minimis conditions are found during an inspection,
they shall be documented in the same way as any other
violation but shall not be included on the citation.
a. Explanation. The criteria for finding a de
minimis violation are as follows:
(1) An employer complies with the clear intent of
the standard but deviates from its particular
requirements in a manner that has no direct
or immediate relationship to employee safety
or health. These deviations may involve
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December 13, 1993
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distance specifications, construction
material requirements, use of incorrect
color, minor variations from recordkeeping,
testing, or inspection regulations, or the
like.
EXAMPLE 1. 29 CFR 1910.27(b)(1)(ii) allows
12 inches (30 centimeters) as the maximum
distance between ladder rungs. Where the
rungs are 13 inches (33 centimeters) apart,
the condition is de minimis.
EXAMPLE 2. 29 CFR 1910.28(a)(3) requires
guarding on all open sides of scaffolds.
Where employees are tied off with safety
belts in lieu of guarding, often the intent
of the standard will be met, and the absence
of guarding may be de minimis.
EXAMPLE 3. 29 CFR 1910.217(e)(1)(ii)
requires that mechanical power presses be
inspected and tested at least weekly. If the
machinery is seldom used, inspection and
testing prior to each use is adequate to meet
the intent of the standard.
(2) An employer complies with a proposed standard
or amendment or a consensus standard rather
than with the standard in effect at the time
of the inspection and the employer's action
clearly provides equal or greater employee
protection or the employer complies with a
written interpretation issued by the OSHA
Regional or National Office.
(3) An employer's workplace is at the "state of
the art" which is technically beyond the
requirements of the applicable standard and
provides equivalent or more effective
employee safety or health protection.
b. Professional Judgment. Maximum professional
discretion must be exercised in determining the
point at which noncompliance with a standard
constitutes a de minimis violation.
c. Area Director Responsibilities. Area
Directors shall ensure that the de minimis
violation meets the criteria set out in B.6.a.
C. Health Standard Violations.
1. General. The classification of health violations
involves the exercise of maximum professional judgment.
All relevant factors must be carefully considered when
making classification decisions.
2. Citation of Ventilation Standards. In cases where
a citation of a ventilation standard may be
appropriate, consideration shall be given to standards
intended to control exposure to recognized hazardous
levels of air contaminants, to prevent fire or
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Office of General Industry Compliance Assistance
explosions, or to regulate operations which may involve
confined space or specific hazardous conditions. In
applying these standards, the following guidelines
shall be observed:
a. Health-Related Ventilation Standards. An
employer is considered in compliance with a
health-related airflow ventilation standard when
the employee exposure does not exceed appropriate
airborne contaminant standards; e.g., the PELs
prescribed in 29 CFR 1910.1000.
(1) Where an over-exposure to an airborne
contaminant is detected, the appropriate air
contaminant engineering control requirement
shall be cited; e.g., 29 CFR 1910.1000(e).
In no case shall citations of this standard
be issued for the purpose of requiring
specific volumes of air to ventilate such
exposures.
(2) Other requirements contained in
health-related ventilation standards shall be
evaluated without regard to the concentration
of airborne contaminants. Where a specific
standard has been violated and an actual
or potential hazard as been documented, a
citation shall be issued.
b. Fire- and Explosion-Related Ventilation
Standards. Although they are not technically
health violations, the following guidelines shall
be observed when citing fire- and
explosion-related ventilation standards:
(1) Adequate Ventilation. In the application
of fire- and explosion-related ventilation
standards, OSHA considers that an operation
has adequate ventilation when both of the
following criteria are met:
(a) The requirement of the specific standard
has been met.
(b) The concentration of flammable vapors is
25 percent or less of the lower
explosive limit (LEL).
EXCEPTION: Certain standards specify
violations when 10 percent of the LEL is
exceeded. These standards are found in
maritime and construction exposures.
(2) Citation Policy. If 25 percent (10
percent when specified for maritime or
construction operations) of the LEL has been
exceeded and:
(a) The standard requirements have not been
met, the standard violation normally
shall be cited as serious.
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(b) There is no applicable specific
ventilation standard, Section 5(a)(1) of
the Act shall be cited in accordance
with the guidelines given in A.2. of
this chapter.
c. Special Conditions Ventilation Standards. The
primary hazards in this category are those
resulting from confined space operations.
(1) Overexposure need not be shown to cite
ventilation requirements found in the
standards themselves.
(2) Other hazards associated with confined space
operations, such as potential oxygen
deficiency or toxic overexposure, must be
adequately documented before a citation may
be issued.
3. Violations of the Noise Standard. Current
enforcement policy regarding 29 CFR 1910.95(b)(1)
allows employers to rely on personal protective
equipment and a hearing conservation program rather
than engineering and/or administrative controls when
hearing protectors will effectively attenuate the noise
to which the employee is exposed to acceptable levels
as specified in Tables G-16 or G-16a of the standard.
Professional judgment is necessary to supplement the
general guidelines provided here.
a. Citations for violations of 29 CFR 1910.95(b)(1)
shall be issued when engineering and/or
administrative controls are feasible, both
technically and economically; and
(1) Employee exposure levels are so high that
hearing protectors alone may not reliably
reduce noise levels received by the
employee's ear to the levels specified in
Tables G-16 or G-16a of the standard. Given
the present state of the art, hearing
protectors which offer the greatest
attenuation may not reliably be used when
employee exposure levels border on 100 dBA
(See OSHA Instruction CPL 2-2.35A,
Appendix.); or
(2) The costs of engineering and/or
administrative controls are less than the
cost of an effective hearing conservation
program.
NOTE: See Chapter III for guidelines ontechnical and
economic feasibility. The Director of
Technical Support can provide additional
information on engineering control
costs and technological feasibility when
requested by the Regional Administrator.
b. A control is not reasonably necessary when an
employer has an ongoing hearing conservation
program and the results of audiometric testing
indicate that existing controls and hearing
protectors are adequately protecting employees.
(In making
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this decision such factors as the
exposure levels in question, the number of
employees tested, and the duration of the testing
program shall be taken into consideration.)
c. When employee noise exposures are less than 100
dBA but the employer does not have an ongoing
hearing conservation program or the results of
audiometric testing indicate that the employer's
existing program is not working, the CSHO shall
consider whether:
(1) Reliance on an effective hearing conservation
program would be less costly than engineering
and/or administrative controls.
(2) An effective hearing conservation program can
be established or improvements can be made in
an existing hearing conservation program
which could bring the employer into
compliance with Tables G-16 or G-16a.
(3) Engineering and/or administrative controls
are both technically and economically
feasible.
d. If noise levels received by the employee's ear can
be reduced to the levels specified in Tables G-16
or G-16a by means of hearing protectors and an
effective hearing conservation program, citations
under the hearing conservation standard shall
normally be issued rather than citations requiring
engineering controls.
(1) If improvements in the hearing conservation
program cannot be made or, if made, cannot be
expected to reduce exposure sufficiently and
feasible controls exist, a citation under
1910.95(b)(1) shall normally be issued.
(2) The Area Director shall discuss such cases
with the Regional Administrator prior to
issuing a citation. If the Regional
Administrator agrees that controls are
justifiable, a citation shall be issued.
e. When hearing protection is required but not used
and employee exposure exceeds the limits of Table
G-16, 29 CFR 1910.95(i)(2)(i) shall be cited and
classified as serious (See C.3.h.) whether or not
the employer has instituted a hearing conservation
program. 29 CFR 1910.95(a) shall no longer be
cited except in the case of the oil and gas
drilling industry.
NOTE: Citations of 29 CFR 1910.95(i)(2)(ii)(b)
shall also be classified as serious.
f. If an employer has instituted a hearing
conservation program and a violation of the
hearing conservation amendment (other than 1910.95
(i)(2)(i) or (i)(2)(ii)(b)) is found, a citation
shall be issued if employee noise exposures equal
or exceed an 8-hour time-weighted average of 85
dB.
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g. If the employer has not instituted a hearing
conservation program and employee noise exposures
equal or exceed an 8-hour time-weighted average of
85 dB, a citation for 1910.95(c) only shall be
issued.
h. Violations of 1910.95(i)(2)(i) from the hearing
conservation amendment may be grouped with
violations of 29 CFR 1910.95(b)(1) and classified
as serious when an employee is exposed to noise
levels above the limits of Table G-l6 and:
(1) Hearing protection is not utilized or is not
adequate to prevent overexposure to an
employee; or
(2) There is evidence of hearing loss which could
reasonably be considered:
(a) To be work-related, and
(b) To have been preventable, at least to
some degree, if the employer had been in
compliance with the cited provisions.
i. When an employee is overexposed but effective
hearing protection is being provided and used, an
effective hearing conservation program has been
implemented and no feasible engineering or
administrative controls exist, a citation shall
not be issued.
4. Violations of the Respirator Standard. When
considering a citation for respirator violations, the
following guidelines shall be observed:
a. In Situations Where Overexposure Does Not
Occur. Where an overexposure has not been
established:
(1) But an improper type of respirator is being
used (e.g., a dust respirator being used to
reduce exposure to organic vapors), a
citation under 29 CFR 1910.134(b)(2) shall be
issued, provided the CSHO documents that an
overexposure is possible.
(2) And one or more of the other requirements of
29 CFR 1910.134 is not being met; e.g., an
unapproved respirator is being used to reduce
exposure to toxic dusts, generally a de
minimis violation shall be recorded in
accordance with OSHA procedures. (Note that
this policy does not include emergency
use respirators.) The CSHO shall advise the
employer of the elements of a good respirator
program as required under 29 CFR 1910.134.
(3) In exceptional circumstances a citation
may be warranted if an adverse health
condition due to the respirator itself could
be supported and documented. Examples may
include a dirty respirator that is causing
dermatitis, a worker's health being
jeopardized by wearing a respirator due to an
inadequately
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December 13, 1993
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evaluated medical condition or a
significant ingestion hazard created by an
improperly cleaned respirator.
b. In Situations Where Overexposure Does Occur.
In cases where an overexposure to an air
contaminant has been established, the following
principles apply to citations of 1910.134:
(1) 29 CFR 1910.134(a)(2) is the general section
requiring employers to provide respirators ".
. . when such equipment is necessary to
protect the health of the employee" and
requiring the establishment and maintenance
of a respiratory protection program which
meets the requirements outlined in 29 CFR
1910.134(b). Thus, if no respiratory program
at all has been established, 1910.134(a)(2)
alone shall be cited; if a program has been
established and some, but not all, of the
requirements under 1910.134(b) are being met,
the specific standards under 1910. 134(b)
that are applicable shall be cited.
(2) An acceptable respiratory protection program
includes all of the elements of 29 CFR
1910.134; however, the standard is structured
such that essentially the same requirement is
often specified in more than one section. In
these cases, the section which most
adequately describes the violation shall be
cited.
5. Violations of Air Contaminant Standards (29 CFR
1910.1000 Series). The standard itself provides
several requirements.
a. 29 CFR 1910.1000(a) through (d) provide ceiling
values and 8-hour timeweighted averages (threshold
limit values) applicable to employee exposure to
air contaminants.
b. 29 CFR 1910.1000(e) provides that to achieve
compliance with those exposure limits,
administrative or engineering controls shall first
be identified and implemented to the extent
feasible. When such controls do not achieve full
compliance, protective equipment shall be used.
Whenever respirators are used, their use shall
comply with 29 CFR 1910.134.
c. 29 CFR 1910.134(a) provides that when effective
engineering controls are not feasible, or while
they are being instituted, appropriate respirators
shall be used. Their use shall comply with
requirements contained in 29 CFR 1910.134 which
provide for the type of respirator and the proper
maintenance.
d. The situation may exist where an employer must
provide feasible engineering controls as well as
feasible administrative controls (including work
practice controls) and personal protective
equipment. 29 CFR 1910.1000(e) has been
interpreted to allow employers to implement
feasible engineering controls and/or
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Office of General Industry Compliance Assistance
administrative and work practice controls in any
combination the employer chooses provided the
abatement means chosen eliminates the
overexposure.
e. Where engineering and/or administrative controls
are feasible but do not or would not reduce the
air contaminant levels below the applicable
ceiling value or threshold limit value, the
employer, nevertheless, must institute such
controls. Only where the implementation of all
feasible engineering and administrative controls
fails to reduce the level of air contaminants
below applicable levels will the use of personal
protective equipment constitute satisfactory
abatement. In such cases, usage of personal
protective equipment shall be mandatory.
6. Classification of Violations of Air Contaminant
Standards. When it has been established that an
employee is exposed to a toxic substance in excess of
the PEL established by OSHA standards (without regard
to the use of respirator protection), a citation for
exceeding the air contaminant standard shall be issued.
The violation shall be classified as serious or
other-than-serious on the basis of the requirements in
the Chemical Information Manual, OSHA Instruction CPL
2-2.43A, and the use of respiratory protection at the
time of the violation. Classification of violations is
dependent upon the determination that the illness is
reasonably predictable at that exposure level, whether
the illness is serious or other-than-serious and that
the employer knew or could have known through
reasonable diligence that a hazardous condition
existed.
a. Principles of Classification. Exposure to a
substance shall be considered serious if the
exposure could cause impairment to the body as
described in B.1.b.(3).
(1) In general, substances having a single health
code of 13 or less shall be considered as
serious at any level above the Permissible
Exposure Limit (PEL). Substances in
categories 6, 8 and 12, however, are not
considered serious at levels where only mild,
temporary effects would be expected to occur.
(2) Substances causing irritation (i.e.,
categories 14 and 15) shall be considered
other-than-serious up to levels at which
"moderate" irritation could be expected.
(3) For a substance (e.g., cyclohexanol), having
multiple health codes covering both serious
and other-than-serious effects, a
classification of other-than-serious shall be
applied up to the level at which a serious
effect(s) could be expected to occur.
(4) For a substance having an ACGIH Threshold
Limit Value (TLV) or a NIOSH recommended
value, but no OSHA PEL, a citation for
exposure in excess of the recommended value
shall be considered under Section 5(a)(1) of
the Act in accordance with the guidelines
given in A.2.
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(5) If an employee is exposed to concentrations
of a substance below the PEL, but in excess
of a recommended value (e.g., ACGIH TLV or
NIOSH recommended value), a citation for
inhalation cannot normally be issued. The
CSHO shall advise the employer that a
reduction of the PEL has been recommended.
(6) For a substance having an 8-hour PEL with no
ceiling PEL but which a ceiling ACGIH TLV or
NIOSH ceiling value has been recommended, the
case shall be referred to the Regional
Administrator in accordance with A.2.d.(2) of
this chapter. If no citation is to be
issued, the CSHO shall, nevertheless, advise
the employer that a ceiling value has been
recommended.
b. Effect of Respirator Protection Factors. The
CSHO shall consider protection factors for the
type of respirator in use as well as the
possibility of overexposure if the respirator
fails. If protection factors are exceeded and if
the potential for overexposure exists, a citation
for failure to control excessive exposure shall be
issued.
c. Additive and Synergistic Effects. Substances
which have a known additive effect and, therefore,
result in a greater probability/severity of risk
when found in combination shall be evaluated using
the formula found in 29 CFR 1910.1000(d)(2).
(1) The use of this formula requires that the
exposures have an additive effect on the same
body organ or system. Caution must be used
in applying the additive formula, and prior
consultation with the Regional Administrator
is required.
(2) If the CSHO suspects that synergistic effects
are possible, it shall be brought to the
attention of the supervisor, who shall refer
the question to the Regional Administrator.
If it is decided that there is a synergistic
effect of the substances found together, the
violations shall be grouped, when
appropriate, for purposes of increasing the
violation classification severity and/or the
penalty.
7. Guidelines for Issuing Citations of Air Contaminant
Violations. Reserved.
8. Violations of the Hazard Communication Standard.
Reserved.
9. Citing Improper Personal Hygiene Practices. The
following guidelines apply when citing personal hygiene
violations:
a. Ingestion Hazards. A citation under 29 CFR
1910.141(g)(2) and (4) shall be issued where there
is reasonable probability that, in areas where
employees
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December 13, 1993
Office of General Industry Compliance Assistance
consume food or beverages (including
drinking fountains), a significant quantity of a
toxic material may be ingested and subsequently
absorbed.
(1) For citations under 29 CFR 1910.141(g)(2) or
(4) wipe sampling results shall be adequately
documented to establish a serious hazard.
(2) Where, for any substance, a serious hazard is
determined to exist due to the potential of
ingestion or absorption of the substance for
reasons other than the consumption of
contaminated food or drink (e.g., smoking
materials contaminated with the toxic
substance), a serious citation shall be
considered under Section 5(a)(1) of the Act.
(3) Such citations do not depend on
measurements of airborne concentrations.
b. Absorption Hazards. A citation for exposure
to materials which can be absorbed through the
skin or which can cause a skin effect (e.g.,
dermatitis) shall be issued where appropriate
personal protective equipment (clothing) is
necessary but not worn. (See 29 CFR 1910.1000,
Table Z-1, substances marked "skin".) The citation
shall be issued under 29 CFR 1910.132(a) as either
a serious or other-than-serious citation according
to the hazard.
(1) Such citations do not depend on
measurements of airborne concentrations.
(2) If a serious skin absorption or dermatitis
hazard exists which cannot be eliminated with
protective clothing, a 5(a)(1) citation may
be considered. Engineering or administrative
(including work practice) controls shall be
required in these cases to prevent the
hazard.
c. Wipe Sampling. In general, wipe sampling (not
air sampling) will be necessary to establish the
presence of a toxic material posing a potential
absorption or ingestion hazard. (See the OSHA
Technical Manual for sampling procedures.)
d. Issuing Citation. There are two primary
considerations when issuing a citation of an
ingestion or absorption hazard, such as a citation
for lack of protective clothing:
(1) A health risk exists as demonstrated by one
of the following:
(a) A potential for an illness, such as
dermatitis, and/or
(b) The presence of a toxic material that
can be ingested or absorbed through the
skin or in some other manner. (See the
Chemical Information Table.)
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(2) The potential that the toxic material can be
ingested or absorbed, e.g., that it can be
present on the skin of the employee, can be
established by evaluating the conditions of
use and determining the possibility that a
health hazard exists.
(3) The conditions of use can be documented by
taking both qualitative and quantitative
results of wipe sampling into consideration
when evaluating the hazard.
e. Supporting Citation. There are four primary
considerations which must be met to support a
citation:
(1) The potential for ingestion or absorption of
the toxic material must exist.
(2) The ingestion or absorption of the material
must represent a health hazard.
(3) The toxic substance must be of such a nature
and exist in such quantities as to pose a
serious hazard. The substance must be
present on surfaces which have hand contact
(such as lunch tables, cigarettes, etc.) or
on other surfaces which, if contaminated,
present the potential for ingestion or
absorption of the toxic material (e.g., a
water fountain).
(4) The protective clothing or other abatement
means would be effective in eliminating or
significantly reducing exposure.
f. Biological Monitoring. If the employer has
been conducting biological monitoring, the CSHO
shall evaluate the results of such testing. The
results may assist in determining whether a
significant quantity of the toxic material is
being ingested or absorbed through the skin.
g. Determination of Source. Prior to the
issuance of a citation, the CSHO shall carefully
investigate the source or cause of the observed
hazards to determine if some type of engineering,
administrative or work practice control, or
combination thereof, may be applied which would
reduce employee exposure.
10. Classification of Violations for the New Health
Standards. In general, classification decisions
regarding violations of the exposure limits of the
new health standards shall be governed by the
Chemical Information Manual.
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CHAPTER VI
PENALTIES
A. General Policy. The penalty structure provided under
Section 17 of the Act is designed primarily to provide an
incentive toward correcting violations voluntarily, not only
to the offending employer but, more especially, to other
employers who may be guilty of the same infractions of the
standards or regulations.
1. OSHA has always taken the position that penalties are
not designed as punishment for violations nor as a
source of income for the Agency. The Congress has made
clear its intent, however, that penalty amounts should
be sufficient to serve as an effective deterrent to
violations.
2. Large proposed penalties, as Congress has clearly
recognized, serve the public purpose intended under the
Act; and criteria guiding approval of such penalties by
the Assistant Secretary are based on meeting this
public purpose. (See B.9.d. and OSHA Instruction CPL
2.80.)
B. Civil Penalties.
1. Type of Violation as a Factor. In proposing civil
penalties for violations, a distinction is made between
serious violations and other violations. There is no
statutory requirement that a penalty be proposed when
the violation is not serious; but a penalty must be
proposed when the violation is serious.
a. The maximum penalty that may be proposed for a
serious or an other-than-serious violation is
$7,000.
b. In the case of willful or repeated violations, a
civil penalty of up to $70,000 may be proposed;
but the penalty may not be less than $5,000 for a
willful violation.
c. For other specific violations of the Act, civil
penalties of up to $7,000 may be proposed.
d. Penalties for failure to correct a violation may
be up to $7,000 for each calendar day that the
violation continues beyond the final abatement
date.
2. Statutory Authority. Section 17 provides the
Secretary with the statutory authority to assess civil
penalties for violations of the Act.
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a. Section 17(b) of the Act provides that any
employer who has received a citation for an
alleged violation of the Act which is determined
to be of a serious nature shall be assessed a
civil penalty of up to $7,000 for each violation.
(See OSHA Instruction CPL 2.51G for current
Congressional exemptions and limitations placed on
penalties by the Appropriations Act.)
b. Section 17(c) provides that, when the violation is
specifically determined not to be of a serious
nature, a proposed civil penalty of up to $7,000
may be assessed for each violation.
c. Section 17(i) provides that, when a violation of a
posting requirement is cited, a civil penalty of
up to $7,000 shall be assessed.
3. Minimum Penalties. The following guidelines apply:
a. The proposed penalty for any willful violation
shall not be less than $5,000. This is a
statutory minimum and not subject to
administrative discretion.
b. When the adjusted proposed penalty for an
other-than-serious violation (citation item) would
amount to less than $100, no penalty shall be
proposed for that violation.
c. When, however, there is a citation item for a
posting violation, this minimum penalty amount
does not apply with respect to that item since
penalties for such items are mandatory under the
Act.
d. When the adjusted proposed penalty for a serious
violation (citation item) would amount to less
than $100, a $100 penalty shall be proposed for
that violation.
4. Penalty Factors. Section 17(j) of the Act provides
that penalties shall be assessed on the basis of four
factors:
a. The gravity of the violation,
b. The size of the business,
c. The good faith of the employer, and
d. The employer's history of previous violations.
5. Gravity of Violation. The gravity of the violation
is the primary consideration in determining penalty
amounts. It shall be the basis for calculating the
basic penalty for both serious and other violations.
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a. Since these adjustment factors are based on the
general character of a business and its safety and
health performance, the factors generally shall be
calculated only once for each employer. After the
classification and probability ratings have been
determined for each violation, the adjustment
factors shall be applied subject to the
limitations indicated in the following paragraphs.
b. Penalties assessed for violations that are
classified as high severity and greater
probability shall be adjusted only for size and
history.
c. Penalties assessed for violations that are
classified as repeated shall be adjusted only
for size.
d. Penalties assessed for violations classified as
willful shall be adjusted only for size.
NOTE: If one violation is classified as willful, no
reduction for good faith can be applied to
any of the violations found during the same
inspection. The employer cannot be willfully
in violation of the Act and at the same time,
be acting in good faith.
e. The rate of penalty reduction for size of
business, employer's good faith and employer's
history of previous violations shall be calculated
on the basis of the criteria described in the
following paragraphs:
(1) Size. A maximum penalty reduction of 60
percent is permitted for small businesses.
"Size of business" shall be measured on the
basis of the maximum number of employees of
an employer at all workplaces at any one time
during the previous 12 months. Information
on the total number of an employer's
employees can generally be obtained at the
inspected worksite. However, on occasion it
may be necessary to obtain or confirm the
information from the employer's headquarters.
(a) The rates of reduction to be applied are
as follows:
Employees Percent reduction
1-25 60
26-100 40
101-250 20
251 or more None
(b) An employer's ability to pay a penalty
shall not normally be investigated or
considered in determining the penalty
reduction for size of business.
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OSHA Instruction CPL 2.45B CH-4
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(c) However, if an employer presents
convincing evidence of inability to pay
a penalty because of financial
difficulties at an informal conference,
the Area Director may determine that a
penalty reduction is appropriate. Such
a determination shall be documented in
the case file.
(d) When a small business has one or more
serious violations of high gravity or a
number of serious violations of moderate
gravity, indicating a lack of concern
for employee safety and health, the Area
Director may determine that only a
partial reduction in penalty shall be
permitted for size of business.
(2) Good Faith. A penalty reduction of up to
25 percent is permitted in recognition of an
employer's "good faith".
EXCEPTION: If one willful violation is
found, no reduction for good
faith can be applied to
any of the violations
found during the same
inspection. An employer
cannot be willfully in
violation of the Act and at
the same time, be acting in
"good faith".
(a) A reduction of 25 percent shall
normally be given if the employer has a
written safety and health program (as
documented during the inspection) that
has been effectively implemented in the
workplace and also:
1 Provides for appropriate
management commitment and
employee involvement; worksite
analysis for the purpose of
hazard identification; hazard
prevention and control
measures; and safety and
health training.
NOTE: One example of a framework
for such a program is given in
OSHA's voluntary "Safety and Health
Program Management Guidelines"
(Federal Register, Vol. 54, No.
16, January 26, 1989, pp. 3904-
3916, or later revisions as
published).
2 Includes all programs required
under OSHA standards
applicable to the workplace
(e.g., hazard communication,
lockout-tagout, hazardous
materials and emergency
response, safety and health
programs for construction [29
CFR 1926.20] and trenching and
excavation).
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d. Regulatory Violations. For repeated
violations of regulatory violations (see B.16.),
the initial penalty shall be doubled for the
first repeated violation and quintupled if the
violation has been cited twice before. If the
Regional Administrator determines that it is
appropriate to achieve the necessary deterrent
effect, the initial penalty may be multiplied by
10.
NOTE: See Chapter IV, B.5., for additional guidance
on citing repeated violations.
15. Willful Violations. Section 17(a) of the Act
provides that an employer who willfully violates the
Act may be assessed a civil penalty of not more than
$70,000 but not less than $5,000 for each violation.
a. Gravity-Based Penalty Factors. Each willful
violation shall be classified as serious or
other-than-serious. After determining the gravity
of the violation, a GBP shall be determined based
on the facts noted during the inspection. The
adjustment factor for size shall be applied.
(1) Serious Violations. For willful serious
violations, the adjusted GBP shall be
multiplied by seven.
(a) In no case shall the proposed penalty be
less than $5,000.
(b) The Regional Administrator may assess a
higher penalty (up to the statutory
maximum of $70,000) or a lower penalty
than that calculated in accordance with
B.15.a.(1), upon consideration of such
factors as the degree of willfulness
involved in the violation and the
achievement of an appropriate deterrent
effect. The reasons for such action
shall be documented in the case file.
(2) Other-than-serious Violations. For
willful other-than-serious violations, the
minimum willful penalty of $5,000 shall be
assessed.
b. Regulatory Violations. In the case of
regulatory violations [see B.16] that are
determined to be willful, the unadjusted initial
penalty shall be multiplied by seven. In no
event shall the penalty, after adjustment for size
and history, be less than $5,000.
16. Violation of 29 CFR 1903 and 1904 Regulatory
Requirements. Except as provided in the
Appropriations Act, Section 17 of the Act provides that
an employer who violates any of the posting
requirements shall be assessed a civil penalty of up to
$7,000 for each violation and may be assessed a like
penalty for recordkeeping violations. For egregious
violations, an additional factor may be applied, as
described at B.9.d, in accordance with the procedures
set forth in OSHA Instruction CPL 2.80.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
a. General Application. The procedures that
follow shall be used in determining proposed
penalties for violations of 29 CFR 1903 and 1904
regulatory requirements only when the employer has
received a copy of the OSHA-200 Form through the
Recordkeeping Requirements booklet or from any
other source, or has knowledge of the
requirements.
(1) If the employer has not received the booklet
or the OSHA-200 Form, and does not have
knowledge, citations without proposed
penalties will be issued.
(2) All proposed penalties for regulatory
violations shall have the adjustment factors
for size and history applied.
b. Posting Requirements. Penalties for violation
of posting requirements shall be proposed as
follows:
(1) OSHA Notice. If the employer has not
displayed (posted) the notice furnished by
the Occupational Safety and Health
Administration as prescribed in 29 CFR 1903.2
(a), an other-than-serious citation shall
normally be issued. The unadjusted penalty
for this alleged violation shall be $1,000.
(2) Annual Summary. If an employer fails to
post the summary portion of the OSHA-200 Form
during the month of February as required by
29 CFR 1904.5(d)(1), and/or fails to complete
the summary prior to February 1, as required
by 29 CFR 1904.5(b), even if there have been
no injuries, an other-than-serious citation
shall be issued with an unadjusted penalty of
$1,000.
(3) Citation. If an employer received a
citation that has not been posted as
prescribed in 29 CFR 1903.16, an other-than-
serious citation shall normally be issued.
The unadjusted penalty shall be $3,000.
c. Reporting and Recordkeeping Requirements.
Section 17(c) of the Act provides that violations
of the recordkeeping and reporting requirements
may be assessed civil penalties of up to $7,000
for each violation.
(1) OSHA-200 Form. If the employer does not
maintain the Log and Summary of Occupational
Injuries and Illnesses, OSHA-200 Form, as
prescribed in 29 CFR 1904, an
other-than-serious citation shall be issued.
There shall be an unadjusted penalty of
$1,000 for each year the form was not
maintained.
VI-16
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
TABLE VI-1
PENALTY TABLE
Percent
Reduction PENALTY
(in dollars)
0 1,000 1,500 2,000 2,500 3,000 3,500 5,000 7,000
10 900 1,350 1,800 2,250 2,700 3,150 4,500 6,300
15 850 1,275 1,700 2,125 2,550 2,975 4,250* 5,950*
20 800 1,200 1,600 2,000 2,400 2,800 4,000 5,600
25 750 1,125 1,500 1,875 2,250 2,625 3,750* 5,250
30 700 1.050 1,400 1,750 2,100 2,450 3,500 4,900
35 650 975 1,300 1,625 1,950 2,275 3,250* 4,550*
40 600 900 1,200 1,500 1,800 2,100 3,000 4,200
45 550 825 1,100 1,375 1,650 1,925 2,750* 3,850*
50 500 750 1,000 1,250 1,500 1,750 2,500 3,500
55 450 675 900 1,125 1,350 1,575 2,250* 3,150*
60 400 600 800 1,000 1,200 1,400 2,000 2,800
65 350 525 700 875 1,050 1,225 1,750* 2,450*
70 300 450 600 750 900 1,050 1,500 2,100
75 250 375 500 625 750 875 1,250* 1,750*
85 150 225 300 375 450 525 750* 1,050*
95 100** 100** 100 125 150 175 250* 350*
* Starred figures represent penalty amounts that would not
normally be proposed for high gravity serious violations
because no adjustment for good faith is made in such cases.
They may occasionally be applicable for other-than-serious
violations where the Regional Administrator has determined a
high unadjusted penalty amount to be warranted.
** Administratively, OSHA will not issue a penalty less
that $100.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
C. Criminal Penalties.
1. The Act and the U.S. Code provide for criminal
penalties in the following cases:
a. Willful violation of an OSHA standard, rule, or
order causing the death of an employee (Section
17(e)).
b. Giving unauthorized advance notice. (Section
17(f).)
c. Giving false information. (Section 17(g).)
d. Killing, assaulting or hampering the work of a
CSHO. (Section 17(h)(2).)
2. Criminal penalties are imposed by the courts after
trials and not by the Occupational Safety and Health
Administration or the Occupational Safety and Health
Review Commission.
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.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
a Being informed at
inspection milestones; and,
b The offer to meet
personally to answer
questions.
c Subject to the
requirements of 29 CFR
Part 70, a free copy of
releasable information
from the case file at the
time the file is closed;
i.e., after the
investigation is
completed and any
resulting OSHA
enforcement proceedings
have been concluded.
(c) If the next-of-kin or the emergency
contact person(s) cannot be determined
through the employment records or
fellow-employee interviews, the Area
Director shall make a reasonable effort
to identify the next-of-kin through a
search of police reports, hospital
admission records, coroner's records,
and newspapers.
(d) When the additional search does not
identify a family member, the case file
shall be documented to reflect the
search and the extent to which it was
carried out.
(e) If the letter is returned as
undeliverable, the letter and envelope
shall be put in the case file and the
date of return entered in the case file.
(3) The compliance officer, when taking a
statement pursuant to B.2.d.(2)(b)3,
shall explain that the interview will be kept
confidential to the extent allowed by law.
The greatest sensitivity and professionalism
is required for such an interview. The
information received must be carefully
evaluated and corroborated during the
investigation.
(4) Followup contact shall be maintained with a
key family member or other contact person,
when requested, so that the survivors can be
kept up-to-date on the status of the
investigation. Such contact can be by
personal visit, telephone or letter, as
requested, by the family member. These
contacts shall be made at appropriate times;
e.g., after the citation issuance, after an
informal conference has been conducted, after
the contest has been received, and when the
case has been closed.
(5) The victim's family members shall be provided
a copy of all citations issued as a result of
the accident investigation within 5 working
days of issuance.
(6) All OSHA staff are cautioned, when discussing
the Freedom of Information Act (FOIA) with
the family, not to mislead them about the
speed with which they can obtain a copy of
the disclosable information prior to closing
the case file. Staff are further cautioned
that the employer's rights must be protected.
There should be no premature release of facts
or findings during
VIII-5
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
any meeting with non-OSHA
personnel, before the investigation and
subsequent litigation is completed.
e. Criminal. Section 17(e) of the Act provides
criminal penalties for an employer who is
convicted of having willfully violated an OSHA
standard, rule or order when that violation caused
the death of an employee. In an investigation of
this type, therefore, the nature of the evidence
available is of paramount importance. There shall
be early and close liaison between the CSHO/team
leader, the Area Director, the Regional
Administrator and the Regional Solicitor in
developing any finding which might involve a
violation of Section 17(e) of the Act. Staff with
criminal investigation training shall be assigned
at an early stage to assist in developing the
case.
C. Reports. Refer to OSHA Instruction CPL 2.97,
Fatality/Catastrophe Reports to the National Office ("Flash
Reports").
D. Special Situations.
1. Preemption. There may be situations where it is
not clear whether OSHA's authority to investigate
fatalities or catastrophes has been preempted. In such
cases the guidelines given in Chapter III, D.6.a. shall
be observed with the following special considerations:
a. General. If it is reasonably certain that
OSHA coverage has not been preempted, the Area
Director shall start the investigation at once and
not let potential 4(b)(1) problems interfere with
either notification or investigation.
(1) If the Regional Administrator cannot resolve
a preemption problem at the local level, all
pertinent information shall be relayed to the
Director of Compliance Programs, along with
additional facts as they become available. A
clear interpretation will be provided as soon
as possible.
(2) Where prior determinations have been made
that OSHA authority has been preempted, such
as coal mine accidents, no investigation
shall be conducted.
(3) If OSHA jurisdiction has been preempted only
partially, the investigation shall be
conducted as usual; and all apparent
violations shall be noted, including those
for which jurisdiction has been preempted. A
referral shall be made to the local office of
the appropriate agency for such violations as
soon as practicable.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
b. Agency Cooperation. If other Federal agencies
will be involved and are on site, the CSHO and/or
the investigative team shall work with the other
agencies as closely as possible to:
(1) Obtain all available information concerning
the fatality or catastrophe.
(2) Assist each other in inspection of the
accident site.
2. Use of Expert Assistance. The decision as to the
need for experts to assist in the conduct of the
investigation shall be made as soon as possible after
the Team/CSHO has arrived on site. That decision shall
be made by the Area Director in consultation with the
Regional Administrator upon the recommendation of the
Team Leader/CSHO.
a. National Office Contact. If a particular
Regional Administrator has no knowledge of or
cannot locate an expert, the Director, Office of
Field Programs, may be contacted for information
regarding safety and health professionals within
OSHA who are experts in their fields. Based on
this information, the Regional Administrator shall
contact the appropriate Regional Administrator and
request the services of the expert. Experts shall
normally be made available by their Regional
Administrators both for investigations of
fatalities/catastrophes and for testifying in any
subsequent legal proceedings.
b. Choice of Experts. OSHA and NIOSH Regional
and Area personnel shall generally be the first
choice as experts, rather than "outside" experts.
Any available 7(c)(1) consultation personnel shall
be called upon as experts whenever appropriate.
(1) If an expert from another OSHA Region is
required, the requesting Regional
Administrator shall coordinate with the
supplying Regional Administrator to make the
necessary arrangements.
(2) If no Regional or Area experts are available,
OSHA National Office personnel or NIOSH
personnel, in that order, are next in order
of preference, followed by 7(c)(1) contract
personnel.
(a) If National Office personnel are to be
used, the Regional Administrator shall
contact the Director, Office of Field
Programs, who will make the arrangements
with the Directorate concerned.
(b) Arrangements for NIOSH experts shall be
made by the Regional Administrator with
the NIOSH Regional or National Office,
as appropriate.
(c) For 7(c)(1) contract personnel, the
Regional Administrator shall make the
necessary arrangements directly with the
contractor.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(3) Outside experts shall generally be selected
only when no one qualified is available from
the above listed sources.
c. Other Federal Agency. If an expert from
another Federal agency is required, the Regional
Administrator shall contact the Regional Office or
other appropriate office of the other agency to
arrange the details, or the Director, Office of
Field Programs, to handle the request at the
National level. If necessary, a letter to the
appropriate Federal agency shall be prepared for
the signature of the Assistant Secretary to
confirm telephone requests for such assistance.
d. Consultants. In general, a consultant or
"outside expert" is a person from the private
sector paid a fee for special expertise.
Procedures for identifying and obtaining the
services of a consultant shall be established by
each Regional Administrator and approved by the
Director, Office of Field Programs.
e. Legal Advice. The advice of an attorney may
be necessary at a very early stage of the
investigation. The Area Director shall contact
the Regional Solicitor through the Regional
Administrator if assistance is required.
3. Rescue Operations. OSHA has no authority to direct
rescue operations -- this is the responsibility of the
employer and/or of local political subdivisions or
State agencies. OSHA does have the authority to
monitor and inspect the working conditions of covered
employees engaged in rescue operations to make certain
that all necessary procedures are being taken to
protect the lives of the rescuers.
a. Consultation. OSHA shall be available for
consultation on the safest or most effective way
to conduct rescue operations. This information,
based on technical knowledge of competent OSHA
personnel at the scene, shall be given freely, if
requested.
b. Rescue Operations. If the CSHO is aware that
the employer intends to use some rescue procedure
that may be in violation of a standard or the
general duty clause and the CSHO believes other,
less hazardous procedures are more desirable, the
employer shall be advised of this belief. The
employer shall be encouraged to use the personnel
and facilities of local fire and police
departments for their specialized knowledge and
training in rescue operations.
c. Application of Standards. If rescue work is
performed by the employer, OSHA standards are
applicable. The employer is required to take
such steps as are necessary to eliminate, if at
all possible, or to minimize recognized hazards
likely to cause death or serious physical harm,
considering the urgency in a particular rescue
operation.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
d. Emergency Situations. Emergencies created by
fatalities or catastrophes generally necessitate
immediate rescue work, firefighting, etc., and any
loss of time may increase injuries and/or
fatalities. Therefore, when nonstandard
equipment; e.g., tractors, bulldozers, etc.,
without rollover protection, is available for use
in an emergency situation, OSHA shall permit its
use without citing the employer rather than cause
a delay waiting for equipment which meets OSHA
standards. The use of such equipment by private
employers shall be limited to the actual emergency
situation of fighting fire, rescue work, etc. Use
in cleanup or reconstruction work shall warrant
the issuance of citations when appropriate.
4. Public Information Policy. The OSHA public
information policy regarding response to fatalities and
catastrophes is to explain Federal presence to the news
media. It is not to provide a continuing flow of facts
nor to issue periodic updates on the progress of the
investigation.
a. Area Director. The Area Director or his
designee shall normally handle responses to media
inquiries. Where particularly sensitive
investigations are involved, or where difficult
information requests are received, the Area
Director shall contact the Regional Administrator
for advice and guidance. The Regional
Administrator may request the help of a National
Office information official and, when possible,
that official will go to the scene to assist in
handling publicity. The investigation is not to
be delayed, however, to await the arrival of the
information official.
b. Information Officer. The principal role of
the information officer at the scene is to brief
reporters there that OSHA has responded and is
investigating. If a rescue operation is required,
the information officer shall state, "OSHA policy
is to cooperate and assist wherever possible, but
the direction of such operations will be left to
those experienced in such matters."
c. Other Officials. The information officer
shall inform the news media that the Secretary of
Labor, the Assistant Secretary for Occupational
Safety and Health, the Director of Public Affairs
and other appropriate officials are continually
informed of developments.
VIII-9
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
CHAPTER IX
COMPLAINTS AND REFERRALS
A. Complaints.
1. General. The discussion of complaints in this
chapter is confined to when a complaint is received and
processed at the Area Office before an inspection
rather than when it is given to the CSHO at the time
the establishment is inspected.
a. Agency Response. The agency's response to a
complaint will take a variety of forms, ranging
from an inspection to a response by letter,
depending upon the formality of the complaint, the
nature of the hazard and the abatement response of
the employer.
b. Complainant Identity. The identity of formal
and nonformal complainants who wish to remain
anonymous will be kept confidential, pursuant to
Section 8(f)(1) of the Act.
2. Definitions. The following definitions apply in
this chapter:
a. Complaint. A complaint is a notice of a
hazard or a violation of the Act believed to exist
in a workplace given by an employee, a
representative of employees, or any other source
not listed in B.2.b. to the Secretary or his
authorized representative.
(1) To constitute a complaint the notice must
allege that a hazard exists in the workplace
or that the Act (meaning a standard or the
general duty clause) is violated.
(a) If the notice is so vague and
unsubstantiated that the Area Director
is unable to make a reasonable judgment
as to the existence of the alleged
workplace hazard, there is no valid
complaint. In such a case, however,
every reasonable attempt shall be made
to contact the person giving the notice
to obtain more specific information.
(b) If, as a result of a recent inspection
or on the basis of other objective
evidence, the Area Director determines
that the hazard which is the subject of
the notice is not present; e.g., it has
already been corrected, such a notice is
not a valid complaint.
(2) The workplace must be one wherein OSHA's
jurisdiction has not been preempted under
Section 4(b)(1) of the Act. Thus, if the
notice involves conditions inside a mine, any
hazard or violation clearly falls within an
area wherein OSHA's jurisdiction has been
preempted. In such a circumstance
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
the notice is not a complaint. Such
notices shall be promptly transferred
to the appropriate agency for its action.
b. Employee. For purposes of submitting a
complaint, an employee is either of the following:
(1) A present employee of the employer about
whose establishment the complaint is being
made.
(2) A present employee of another employer if
that employee is working at or near some
other employer's workplace and is exposed to
hazards of that workplace.
NOTE: Former employees are not considered
employees for purposes of submitting a
formal complaint. They can only submit
nonformal complaints.
c. Representative of Employees. For purposes of
submitting a complaint, a representative of
employees is any of the following:
(1) An authorized representative of the employee
bargaining unit, such as a certified or
recognized labor organization;
(2) An attorney acting for an employee;
(3) Any other person acting in a bona fide
representative capacity; e.g., a member of
the employee's family or an elected official.
In this situation, a complainant purporting
to act as a representative of an employee
shall be presumed to be so acting unless the
CSHO obtains information that the complaint
was not submitted with the knowledge of or on
behalf of the employee.
d. Formal Complaint. To meet the formality
requirements outlined in Section 8(f) of the Act
and in 29 CFR 1903.11, a complaint shall:
(1) Be reduced to writing either on a Notice of
Alleged Safety or Health Hazards (OSHA-7
Form) or in a letter;
(2) Allege that an imminent danger or a violation
threatening physical harm (i.e., a hazard
covered by a standard or by the general duty
clause) exists in the workplace;
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(3) Set forth with reasonable particularity the
grounds upon which it is based. This does
not mean that the complaint must specify a
particular standard; it need only specify a
condition or practice that is hazardous and,
if uncommon, why it is hazardous; and
(4) Be signed by at least one employee or
employee representative.
(5) The following are examples of deficiencies
which would result in the failure of an
apparent formal complaint to meet the
requirements of the definition:
(a) A thorough evaluation of the complaint
does not establish reasonable grounds to
believe that the alleged violation can
be classified as an imminent danger or
that the alleged hazard is covered by a
standard or, in the case of an alleged
serious condition, by the general duty
clause (Section 5(a)(1)).
(b) The complaint concerns a workplace
condition which has no direct
relationship to safety or health and
does not threaten physical harm; e.g., a
violation of a recordkeeping or other
regulation or a violation of a standard
that is classified as de minimis.
(c) The complaint alleges a hazard which
violates a standard but describes no
actual workplace conditions and gives no
particulars which would allow a proper
evaluation of the hazard. In such a
case the Area Director shall make a
reasonable attempt to obtain such
information.
e. Nonformal Complaint. Any complaint, such as
the examples given under A.2.d.(5), which does not
meet any or all of the formality requirements in
A.2.d. is a nonformal complaint and is to be
handled in accordance with the procedures in A.8.
(1) Examples. Other examples of such
complaints include the following:
(a) Oral complaints filed by employees.
(b) Unsigned written complaints filed by
employees.
(c) Written and oral complaints filed by
nonemployees (persons or groups other
than current employees or their
representatives).
(d) Complaints of hazards not covered by a
standard or by the general duty clause.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(e) Complaints of violations of regulations,
such as recordkeeping (rather than
standards).
(f) Complaints of violations of standards
that are classified as de minimis.
(2) Referrals from Other Agencies. Reports
from sources listed in B.2.b, however, are
referrals and are to be handled in accordance
with the procedures in B.3.
3. Receiving Complaints. An incoming notice of
hazards or alleged violations shall first be referred
to a designated professional who shall obtain all
available information from the person reporting it.
The notice shall thereafter be forwarded to the
supervisor to complete the evaluation.
a. Employee Rights. When an oral notice is
received from an employee or employee
representative, that person shall be informed of
the right to file a formal complaint in writing
under Section 8(f)(1) and of the right, as a
matter of law and OSHA policy, to have the
complainant's identity held confidential, if
requested, regardless of the formality of the
complaint.
b. Workplace Inspections. The person giving
notice shall be informed that formal complaints
generally lead to workplace inspections while
nonformal complaints usually result in letters
requesting employers to undertake corrective
action.
c. Formalizing Oral Complaints. If the person is
filing a notice orally and makes a request to
formalize the complaint, the supervisor or
designated professional, after confirming that the
complainant is an employee or employee
representative, shall complete the OSHA-7 Form to
the extent possible prior to mailing for the
complainant's signature.
(1) If the signed complaint form is not returned
within 10 working days, it shall be treated
as a nonformal complaint; and a letter shall
be sent to the employer. If, nevertheless, a
signed complaint is received after 10 working
days but before a letter has been sent to the
employer, the complaint is to be considered
formal and evaluated as such.
(2) If a complainant filing orally declines to
formalize his complaint, the supervisor or
designated professional shall nevertheless
attempt to obtain the complainant's name,
address and telephone number.
d. Discrimination Complaint. The complainant
shall be advised of the protection against
discrimination afforded by Section 11(c) of the
Act and shall be informed of the procedure for
filing an 11(c) complaint.
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(4) If a late complaint inspection is to be
conducted, the Area Director may contact the
complainant to ensure that the alleged
hazards are still existent.
8. Responding to Nonformal Complaints. All nonformal
complaints shall receive a response. The procedures
described below include responses to nonformal
complaints designed to ensure correction of hazards
identified in the complaint:
a. Responding by Letter to Nonformal Complaints.
Upon receipt and evaluation of a nonformal
complaint, the Area Director, as soon as possible,
shall prepare a letter to the employer advising
him of the complaint, informing him of the
standards allegedly violated and outlining the
means to assess the hazard and/or the corrective
action required. The employer shall be asked to
investigate the alleged conditions and respond to
OSHA within a specified time. This letter shall
be sent by certified mail with return receipt
requested.
(1) Posting. The employer shall be requested
to post copies of OSHA's letter of
notification referred to in the previous
subparagraph together with all subsequent
correspondence dealing with the complaint
items including the employer's response until
such time as the case is closed by the Area
Office. The employer shall be informed that
a copy of the letter and subsequent
correspondence will be sent to the
complainant.
(2) Letter to Complainant. Concurrent with
the letter to the employer, a letter to the
complainant shall be prepared explaining that
the employer has been informed of the
complaint. It shall request the complainant
to notify the Area Director if no corrective
action has been taken or at least initiated
within 30 calendar days (or less if so
indicated in the letter to the employer) or
if any adverse or discriminatory action or
threats are made against the complainant. A
copy of the letter to the employer shall be
included with the letter to the complainant.
Copies of all subsequent correspondence shall
also be sent to the complainant.
(3) Employer Response. If a response is
received from the employer and it appears
that appropriate corrective action has been
taken or that no hazard is present, the case
file shall be closed. The complainant shall
be informed of all responses received from
the employer.
b. Responding by Inspection to Nonformal
Complaints. Where the employer fails to respond
or submits an inadequate response within the
period specified in the letter or where the
complainant informs OSHA that no corrective action
has been taken or the action taken is inadequate,
the Area Director shall contact the employer to
determine what further action he/she plans to
take. If no action has been taken and none is
planned, the nonformal complaint shall be
activated for inspection pursuant to the
priorities in A.7.b.(2).
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OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
(1) Status of Corrective Action. Where
an ambiguity exists or where the
employer has a correction plan which he
has not yet had time to implement fully,
the Area Director shall communicate
further, as appropriate, with the
employer and/or the complainant to
determine what interim protective steps
have been taken until the corrective
action shall have been completed and,
later, whether the hazard has been
adequately corrected. On the basis of
information available, the Area Director
shall decide whether an inspection is
warranted.
9. Scope of Inspection. Complaint inspections shall
include a complete investigation of the circumstances
of the complaint. These investigations may be expanded
at the discretion of the Area Director when any of the
conditions described in Chapter II, F.1.b. exists, but
see Chapter III, D.1.d.(5)(b). Any departure from
these guidelines shall be supported by adequate
documentation.
10. Procedures. In general, the procedures in Chapter
III shall be followed in conducting complaint
inspections. Particular attention, however, is
directed to the following special requirements for
complaint investigations:
a. Copy of the Complaint. A copy of the
complaint shall be given to the employer at the
opening conference.
(1) In the case of a multi-employer worksite,
such as a construction site, a copy of every
complaint, including those against
subcontractors, shall be provided to the
general contractor as well as to the employer
against whom the complaint has been filed.
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(2) A copy of every complaint against the general
contractor or against one or more of the
subcontractors shall be provided, if
possible, to each subcontractor whose
employees may be exposed to the alleged
hazard.
b. Identity of Complainant. Section 8(f)(1) of
the Act requires that, if the complainant so
requests, names shall be deleted from the
employer's copy of the complaint. If handwritten,
the complaint shall be typed, and reworded if
necessary, so that the identity of the complainant
cannot be discerned by the employer. The Regional
Administrator or the Area Director may decide, as
a matter of general policy, that names shall be
deleted from all complaints unless the complainant
explicitly requests that his or her name be
revealed.
c. Walkaround Rights. In a complaint inspection
the walkaround rights of an employer and an
employee representative shall be applicable in
accordance with Chapter III. The employee
representative will be chosen according to the
procedures in Chapter III and, thus, the
complainant will not necessarily be the employee
representative for walkaround purposes.
d. Results of Inspection to Complainant. After
the completion of an inspection based on a formal
or a nonformal complaint (except for a tenth
letter inspection), the complainant shall be
informed of the results as follows:.
(1) Each complaint item shall be addressed with a
reference to a citation item on an attached
copy of the OSHA-2 issued as a result of the
complaint inspection and/or with a
sufficiently detailed description of the
findings and why they did or did not result
in a citation.
(2) Except for cases involving changes of penalty
only, the complainant shall be informed of
any subsequent modification of the citation
due to an informal conference, a settlement
agreement, or a decision of the Review
Commission or a court, together with the
reasons for the modification.
e. Notification of Delays. If unusual delays are
met in issuing a citation resulting from a
complaint inspection, the complainant and, if
appropriate, the employee representative shall be
informed of such delays. A delay of more than 30
working days following the inspection would
warrant such notification.
f. Citation Not Warranted. If the Area Director
determines that a citation is not warranted, the
complainant shall be informed in writing of such
determination as outlined in A.10.d.(1).
(1) The complainant shall be told of his or her
right to seek further clarification for the
determination from the Area Director if any
questions remain.
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(2) At the same time, the complainant shall also
be informed that, if dissatisfaction with the
determination still remains after further
conversation with the Area Director, the
person may request that the Regional
Administrator investigate and determine if
the Area Director's decision was made in
accordance with current policy.
(a) It is OSHA's policy to grant the right
of informal review by the Regional
Administrator of such determination.
(b) The rules of procedure for obtaining
such a review are specified in 29 CFR
1903.12. The complainant should be
furnished with a copy of that procedure
and assisted to such extent as may be
reasonable.
(3) OSHA has administratively extended the same
right of informal review to cover the
complainant's disagreement with any
substantive element of the outcome of the
inspection.
g. Communication to Complainant. Written
communications to a complainant shall be sent to
the employee's home address unless specific
instructions have been given that such mail be
sent to the place of employment.
B. Referrals.
1. General. As a rule, referrals will be handled in a
manner similar to that of complaints.
2. Definitions. For purposes of this chapter, a
referral is normally distinguished from a complaint by
the source providing information on the alleged hazard.
a. Notices of hazards or alleged violations
originated by the sources listed in b. of this
section shall be considered as referrals except as
noted in b.(3). All other notices of hazards shall
be considered as complaints, including employee
complaints transmitted to the agency by 18(b)
States. Formal and nonformal complaints received
by other government agencies and simply forwarded
to OSHA for action are complaints since they
do not originate with the agency or its employees.
(See B.2.b.(4).)
b. Referrals may originate from the following
sources:
(1) CSHO Referrals. Serious hazards shall
normally be investigated by the CSHO who
observes them (after consultation with the
supervisor if required). On occasion,
however, special expertise may be needed to
assess the hazard. This may be obtained
through the referral process.
(a) Types of Referrals. There are two
types of CSHO referrals.
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CHAPTER X
DISCRIMINATION COMPLAINTS
This chapter has been removed. Refer to OSHA Instruction DIS .4B,
Investigator's Manual
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CHAPTER XIII
FEDERAL AGENCY 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.
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(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
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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.
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(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.
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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.
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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.
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(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.
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(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.
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(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.
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(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.
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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:
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(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.
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(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.
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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.
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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.
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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.
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(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.
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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
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Office of General Industry Compliance Assistance
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.
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(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.
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Office of General Industry Compliance Assistance
(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.
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December 13, 1993
Office of General Industry Compliance Assistance
(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.
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(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
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Office of General Industry Compliance Assistance
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
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Office of General Industry Compliance Assistance
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,
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Office of General Industry Compliance Assistance
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.
XIII-26
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
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.
XIII-27
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
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.
XIII-28
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
APPENDIX A
29 CFR 1960 CITABLE PROGRAM ELEMENTS
Program Element Citable Explanation
YES NO
1960.1(a-g) NO This section describes the purpose
and scope of 1960 program elements.
1960.2(a-x) NO This section provides definitions of
terms used in Part 1960.
1960.6(a-c) NO This section gives direction to the
agency head from the Secretary of
Labor.
1960.7(a-b) NO This section deals with budget
submission and funding of the
agencies Safety and Health Programs.
1960.8(a) YES This section is the "general duty
clause" element, that will replace
the Executive Order 201(a) for
enforcing serious hazards that are
not covered by a standard.
1960.8(b) YES This element gives specific
directions for all agencies to
comply with applicable OSHA
standards.
1960.8(c) YES This element gives specific
directions to all agencies to
develop, implement, and evaluate an
occupational safety and health
program.
1960.8(d) YES This element gives specific
directions to all agencies to
acquire, maintain, and require
employee use of approved personal
protective equipment (PPE) and
other safety equipment.
1960.8(e) NO This element gives general guidance
on providing specialized expertise
that may not apply to all agencies.
1960.9 NO This element gives guidance that can
vary between supervisors depending
upon their level of authority.
1960.10(a-d) NO This section on employee
responsibilities and rights is
directed toward employees not
management.
1960.11 YES This element provides for
accountability of managers and
supervisors and can apply equally to
all agencies.
XIII-A-1
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.12(a) NO This element gives instructions
that copies of the Act, EO 12196,
and 1960 program elements be made
available to employees and employee
representatives but each agency
could determine differently the
procedures for how requests should
be made and to whom.
1960.12(b) NO This element requires the agency to
provide the safety and health program
for the establishment to each
supervisor, committee member, and
employee representative. OSHA feels
it could not be enforced uniformly,
and that this issue is covered in the
training section 1960.55(a).
1960.12(c) YES This element directs all agencies to
post an agency occupational safety
and health poster informing employees
of the agency safety and health
program.
1960.12(d) NO This element gives guidance to the
agencies to request help with
developing their poster.
1960.12(e) NO This element gives guidance to
promote employee awareness, which
may not apply uniformly to all
agencies.
1960.16 NO This section requiring agencies to
comply with OSHA standards is too
broad to enforce uniformly.
1960.17(a-b) NO This section gives guidance to
interested agencies for applying for
an alternate standard.
1960.18(a-b) NO This section provides instructions
for agencies to follow if they wish
to adopt supplementary standards.
1960.19(a-c) NO This section provides instructions to
agencies when other Federal agency
standards affect safety and health.
1960.25(a) YES The last sentence requiring that
necessary equipment to conduct
inspections be provided can be
enforced in all agencies; the first
part of the paragraph is general
guidance that may not apply.
1960.25(b) NO This element applies only to agencies
requiring security clearance.
XIII-A-2
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.25(c) YES The first sentence requires that each
agency inspect each workplace
annually. The remaining part of the
element is general guidance that may
not apply to all agencies.
1960.25(d) NO This element encourages agencies to
coordinate safety and health
functions when several agencies are
responsible for conditions at a
site.
1960.26(a) NO These elements give general guidance
on how to prepare for an agency
inspection.
1960.26(b)(1-4) NO These elements give general guidance
on how agencies may conduct
inspections.
1960.26(b)(5) YES The first sentence gives specific
imminent danger instructions to the
inspector that can apply uniformly.
The rest of the paragraph gives
guidance dealing with imminent danger
that may not apply at all locations.
1960.26(b)(6) NO This element gives general guidance
to agencies on conducting closing
conferences.
1960.26(c)(1-4) YES These elements direct how agencies
should handle agency inspection
reports and notices of unsafe or
unhealthful conditions.
1960.27(a) YES The first sentence gives specific
instructions that the safety and
health inspector is in charge of
an agency inspection. The rest of
the paragraph is instructions that
would be difficult to enforce.
1960.27(b-d) NO These elements give general
inspection guidance that may not
apply at all locations.
1960.28(a-c) NO These elements give general guidance
on receiving employee reports of
unsafe or unhealthful working
conditions, that may not apply at
all locations.
1960.28(d)(1-2) NO These elements give general guidance
on receiving reports that may not
apply at all locations.
XIII-A-3
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.28(d)(3) YES This element gives specific time
frames for an agency to inspect
employee reports of hazards.
1960.28(d)(4) NO This element gives general guidance
about notifying the employee who
submitted the report of hazards.
1960.28(e) NO These elements give general guidance
to the Secretary of Labor on handling
reports.
1960.29(a) NO This element gives general guidance
on accident investigation that may
not apply at all locations.
1960.29(b) YES This element directs all agencies to
investigate accidents resulting in a
fatality or hospitalization of five
or more employees.
1960.29(c) NO This element requests that agencies
give the Secretary information gained
during an accident investigation
that may be helpful in developing a
new OSHA standard.
1960.29(d) YES This element requires agencies to
include specific information on all
investigative reports of accidents.
1960.30(a-e) YES This section gives specific
abatement directions that apply to
all agencies.
1960.31(a-d) NO This section gives guidance to OSHA
inspectors, and does not apply to
other agencies.
1960.34(a-d) YES This section gives specific
directions to General Services
Administration (GSA) and other
agencies that affect the safety
and health programs of agencies in
federally owned or leased
buildings.
1960.34(e) NO This section gives direction to GSA
for other services to user agencies
and does not apply to all agencies.
1960.35(a-c) NO This section gives direction to NIOSH
and does not apply to all agencies.
1960.36(a-b) NO This section gives a general
description of safety and health
committees.
XIII-A-4
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.37(a) NO This section gives general guidance
for agencies considering a
Certified Safety and Health
Committee.
1960.37(b) YES This section requires equal
representation of management and
non-management employees for those
agencies who choose to have a
Certified Safety and Health
Committee.
1960.37(c) NO This element discusses the terms
that members serve on Certified
Safety and Health Committees and
does not directly affect employee
safety and health.
1960.37(d) YES This element directs that the safety
and health committee chairperson
alternate between management and non-
management and applies equally for
those agencies who choose to have a
Certified Safety and Health Committee.
1960.37(e) YES This element requires that safety and
health committees meet on a regular
schedule and applies to those agencies
who choose to have a Certified Safety
and Health Committee.
1960.37(f-g) NO These elements are programmatic in
nature requiring advance notice of
meetings and maintaining written
records for all agencies that choose
to have committees.
1960.38(a-b) NO This section directs heads of agencies
to inform the Secretary that a
committee was formed.
1960.39(a-b) NO This section gives general guidance to
the agency of what information should
be made available to the committees.
1960.40(a-b) NO This section gives general guidance
for the duties of establishment
committees and may not apply at all
times.
1960.41(a-e) NO This section gives general guidance
for the duties of National committees
and may not apply at all times.
1960.46(a-b) NO This section does not provide specific
guidelines for developing a reprisal
program that could be equally measured
and enforced.
XIII-A-5
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.47 NO This section requires that reprisal
investigation findings be given to the
safety and health committee and to the
Secretary.
1960.54 NO This section gives general guidance
for top management to receive safety
and health training but the training
may not apply the same for all
agencies.
1960.55(a) YES This element requires agencies to
train all supervisory employees on
the Act, E.O. 12196, the agency
safety and health program, etc.
1960.55(b) NO This element gives general guidance on
training materials and may not apply
the same for all agencies.
1960.56(a) YES This element gives specific directions
for training agency safety and health
specialists.
1960.56(b) NO This section gives general guidance on
developing career development programs
for safety and health specialists and
may not apply the same for all
agencies.
1960.57 YES This section directs agencies to train
safety and health inspectors.
1960.58 YES This section directs agencies to train
collateral duty safety and health
personnel and committee members.
1960.59(a-b) YES This section directs agencies to train
employees and employee representatives
in safety and health appropriate to
the work performed.
1960.60(a-d) NO This section gives general guidance
for obtaining training assistance
and may not apply the same for all
agencies.
1960.66(a-g) NO This section describes the purpose and
scope of recordkeeping.
1960.67(a-c) YES This section directs all agencies to
maintain a record or log of
occupational injuries and illnesses.
XIII-A-6
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.68 YES This section directs all agencies to
maintain a supplementary record of
occupational injuries and illnesses.
1960.69(a) YES This element directs all agencies to
compile an annual summary of Federal
occupational injuries and illnesses.
1960.69(b) NO This element allows the last page of
the record or log to be posted as the
annual summery.
1960.69(c) NO This element requires the agency to
furnish to the Department of Labor a
copy of the summary when requested.
1960.70(a-c) YES This section gives directions to all
agencies when to report serious
accidents to OSHA.
1960.71(a) NO This element gives general guidance
to agencies to determine which
records and reports should be
maintained and made available to
safety and health inspectors.
1960.71(b) YES This element directs the agency to
have a copy of the injury and illness
log and supplementary records at each
establishment.
1960.71(c) NO This section gives general guidance
where records may be maintained under
special circumstances.
1960.71(d) YES This element directs all agencies
where and when to post the annual
summary.
1960.71(e) YES This element directs agencies to
ensure safety and health committees,
employees, former employees and
employee representatives have access
to the records and reports.
1960.72 YES This section directs all agencies to
make their records available to the
Secretary of Labor.
1960.73 YES This section directs all agencies to
retain records and reports for 5
years.
XIII-A-7
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
1960.74(a-b) NO This section provides the detail
needed in the annual report to the
Secretary of the agency's occupational
safety and health program.
1960.78(a-c) NO This section gives the purpose and
scope for evaluating agency safety
and health programs.
1960.79(a-b) NO This section requires each agency to
develop and implement their own
program of self-evaluation.
1960.80(a-g) NO This section gives specific
instructions to the Secretary of Labor
regarding evaluations of agencies
safety and health programs.
1960.84(a-b) NO This section describes the purpose of
Field Federal Safety and Health
Councils (Field Councils).
1960.85(a-b) NO This section describes the role of the
Secretary with Field Councils.
1960.86(a-d) NO This section describes how to
establish a Field Council.
1960.87(a-g) NO This section describes the objectives
of a Field Council.
1960.88(a-h) NO These elements give general guidance
on membership and participation and
may not apply the same for all Field
Councils.
1960.89(a-d) NO This section describes the
organization of a Field Council.
1960.90(a-d) NO This section describes the general
operating procedures for Field
Councils.
Office of Federal Agency Programs (revised January 18, 1994)
XIII-A-8
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
INDEX
AVD (Alleged Violation Description). . . . . . . . . . . . .V-17
Abatement
Action. . . . . . . . . . . . . . . . . . . . . . . .III-64
Assistance. . . . . . . . . . . . . . . . .I-11, III-67, 81
Considerations. . . . . . . . . . . . . . . . . . . .III-74
Effect of Contest . . . . . . . . . . . . . . . . . .III-69
Feasible. . . . . . . . . . . . . . . . . . . .III-69 to 71
Interim . . . . . . . . . . . . . . . . . . . . . . .III-74
Long Term . . . . . . . . . . . . . . . . . . . . . .III-74
Multistep . . . . . . . . . . . . . . . . . . . . . .III-73
PMA (see Petition to Modify Abatement Date)
Partial . . . . . . . . . . . . . . . . . . . . . . . VI-13
Period. . . . . . . . . . . . . . . . . . . . .III-67 to 69
Plan. . . . . . . . . . . . . . . . . . . . III-72, XIII-27
Verification of . . . . . . . . . . . . . . III-68, XIII-27
Abatement Date
Long-Term . . . . . . . . . . . . . . . . . . . . . .III-72
Multiple . . . . . . . . . . . . . . . . . . . . . . .II-6
Reasonable . . . . . . . . . . . . . . . . . . . . .III-67
Access to
BLS Survey Questionnaire (OSHA-200S). . . . . . . . .III-41
Classified Areas. . . . . . . . . . . . . . . . . . .III-40
Defense Plants. . . . . . . . . . . . . . . . . . . . III-5
Medical and Exposure Records (see Records,
see also OSHA pamphlet OSHA 3110). . .III- 14, 33, 41, IV-3
Records . . . . . . . . . . . . . . . .III-52, VI-18, XII-2
Safety & Health Program . . . . . . . . . . III-45, III-A-4
Accident (see Fatality/Catastrophe under Inspections)
Action Plans
Guidelines for. . . . . . . . . . . . . . . . . . .XIII-A-1
Additions/Deletions
Establishment Lists . . . . . . . . . . . . . . . II-14, 22
Inspection Cycle. . . . . . . . . . . . . . . . . . . II-30
Addresses
Contractor. . . . . . . . . . . . . . . . . . . . . . XII-6
Adjustment Factors . . . . . . . . . . . . . . . . . . . . .VI-9
Administrative
Controls (see also Feasible). . . . . . . . . . .III-53, 69
Subpoena. . . . . . . . . . . . . . . . . . III-12, XIII-13
Index-1
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Administrative Costs
Debts . . . . . . . . . . . . . . . . . . . . . . . . VI-26
Administrative Law Judge (ALJ) . . . . . . . . . . . . . . VI-24
Advance Notice . . . . . . . . . . . . . . . III-6, VII-3, XII-2
Affected Employee (see Employee)
Affirmative Defenses . . . . . . . . . . . . . . . . . . . . V-7
Greater Hazard. . . . . . . . . . . . . . . . . . . . . V-8
Impossibility . . . . . . . . . . . . . . . . . . . . . V-8
Unpreventable Employee Misconduct (Isolated Event). . . V-7
Agency Technical Assistance Requests (ATARs) . . . . . . XIII-22
Agreements (see Settlements)
Air Contaminant Standards. . . . . . . . . . . . . . . . . IV-37
Alleged Violation Description (AVD). . . . . . . . . . . . .V-17
Alleging
Imminent Danger (in Complaints) . . . . . . . . . . . .IX-8
Violations (in Complaints). . . . . . . . . . . . . . .IX-6
Alternative
Housing . . . . . . . . . . . . . . . . . . . . . . . .XI-6
Means of Employee Protection. . . . . . . . . . . . V-8, 10
Monitoring Schedule . . . . . . . . . . . . . . . . . .II-7
Scheduling. . . . . . . . . . . . . . . . . . . . . . II-31
Standards . . . . . . . . . . . . . . . . . .IV-12, 14, V-3
Amending (see also Settlements and Withdrawals)
Citation (also see Informal Conference) . . . . . . . .V-10
Apparent Violation . . . . . . . . . . . . . . . . . . . .III-40
Area Directors
Administration of Inspection List . . . . . . . . . . II-24
Pre-Citation Review of 5(a)(1). . . . . . . . . . . . IV-15
Responsibilities
. . . . . I-2, IV-27, 31, 32, VI-20, VII-1, VIII-2, XIII-25
Settlements . . . . . . . . . . . . . . . . . . . . . .V-12
Area Office Supervisors
Responsibilities. . . . . . . . . . . . . . . . . . . . I-4
Assessment
Procedures. . . . . . . . . . . . . . . . . . . . . . VI-26
Audiotape (see also CPL 2.98). . . . . . . . . . . . . . .III-40
Authorized Representative (see Employee, Employer, and
Representative)
Bankrupt/Out of Business . . . . . . . . . . . . . . . . .III-19
Biological Monitoring. . . . . . . . . . . . . . . . . . . IV-41
Catastrophe. . . . . . . . . . . . . . . .III-21, VIII-1, XIII-6
Certification
Form for Contested Cases. . . . . . . . . . . . . . . .XV-2
Certified Committee. . . . . . . . . . . . . . . . . . . .XIII-9
Choice of Standards. . . . . . . . . . . . . . . . . . . . .XI-1
Index-2
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Citable Program Elements . . . . . . . . . . . .XIII-3, XIII-A-1
Citation
5(a)(1) (see General Duty)
Amending. . . . . . . . . . . . . . . . . . . . . . . .V-10
Construction. . . . . . . . . . . . . . . . . . . . . XII-6
Contesting (see also Notice under Contest). . . . . .III-62
Imminent Danger . . . . . . . . . . . . . . . . . . . VII-7
Issuing . . . . . . . . . . . . . . . . .III-60, V-9, IX-11
Mailing . . . . . . . . . . . . . . . . . . . . . . . XII-6
Not Warranted . . . . . . . . . . . . . . . . . . . . IX-11
Posting . . . . . . . . . . . . . . . . . . . III-60, XII-6
Six Month Limitation. . . . . . . . . . . . . . . . . . V-2
Violation-By-Violation (Egregious). . . . . . . . . V-6, 10
Violation Types (see Violations)
Withdrawing . . . . . . . . . . . . . . . . . . . . . .V-10
Writing . . . . . . . . . . . . . . . . . . . . . . . . V-2
Classification
Air Contaminant . . . . . . . . . . . . . . . . . . . IV-37
Classified Areas . . . . . . . . . . . . . . . . . . . . .III-40
Classified Information/Trade Secrets . . . . . III-6, 30, 39, 57
Clearance (see Security Clearance)
Closing Conference . . . . . . . . . . III-58, III-A-5, XII-4, 6
Collecting Samples . . . . . . . . . . . . . . . . . .III-53, 88
Combining Violations . . . . . . . . . . . . . . .V-3 to 5, VI-7
Complaints
CASPA (Complaint About State Program Administration).XIV-11
Checklist . . . . . . . . . . . . . . . . . . . . . . .IX-7
Compulsory Process. . . . . . . . . . . . . . . . . .III-15
Construction. . . . . . . . . . . . . . . . . . . . . XII-4
Consultation. . . . . . . . . . . . . . . . . . . . .III-27
Discrimination. . . . . . . . . . . . . . . . . . . IX-4, X
Employee, Right of. . . . . . . . . . . . . . . . . .III-55
Expanded Scope of Inspection. . . . . . . . . . . . . IX-10
Federal Agencies. . . . . . . . . . . . . . . . . . .XIII-7
Formal. . . . . . . . . . . . . . . . . . . . . . . IX-2, 8
Imminent Danger Alleged . . . . . . . . . . . . . . . .IX-8
Investigations. . . . . . . . . . . . . . . . . . . .III-22
Letters . . . . . . . . . . . . . . . . . . . . . . . .IX-9
Nonemployee (see Nonformal)
Nonformal . . . . . . . . . . . . . . . . . . . . . IX-3, 9
Oral. . . . . . . . . . . . . . . . . . . . . . . . .XIII-8
Response. . . . . . . . . . . . . . . . . . . . . . . .IX-6
Index-3
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Temporary Labor Camps . . . . . . . . . . . . . . . . .XI-3
Workplace . . . . . . . . . . . . . . . . . . . . . . .IX-1
Compliance Safety and Health Officer (CSHO)
Comply with Employer Rules. . . . . . . . . . . . .III-3, 4
Equipment . . . . . . . . . . . . . . . . . . . . . . III-2
Personal Security Clearance . . . . . . . . . . . . . III-4
Planning. . . . . . . . . . . . . . . . . . . . . . . III-1
Responsibilities. . . . . . . . . . . . . I-5, III-1, XII-1
Subpoena Served on. . . . . . . . . . . . . . . . . . . I-6
Testifying. . . . . . . . . . . . . . . . . . . . . . . I-6
Comprehensive (see Inspections/Investigations)
Compulsory Process . . . . . . . . . . . . . . . . III-2, 13, 17
Conference
Closing . . . . . . . . . . . . . III-58, III-A-5, XII-4, 6
Informal. . . . . . . . . . . . . . . . III-61, 82, XIII-26
Opening . . . . . . . . . . . . . III-21, 23, VIII-3, XII-3
Telephone . . . . . . . . . . . . . . . . . . . . . .III-82
Confidential (see also Trade
Secrets). . . . . .I-6, III-5, 30, 56, VIII-5, IX-1, 4, XIV
Consensus Standards. . . . . . . . . . . . . . . . . . . . IV-32
Construction (see Chapter XII generally)
Closing Conference. . . . . . . . . . . . . . . . .XII-4, 6
Department of Energy (DOE). . . . . . . . . . . . . .III-38
Exemptions and Limitations. . . . . . . . . . . . . . II-35
Repeated Violations . . . . . . . . . . . . . . . . . IV-29
Scheduling. . . . . . . . . . . . . . . . . . . . . . II-20
Consultation (see also TED 3.5)
Contract Consultations and 7(c)(1). . . . . . . . . .III-25
Exemption from Inspection . . . . . . . . . . . . . .III-26
Pre-Citation. . . . . . . . . . . . . . . . . . . . . . V-1
Services, State Funded. . . . . . . . . . . . . . . .III-66
Voluntary Compliance Programs . . . . . . . . .I-11, III-25
Voluntary Protection Programs . . . . . . .I-11, III-28, 67
Contest. . . . . . . . . . . . . . . . . . . . . . . . . . VI-12
Notice of . . . . . . . . . . . . . . . .II-7, III-62, XV-1
Parties Served. . . . . . . . . . . . . . . . . . . . .XV-5
Procedures. . . . . . . . . . . . . . . . . . . . . . .XV-1
Process . . . . . . . . . . . . . . . . . . . .III-63
Controlling Employer (Re: Multi-employer Worksites). . . . . V-9
Controls (Administrative and Engineering). . . . . . . . .III-52
Corporate-Wide Settlements (see also CPL 2.90) . .II-7, V-13, 18
Correcting Employer (Re: Multi-employer Worksite). . . . . . V-9
Index-4
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Correspondence
CSHO. . . . . . . . . . . . . . . . . . . . . . . . . . I-7
Public, with. . . . . . . . . . . . . . . . . . . . . . I-7
Court Orders . . . . . . . . . . . . . . . . .III-17, VII-6 to 8
Credentials
Presentation of . . . . . . . . . . . . . . . . . . .III-10
Creating Employer (Re: Multi-employer Worksite). . . . . . . V-9
Credit Reporting Bureau. . . . . . . . . . . . . . . . . . VI-29
Criminal . . . . . . . . . . . . . . . . . . . . . . . . .VIII-6
Criminal (Willful) . . . . . . . . . . . . . . . . . . . . IV-25
DCAT (Debt Collection Accountability Team) . . . . . . . . VI-28
Dates
Abatement (see Abatement Date)
Final Order . . . . . . . . . . . . . . . . . . . . . VI-24
Payment . . . . . . . . . . . . . . . . . . . . . . . VI-21
Death (see Fatality)
Debt Collection
Agency. . . . . . . . . . . . . . . . . . . . . . . . VI-29
Policy. . . . . . . . . . . . . . . . . . . . . . . . VI-23
Procedures. . . . . . . . . . . . . . . . . . . . . . VI-23
Decisions
Informal Conference . . . . . . . . . . . . . . . . .III-84
Review Commission (OSHRC) . . . . . . . . . . . . . . VI-24
Definitions
Administrative Defenses . . . . . . . . . . . . . . . . V-7
Catastrophe . . . . . . . . . . . . . . . . . . . . .VIII-1
Citable Program Elements. . . . . . . . . . . . . . .XIII-3
Combining . . . . . . . . . . . . . . . . . . . . . . . V-3
Complaint . . . . . . . . . . . . . . . . . . . . . . .IX-1
Construction Work . . . . . . . . . . . . . . . . . . XII-1
Delinquent Debt . . . . . . . . . . . . . . . . . . . VI-25
Employee. . . . . . . . . . . . . . . . . . . . IV-16, IX-2
Establishment . . . . . . . . . . . . . . . . . . . .XIII-3
Establishment Official. . . . . . . . . . . . . . . .XIII-4
Fatality. . . . . . . . . . . . . . . . . . . . . . .VIII-1
Formal Complaint. . . . . . . . . . . . . . . . . . . .IX-2
Grouping. . . . . . . . . . . . . . . . . . . . . . . . V-4
Horizontal & Vertical Standards . . . . . . . . . . . .IV-1
Hospitalization . . . . . . . . . . . . . . . . . . .VIII-1
Imminent. . . . . . . . . . . . . . . . . . . . . . . VII-1
Migrant Housing Facility. . . . . . . . . . . . . . . .XI-1
New Construction (re: Temporary Labor Camps). . . . . .XI-1
Nonformal Complaint . . . . . . . . . . . . . . . . . .IX-3
Index-5
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Referrals . . . . . . . . . . . . . . . . . . . . . . IX-12
Reporting Fatalities/Catastrophes . . . . . . . . . .VIII-1
Representative of Employee. . . . . . . . . . . . . . .IX-2
Temporary Labor Camps . . . . . . . . . . . . . . . . .XI-1
Worksite. . . . . . . . . . . . . . . . . . . . . . . XII-2
Delay in Issuing Citation (see Issuing under Citation)
Delinquent
Charge. . . . . . . . . . . . . . . . . . . . . . . . VI-26
Debt. . . . . . . . . . . . . . . . . . . . . . . . . VI-25
Demand Letters (in Debt Collection). . . . . . . . . . . . VI-25
De Minimis Violations. . . . . . . . . . . . . . . III-66, IV-31
Denial of Entry. . . . . . . . . . . .III-11, 18, VII-4, XIII-13
Department of Energy (DOE) . . . . . . . . . . . . . . III-4, 38
Designee for State Plan States (see STP 2.22A)
Diary (Inspection Case File Activity). . . . . . . . . .III-A-25
Disclaimers. . . . . . . . . . . . . . . . . . . . . . . .III-81
Disclosure (see also Nondisclosable Information) . . . . . XIV-1
Discrimination
Employee. . . . . . . . . . . . . . . . . . . . . . .III-65
OSH Act 11(c) . . . . . . . . . . . . . . . . . . . . . X-1
Disposition of Files (see Retention)
Documentation
Administrative Defenses . . . . . . . . . . . . . . . . V-8
Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-5
Exposure. . . . . . . . . . . . . . . . . . . . . . . IV-17
Migrant Housing Inspections . . . . . . . . . . . . . .XI-4
Proper Case File. . . . . . . . . . . . . . . . . . .III-87
Economic Feasibility (see also Feasible) . . . . . . . . .III-71
Egregious Penalty (Violation-by-Violation) . . . . . . . V-6, 10
Emergency Procedures (Employer's Program). . . . . . . . .III-52
Emergency Situations . . . . . . . . . . . . . . . . . . .VIII-9
Emphasis Programs
Experimental (Pilot). . . . . . . . . . . . . . . II-31, 32
Local . . . . . . . . . . . . . . . . . . II-24, 25, 30, 31
National. . . . . . . . . . . . . . . . . . . . . . . II-31
Special . . . . . . . . . . . . . . . . . II-10, 31, XIII-6
Employee
Affected. . . . . . . . . . . . . . . . . . . . . . . .IV-6
Complaints. . . . . . . . . . . . . . . . . . . . . . . .IX
Definition. . . . . . . . . . . . . . . . . . . . . . IV-16
Discrimination. . . . . . . . . . . . . . . . . . . .III-65
Exposure. . . . . . . . . . . . . . . . . . . . . . . IV-16
Interview . . . . . . . . . . . . . . . . . . III-55, XII-5
Index-6
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Misconduct (Isolated Event Defense) . . . . . . . . . . V-7
Objection to PMA. . . . . . . . . . . . . . . . . . .III-80
Other Employer, of. . . . . . . . . . . . . . . . . .III-24
Refusal to Comply . . . . . . . . . . . . . . . . . . . V-7
Representative. . . . . . . . . . . III-36, XII-3, 4, XIV-8
Responsibilities. . . . . . . . . . . . . . . . . . . . V-6
Rights (see also Walkaround). . . . . . . . . .III-55, IX-4
Employer
Abatement Assistance. . . . . . . . . . . . . . .III-67, 81
Advance Notice. . . . . . . . . . . . . . . . . . . . III-6
Affirmative Defenses. . . . . . . . . . . . . . . . . . V-7
Bankrupt/Out of Business. . . . . . . . . . . . . . .III-19
Compliance Program. . . . . . . . . . . . . . . . . .III-52
Contacts. . . . . . . . . . . . . . . . . . . . . . . .II-3
Contest . . . . . . . . . . . . . . . . . . . . . . . VI-12
Control of Hazard . . . . . . . . . . . . . . . . . . .IV-6
Controlling (Re: Multi-employer Worksite) . . . . . . . V-9
Correcting (Re: Multi-employer Worksite). . . . . . . . V-9
Creating (Re: Multi-employer Worksite). . . . . . . . . V-9
Exposing (Re: Multi-employer Worksite). . . . . . . . . V-9
Good Faith. . . . . . . . . . . . . . . . . . . . VI-10, 14
History . . . . . . . . . . . . . . . . . . . . . . . VI-11
Interference. . . . . . . . . . . . . . . . . . .III-12, 18
Multifacility . . . . . . . . . . . . . . . . . . . . IV-29
Recognition . . . . . . . . . . . . . . . . . . . . . .IV-9
Refusal of Entry. . . . . . . . .III-11, 18, VII-4, XIII-13
Representative. . . . . . . . . . . . .III-36, XII-4, XIV-8
Resistance. . . . . . . . . . . . . . . . . . . . . . III-5
Response to Complaints. . . . . . . . . . . . . . . . .IX-9
Responsibilities. . . . . . . . . . . . . . . . . . . . V-6
Rules . . . . . . . . . . . . . . . . . . . . . . . . III-3
Size. . . . . . . . . . . . . . . . . . . . . . . . . .VI-9
Engineering Controls . . . . . . . . . . . . . . . . .III-52, 69
Entry, refusal of. . . . . . . . . . . . . . . .III-9, 11, XII-3
Equipment
Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-3
Inspection. . . . . . . . . . . . . . . . . . . . . . III-2
Personal Protective
. . . III-52, 73 to 76, IV-14, 16, 34, 37 to 40, VI-5, IX-7
Respirators (see Respirator)
Establishment Lists. . . . . . . . . . . . . . . . . . II-12, 13
Exempt from Disclosure . . . . . . . . . . . . . . . . . . XIV-7
Exemption from Inspection. . . . . . . . . . . . . . . . .III-26
Expert Assistance. . . . . . . . . . . . . . . . . III-3, VIII-8
Index-7
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Exposing Employer (Re: Multi-employer) . . . . . . . . . . . V-9
Exposure . . . . . . . . . . . . . . . . . . . . . . . . . IV-16
FOIA (Freedom of Information Act). . . . . . . . . . VIII-5, XIV
Failure to Abate (see Penalty and Violations)
False Information. . . . . . . . . . . . . . . . . . . . .III-65
Family
FOIA. . . . . . . . . . . . . . . . . . . . . . . . .XIV-12
Victims . . . . . . . . . . . . . . . . . . . . . . .VIII-4
Fatality/Catastrophe . . . . . . . . . . .III-21, VIII-1, XIII-6
Definition. . . . . . . . . . . . . . . . . . . . . .III-15
Disclosure. . . . . . . . . . . . . . . . . . . . . . XIV-9
Flash Reports (Refer to CPL 2.97) . . . . . . . . . .VIII-6
Reports (Federal Agencies). . . . . . . . . . . . . .XIII-6
Feasible
Controls. . . . . . . . . . . . . . . . . . . . . . .III-69
Correction of Hazard. . . . . . . . . . . . . . . . . IV-10
Economic. . . . . . . . . . . . . . . . . . . . . . .III-71
Work Practices. . . . . . . . . . . . . . . . . . . .III-69
Federal Agencies (Construction). . . . . . . . . . . . . . XII-4
Federal Agency Programs. . . . . . . . . . . . . . . . . . .XIII
Federal Marshal Assistance . . . . . . . . . . . . . . . .III-18
Field Sanitation (see also CPL 2-2.42) . . . . . . . . . . . .XI
Final Order. . . . . . . . . . . . . . . . . . . . . II-7, VI-24
First Sighting of Alleged Violation (see also Apparent under
Violations) . . . . . . . . . . . . . . . . . . . . .III-40
Follow-up. . . . . . . . II-5, III-8, 16, 22, 64, 86, V-9, VII-8
Formal
Complaints. . . . . . . . . . . . . . . . . . . . . IX-2, 8
Settlements . . . . . . . . . . . . . . . . . . . . .V-16.1
Forms/Pamphlets
OSHA-1 (Inspection Report). . . . . . . . . . . . . . XIV-2
OSHA-1A (Narrative) . . . . . . . . . III-A-11, XIV-2, 6, 8
OSHA-1B or 1BIH (Worksheets). . . . . . . . . . . .XIV-3, 8
OSHA-2 (Citation & Notification of Penalty) . XIV-1,3, XV-3
OSHA-2B (Notification of Failure to Abate Alleged
Violations) . . . . . . . . . . . . . . . . .XIV-1, 3, XV-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) . . . . . . . . . . . . .IX-2, 4 to 6, XIV-3, 6, 9
OSHA-8 (Notice of Alleged Imminent
Danger). . . . . . . . . . . . . . . III-A-13, VII-7, XIV-4
OSHA-36/36F (Fatality/Catastrophe Report) . . . . .XIV-4, 9
OSHA-82/82S (Report of Filing of Complaint Under 11(c)) .IX
OSHA-89 (Photo Mounting Worksheet). . . .III-A-17, XIV-4, 7
OSHA-90 (Referral Report) . . . . . . . . . . . . .XIV-4, 9
OSHA-91A (Air Sampling Worksheet) . . . . . . .XIV-4, 7, 10
Index-8
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
OSHA-91B (Air Sampling Report). . . . . . . . . . . . XIV-4
OSHA-92 (Noise Survey Report) . . . . . . . . . . XIV-4, 10
OSHA-93 (Direct Reading Report) . . . . . . . .XIV-5, 7, 10
OSHA-94 (Note Taking Sheet) . . . . . . . . . . . .III-A-21
OSHA-98 (Screening Report). . . . . . . . . . . . . . XIV-5
OSHA-99 (Octave Band Analysis & Impact Noise) . . XIV-5, 10
OSHA-101/101S (Supplementary Record of Occupational Injuries
& Illnesses). . . . . . . . . . . . . . . . . . . . . VI-17
OSHA-146 (Field Operations Program Plan). . . II-16, 27, 28
OSHA-166 (Citation Record Update) . . . . . . . . . . XIV-5
OSHA-167C (Complaint Record Update) . . . . . . . XIV-5, 10
OSHA-167I (Investigation Record Update) . . . . . . . XIV-5
OSHA-170 (Investigation Summary). . . . . . . . . XIV-5, 11
OSHA-200 (Log & Summary of Occupational Injuries &
Illnesses) . . . . . . . . . . . . .III-40, VI-16, XIII-14
OSHA-200S (BLS Survey Questionnaire). . . . III-41, XIII-14
OSHA-3000 (pamphlet). . . . . . . . . . . . . .III-59, XV-3
Freedom of Information Act (FOIA). . . . . . . . . . VIII-5, XIV
Full Service Area Office . . . . . . . . . . . . . . .I-11 to 13
GOCO (Government-Owned Contractor-Operated). . . . . . . .XIII-2
General Duty . . . . . . . . . . . . . . . . . . . . .IV-4 to 16
Classification. . . . . . . . . . . . . . . . . . . . IV-14
Complaint . . . . . . . . . . . . . . . . . . . . . . .IX-1
Enforcement . . . . . . . . . . . . . . . . . . . . . IV-15
Example ADV . . . . . . . . . . . . . . . . . . . . . .V-23
Federal Agency. . . . . . . . . . . . . . . . . . . .XIII-3
Limitations . . . . . . . . . . . . . . . . . . . . . IV-12
Pre-Citation Review . . . . . . . . . . . . . . . . . IV-15
Requirements. . . . . . . . . . . . . . . . . . . .IV-4, 11
Use of. . . . . . . . . . . . . . . . . . . . . . . . IV-11
Good Faith . . . . . . . . . . . . . . . . . . . . . . VI-10, 14
Gravity (see also Penalty and Violations). . . . . .IV-29, VI-14
Greater Hazard Defense . . . . . . . . . . . . . . . . . . . V-8
Grouping Violations. . . . . . . . . . . . . . . .V-3 to 5, VI-7
Handouts . . . . . . . . . . . . . . . . . . . . . . . . .III-24
Hazard
Absorption. . . . . . . . . . . . . . . . . . . . . . IV-40
Definition. . . . . . . . . . . . . . . . . . . . . . .IV-4
Ingestion . . . . . . . . . . . . . . . . . . . . . . IV-39
Not Covered By Standard . . . . . . . . . . . . . . . IV-16
Recognized. . . . . . . . . . . . . . . . . . . . . . .IV-7
Serious . . . . . . . . . . . . . . . . . . . . . . . .IV-9
Hazard Communication . . . . . . . . . . . . . . . . . . . IV-18
Index-9
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Health
Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-7
Inspections . . . . . . . . . . . . . . III-22, 50, III-A-6
Referrals . . . . . . . . . . . . . . . . . . . . . . IX-14
Standards (see specific type)
Violations. . . . . . . . . . . . . . . . . . . IV-32, VI-4
Hearings (see also Conferences)
CSHO Testifying at. . . . . . . . . . . . . . . . . . . I-6
Review Commission . . . . . . . . . . . . . . . . . . . .XV
History (of Employer). . . . . . . . . . . . . . . . . . . VI-11
Horizontal Standards . . . . . . . . . . . . . . . . . . . .IV-1
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). . . .II-13, III-85, V-2, 16, V-17, VI-22, 27 to 29
Identity of Complainant. . . . . . . . . . . . . . . . . . IX-11
Immediate Correction . . . . . . . . . . . . . . . .VI-11, VII-8
Imminent Danger. . . . . . .III-15, III-A-13, VI-11, VII-1, IX-8
Immunization . . . . . . . . . . . . . . . . . . . . . III-4, 58
Impossibility Defense. . . . . . . . . . . . . . . . . . . . V-8
Industry Rank Report . . . . . . . . . . . . . . . . . . . II-11
Informal
Complaints (see Nonformal Complaints)
Conference. . . . . . . . . . . . . . . . . . . .III-61, 82
Settlements (see also ADM 1-1.13A,
Chapter VIII). . . . . . . . . . . . . . . . . V-12, 14, 18
Information
Classified and Trade Secrets . . . . . . . . . . . . III-6
Disclosable . . . . . . . . . . . . . . . . . . . . . XIV-2
Exempt from Disclosure. . . . . . . . . . . . . . . . XIV-7
False . . . . . . . . . . . . . . . . . . . . . . . .III-65
Nondisclosable. . . . . . . . . . . . . . . . . . . . XIV-5
Public Information Policy . . . . . . . . . . . . . . .I-13
Release of Inspection Information . . . . . . . . . . . I-6
Services. . . . . . . . . . . . . . . . . . . . . . . .I-10
Inspection
Case File Diary . . . . . . . . . . . . . . . . . .III-A-25
Cycle . . . . . . . . . . . . . . . . . . . . . . . . II-17
List. . . . . . . . . . . . . . . . . . . . . . . . . II-21
Register. . . . . . . . . . . . . . . . . . . . . . . II-16
Scheduling. . . . . . . . . . . . . . . . . . II-11, 17, 20
Inspections/Investigations
Advance Notice. . . . . . . . . . . . . . . . . . . . III-6
Catastrophe . . . . . . . . . . . . .III-21, VIII-1, XIII-6
Category. . . . . . . . . . . . . . . . . . . . . . . .II-3
Index-10
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Complaint . . . . . . . . . . . . . . . . . . . . . .III-22
Comprehensive (wall-to-wall). . . . . .II-2, III-45, VIII-3
Construction. . . . . . . . . . . . . . . . . . . . . . XII
Criteria. . . . . . . . . . . . . . . . . . . . . . . .II-2
Entry of Workplace. . . . . . . . . . . . . . . . . . III-9
Exemption from (Consultation) . . . . . . . . . . . .III-26
Fatality. . . . . . . . . . . . . . .III-21, VIII-1, XIII-6
Follow-up . . . . . II-5, III-8, 16, 22, 64, 86, V-9, VII-8
Health. . . . . . . . . . . . . . . . . . . . . .III-22, 50
Imminent Danger . . . . . . . . . . . . . III-15, 21, VII-3
Interference. . . . . . . . . . . . . . . . . . . . .III-12
Materials and Equipment . . . . . . . . . . . . . . . III-2
Monitoring. . . . . . . . . . . . . . .II-7, III-16, 22, 88
Partial . . . . . . . . . . . . . . . . . . . . . . . .II-2
Planning (see also Scheduling). . . . . . . . . . . . III-1
Priorities. . . . . . . . . . . . . . . . . . . . . II-3, 4
Programmed. . . . . . . . . . . . . II-1, 9, III-16, 20, 22
Referrals (see also Referrals). . . . . . . . .II-9, III-22
Refusal of Entry. . . . . . . . .III-11, 18, VII-4, XIII-13
Reinspections . . . . . . . . . . . . . . . . . . . . .II-9
Release of Information. . . . . . . . . . . . . . . . . I-6
Scheduling. . . . . . . . . . . . . . . . . . . . . . . .II
Scope
Complaint Inspections. . . . . . . . . . . . . . IX-10
Discrimination Complaints. . . . . . . . . . . . . X-1
Fatality/Catastrophe Inspections . . . . . . . .VIII-3
Inspection . . . . . . . . . . II-1, 4, 11, 17, III-23
Selection Criteria. . . . . . . . . . . . . . . . . . .II-2
Targeting . . . . . . . . . . . . . . . . .II, XI-2, XIII-4
Teams (for Fatality/Catastrophe). . . . . . . . . . .VIII-2
Temporary Labor Camps (see also CPL 2-2.42) . . . . . . .XI
Time of . . . . . . . . . . . . . . . . . . . . . . . III-9
Types (see also specific types) . . . . . . . . . . . .II-1
Unprogrammed. . . . . . . . . . . . . . . . II-1, 4, III-20
Walkaround. . . . . . . . . . . . . . . . . . . . . .III-43
Workplace . . . . . . . . . . . . . . . . . . . . . . .IX-4
Integrated Management Information System (IMIS) (see also
ADM 1-1.27, IMIS Standard Form Letter
Manual). . . .II-13, III-85, V-2, 16, V-17, VI-22, 27 to 29
Interference . . . . . . . . . . . . . . . . . . . . . . .III-39
Interviews . . . . . . . . . . . . . . . . . . . . III-54, XII-5
Families of Victims . . . . . . . . . . . . . . . . .VIII-4
Privacy . . . . . . . . . . . . . . . . . . . . . . .III-55
Statements. . . . . . . . . . . . . . . . . . . . . .III-56
Index-11
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Investigations (see Inspections/Investigations)
Isolated Event Defense . . . . . . . . . . . . . . . . . . . V-7
Issuing Citations (see also Citation)
Multi-employer Worksites. . . . . . . . . . . . . . . . V-9
Special Circumstances . . . . . . . . . . . . . . . . . V-9
Violation-By-Violation. . . . . . . . . . . . . . . . .V-10
Jurisdiction (see also Preemption)
Federal Agency. . . . . . . . . . . . . . . . . . . .XIII-1
Labor Dispute/Strike . . . . . . . . . . . . . . . . .III-20, 38
Labor/Management Programs. . . . . . . . . . . . . . . . . .I-11
Laws
Freedom of Information Act (FOIA) . . . . . . . . . .VIII-5
OSHA's Annual Appropriations
Act. . . . . . . . . . . . . .I-12, II-35, III-30, VI-2, 15
Legal
Advice (Fatalities/Catastrophe) . . . . . . . . . . .VIII-9
Discrimination Complaints . . . . . . . . . . . . . . . X-1
Limitations (per Appropriations
Act). . . . . . . . . . . . . I-12, II-35, III-30, VI-2, 15
Service . . . . . . . . . . . . . . . . . . . . . . . .XV-5
Subpoena (see also Administrative Subpoena) . . . I-6, XV-6
Legislation
Limitations . . . . . . . . . I-12, II-35, III-30, VI-2, 15
Letters (Demand) . . . . . . . . . . . . . . . . . VI-25, 27, 29
Liaison
Other Agencies. . . . . . . . . . . . . . . . . . . . .XI-2
Limitations
Appropriations Act. . . . . . . . . . . . . . II-35, III-30
Statute of (for issuing citations). . . . . . . . . . . V-2
Time (see Time)
Local Emphasis Programs (LEP). . . . . . . . . II-24, 25, 30, 31
Lockout/Tagout . . . . . . . . . . . . . . . . . . . . . .III-41
Log & Summary of Occupational Injuries/Illnesses
(OSHA-200). . . . . . . . . . . . . . . . . .VI-16, XIII-14
Longshoring. . . . . . . . . . . . . . . . . . . . . . . . IV-30
Lost Workday Injury Rate (LWDI Rate) . . . . . . . . .III-30, 34
Mailing
. . .Citation . . . . . . . . . . III-60, III-A-1, 2, XII-7
Collecting Monies . . . . . . . . . . . . . . . . . . VI-20
Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-4
. . .Complaints (11(c)) . . . . . . . . . . . . . . . . X-1
Demand letters. . . . . . . . . . . . . . . . VI-25, 27, 29
Informal Settlements. . . . . . . . . . . . . . . . . IV-14
Notice of Contest . . . . . . . . . . . . . . . . . XV-1, 4
PMA . . . . . . . . . . . . . . . . . . . . . .III-76 to 81
Index-12
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Payments/Payment Instruments. . . . . . . . . VI-21, 22, 27
Samples . . . . . . . . . . . . . . . . . . . .VII-3, 9, 12
Maritime
Inspection Scheduling . . . . . . . . . .II-4, 10, 25 to 31
Repeated Violations . . . . . . . . . . . . . . . . . IV-30
Media Reports. . . . . . . . . . . . . . . . . . . . . . . IX-15
Medical
Access Orders . . . . . . . . . . . . . . . . . . . .III-41
Examinations. . . . . . . . . . . . . . . . . . . . .III-51
Records . . . . . . . . . . . . . . . . . . .III-41, XIV-11
Migrant Labor (see also CPL 2-2.42). . . . . . . . . . . . . .XI
Modification of Abatement Dates (PMA). III-64, 76, XIII-27, XV-3
Monitoring
Biological. . . . . . . . . . . . . . . . . . . . . . IV-41
Employer's Program. . . . . . . . . . . . . . . . . .III-51
Inspections . . . . . . . . . . . . . .II-7, III-16, 22, 88
State Plan Files. . . . . . . . . . . . . . . . . . .XIV-11
Multi-Employer
Inspection Types. . . . . . . . . . . . . . . . . . . .II-1
Policy in Federal Agencies. . . . . . . . . . . . . .XIII-4
Worksites . . . . . . . . . . . . . .III-50, IV-29, 30, V-9
National Emphasis Program. . . . . . . . . . . . . . . . . II-31
National Institute for Occupational Safety & Health
(NIOSH). . . . . . . . . . . .I-10, IV-8, 38, VIII-8, IX-14
National Office
Office of Federal Agency Programs . . . . . . .I-1, XIII-16
Office of Field Programs. . . . . . . . . . . . . . . . I-1
Office of Management Data Systems (OMDS). . . . VI-27 to 29
Noise Standard . . . . . . . . . . . . . . . . . . . . . . IV-34
Nondisclosable Information . . . . . . . . . . . . . . . . XIV-5
Nonformal Complaints . . . . . . . . . . . . . . . . . . IX-3, 9
Notice
Advance . . . . . . . . . . . . . . . . . . . . . . . III-6
Alleged Imminent Danger . . . . . . . . . . . . . . . VII-6
Contest . . . . . . . . . . . . . . . . .II-7, III-62, XV-1
Delay in Issuing Citation . . . . . . . . . . . . . . IX-11
Notification of Penalty. . . . . . . . . . . . . . III-62, VI-18
OSH Act
4(b)(1). . . . . . . . . . . . . . . . . . . . . . . III-37
5(a)(1) (see General Duty)
11(c). . . . . . . . . . . . . . . . . . . . . . . . . . .X
17 . . . . . . . . . . . . . . . . . . . . . . ..V-13, VI-1
OSHA's Annual Appropriations
Act. . . . . . . . . . . . . .I-12, II-35, III-30, VI-2, 15
Office of Management Data Systems (OMDS) . . . . . . VI-27 to 29
Index-13
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Opening Conference . . . . . . . . . . . . . .III-21, 23, VIII-3
Construction. . . . . . . . . . . . . . . . . . . . . XII-3
Orders
Court . . . . . . . . . . . . . . . . . .III-17, VII-6 to 8
Date of . . . . . . . . . . . . . . . . . . . . . . . VI-24
. . .Final. . . . . . . . . . . . . . . . . . . II-7, VI-24
Review Commission . . . . . . . . . . . . . . . . . . . .XV
Other-Than-Serious Violations. . . . . . . . . . . .IV-24, VI-15
Out of Business/Bankrupt . . . . . . . . . . . . . . . . .III-19
Outreach Program Plan. . . . . . . . . . . . . . . . . . . . I-7
Overexposure
Air Contaminants. . . . . . . . . . . . . . . . . . . IV-37
Noise . . . . . . . . . . . . . . . . . . . . . . . . IV-34
Respirator Selection. . . . . . . . . . . . . . . . . IV-36
Ventilation . . . . . . . . . . . . . . . . . . . . . IV-32
PMA (Petition to Modify Abatement Date)III-64, 76, XIII-27, XV-3
Penalty. . . . . . . . . . . . . . . . . . . . . . . . . .III-62
Access to Records . . . . . . . . . . . . . . . . . . VI-18
Additional. . . . . . . . . . . . . . . . . . . . . . VI-12
Adjustment Factors
Good Faith . . . . . . . . . . . . . . . . . VI-10, 14
History. . . . . . . . . . . . . . . . . . . . . VI-11
Size . . . . . . . . . . . . . . . . . . . . . . .VI-9
Assessment. . . . . . . . . . . . . . . . . . . . . . VI-26
Calculation . . . . . . . . . . . . . . . . . . . . . . .VI
Civil . . . . . . . . . . . . . . . . . . . . . . . . .VI-1
Construction. . . . . . . . . . . . . . . . . . . . . XII-6
Contested/Uncontested . . . . . . . . . . . . . . . . VI-23
Criminal. . . . . . . . . . . . . . . . . . . . . . . VI-20
Debt, as a. . . . . . . . . . . . . . . . . . . . . . VI-26
Egregious . . . . . . . . . . . . . . . . . . . . . V-6, 10
Factors . . . . . . . . . . . . . . . . . . . . . . . .VI-2
Failure to Abate. . . . . III-65, 85, IV-31, VI-11, XIII-27
Gravity (see Violations)
Immediate Correction. . . . . . . . . . . . . . . . . VI-11
Imminent Danger . . . . . . . . . . . . . . . .VI-11, VII-7
Increase Factors. . . . . . . . . . . . . . . . . . . VI-14
Minimum . . . . . . . . . . . . . . . . . . . . . . . .VI-2
Notification. . . . . . . . . . . . . . . . . III-62, VI-18
Partially Contested . . . . . . . . . . . . . . . . . VI-23
Payment . . . . . . . . . . . . . . . . . . . . VI-20 to 23
Policy. . . . . . . . . . . . . . . . . . . . . . . . .VI-1
Posting . . . . . . . . . . . . . . . . . . . . . . . VI-16
Index-14
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Recordkeeping/Reporting . . . . . . . . . . . . . . . VI-16
Regulatory. . . . . . . . . . . . . . . . . . . . . . VI-15
Repeated. . . . . . . . . . . . . . . . . . . . . . . VI-14
Table . . . . . . . . . . . . . . . . . . . . . . . . VI-19
Uncollectible . . . . . . . . . . . . . . . . . . . . VI-28
Willful . . . . . . . . . . . . . . . . . . . . . . . VI-15
Personal Protective Equipment (see also
Respirator). . . . . . .III-52, 73 to 76, IV-76, VI-5, IX-7
Petition to Modify Abatement Date
(PMA). . . . . . . . . . . . . . .III-64, 76, XIII-27, XV-3
Photograph (see also Videotape). . . . . . . . . .III-30, 54, 57
Planning (see also Scheduling)
CSHO. . . . . . . . . . . . . . . . . . . . . . . . . III-1
Preinspection . . . . . . . . . . . . . . . . . . . . III-2
Policy
Advance Notice. . . . . . . . . . . . . . . . . . . . III-6
Citation. . . . . . . . . . . . . . . . . . . . . . . IV-33
Debt Collection . . . . . . . . . . . . . . . . . . . VI-23
Disclosure. . . . . . . . . . . . . . . . . . . . . . XIV-1
Employer Abatement Assistance . . . . . . . . . . . .III-81
Fatality/Catastrophe Investigations . . . . . . . . .VIII-1
Lending . . . . . . . . . . . . . . . . . . . . . . . . I-9
Penalty . . . . . . . . . . . . . . . . . . . . . . . .VI-1
Programmed Inspections. . . . . . . . . . . . . . . . .II-9
Public Information. . . . . . . . . . . . . . I-13, VIII-10
Trade Secrets . . . . . . . . . . . . . . . . . . . .III-57
Post-Contest Settlements (Formal Settlements). . . . . . . .V-17
Post Inspection Procedures
Abatement (see Abatement)
Contest (see Contest)
Settlements (see Settlements)
Posting
Annual Illness/Injury Log (OSHA-200). . . . . . . . . VI-16
Citation. . . . . . . . . . . . . . . .III-60, VI-16, XII-6
Requirements. . . . . . . . . . . . . . . III-40, 42, VI-16
Potential Exposure . . . . . . . . . . . . . . . . . . . . IV-17
Pre-Citation
Consultation. . . . . . . . . . . . . . . . . . . . . . V-1
Review. . . . . . . . . . . . . . . . . . . . . . . . IV-15
Pre-Contest Settlements (see Informal Settlements)
Preemption . . . . . . . . . . . . . . . . . . . . . . . .III-37
Atomic Energy Agencies. . . . . . . . . . . . . . . . .IV-8
Consulting regarding. . . . . . . . . . . . . . . . . . V-1
Department of Energy (DOE). . . . . . . . . . . . . .III-38
Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-7
Index-15
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Federal Agencies. . . . . . . . . . . . . . . . . . .III-37
Imminent Danger . . . . . . . . . . . . . . . . . . . VII-4
Preinspection/Preinvestigation
Compulsory Process. . . . . . . . . . . . . . . . . . III-2
Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-2
Imminent Danger . . . . . . . . . . . . . . . . . . . VII-1
Preliminary Investigations
Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-2
Priorities
Follow-up . . . . . . . . . . . . . . . . . . . . . . .II-5
Formal Complaints . . . . . . . . . . . . . . . . . . .IX-8
Inspection (see Priorities under Inspections/Investigations)
Probability regarding Violations . . . . . . . . . . .VI-3, 5, 8
Procedures
Advance Notice. . . . . . . . . . . . . . . . . . . . III-8
Complaint Inspections . . . . . . . . . . . . . . . . IX-10
Disclosure. . . . . . . . . . . . . . . . . . . . . . . XIV
Employer Abatement Assistance . . . . . . . . . . . .III-81
Informal Conference . . . . . . . . . . . . . . . . .III-82
Informal Settlements (see also Settlements and ADM 1-1.13A,
Chapter VIII). . . . . . . . . . . . . . . . . . . . . . . .V-18
Migrant Camp Inspections. . . . . . . . . . . . . . . .XI-2
Programmed Inspections. . . . . . . . . . . . . . . . .II-9
Process
Preinspection Compulsory. . . . . . . . . . . III-2, 13, 17
Programmed Inspections (see also Scheduling)II-1, 9, III-16, 20, 22
Addition/Deletion Codes . . . . . . . . . . . . . . . II-14
Additions/Deletions . . . . . . . . . . . . . . . . . II-20
Carryover
Activity Code. . . . . . . . . . . . . . . . . . II-16
Construction . . . . . . . . . . . . . . . . . . II-23
General Industry . . . . . . . . . . . . . . . . II-16
Local Emphasis Programs (LEP) . . . . . . II-24, 25, 30, 31
Special Emphasis Programs (SEP) . . . . . . . II-31, XIII-6
Public
Correspondence with . . . . . . . . . . . . . . . . . . I-7
Information Policy. . . . . . . . . . . . . . I-13, VIII-10
Recordkeeping
Citation. . . . . . . . . . . . . . . . . . . . . . . IV-18
Employer. . . . . . . . . . . . . . . . . . . . . . .III-51
Forms (OSHA-101 & -200) . . . . .III-40, VI-16, 17, XIII-14
Penalty . . . . . . . . . . . . . . . . . . . . . . . VI-16
Requirements. . . . . . . . . . . . . . . . . . . . XIII-14
Violation . . . . . . . . . . . . . . . . . . . . . . VI-15
Index-16
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Records
Partial Inspection. . . . . . . . . . . . . . . . . .III-40
Posting . . . . . . . . . . . . . . . . . . . . .III-40, 42
Request of. . . . . . . . . . . . . . . . . . . . . . XIV-2
Review. . . . . . . . . . . . . . . . . . .III-30, 40 to 42
Verification. . . . . . . . . . . . . . . . . . . . .III-33
Referrals (see also Inspections/Investigations)
Complaints. . . . . . . . . . . . . . . . . . . . . . IX-12
Compliance Officer (CSHO) . . . . . . . . . . . . . . IX-12
Compulsory Process. . . . . . . . . . . . . . . . . .III-15
Consultation. . . . . . . . . . . . . . . . . . . . .III-27
Credit Reporting Bureau . . . . . . . . . . . . . . . VI-29
Debt Collection Agency. . . . . . . . . . . . . . . . VI-29
Federal Agencies. . . . . . . . . . . . . . . . IX-4, IX-14
Health. . . . . . . . . . . . . . . . . . . . . . . . IX-14
Media Reports . . . . . . . . . . . . . . . . . . . . IX-15
Reinspection. . . . . . . . . . . . . . . . . . . . . .II-9
Safety. . . . . . . . . . . . . . . . . . . . . . . . IX-14
Services. . . . . . . . . . . . . . . . . . . . . . . .I-10
Solicitor . . . . . . . . . . . . . . . . . . . . . . VI-29
Temporary Labor Camps . . . . . . . . . . . . . . . . .XI-3
Types of. . . . . . . . . . . . . . . . . . . . IX-12 to 15
Refusal of Entry . . . . . . . . . . .III-11, 18, VII-4, XIII-13
Regional Office Support Services . . . . . . . . . . . . . . I-8
Reinspection Referrals . . . . . . . . . . . . . . . . . . .II-9
Release of Inspection Information. . . . . . . . . . . . . . I-6
Repeated Violations. . . . . . . . . . . . . .IV-28 to 31, VI-14
Reporting
Annual Illness/Injury Log (OSHA-200). . . . . . . . . VI-16
Fatality/Catastrophe. . . . . . . . . . . VIII-1, 6, XIII-7
Imminent Danger Notice. . . . . . . . . . . . . . . . VII-7
OSHA-101. . . . . . . . . . . . . . . . . . . . . . . VI-17
OSHA-200. . . . . . . . . . . . . . . . . . . . . . . VI-16
Requirements. . . . . . . . . . . . . . . . . . . . . VI-16
Reports of Reprisal. . . . . . . . . . . . . . . . . . . XIII-12
Representatives
Authorized. . . . . . . . . . . . . . . . . . .XII-4, XIV-8
Employee. . . . . . . . . . . . . . III-36, XII-3, 4, XIV-8
Employer. . . . . . . . . . . . . . . III-36, XII-4, XIII-4
Too Many. . . . . . . . . . . . . . . . . . . . . . . XII-5
Walkaround. . . . . . . . . . . . . . . . . . . . . .III-36
Reprisal (Report of) . . . . . . . . . . . . . . . . . . XIII-12
Rescue Operations. . . . . . . . . . . . . . . . . . . . .VIII-8
Index-17
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Respirator
Equipment for CSHO. . . . . . . . . . . . . . . . .III-3, 4
Multistep Abatement . . . . . . . . . . . . . . . . .III-74
Protection Factors. . . . . . . . . . . . . . . . . . IV-39
Safety and Health Program . . . . . . . . . . .III-40 to 44
Standard. . . . . . . . . . . . . . . . . . . . . IV-14, 36
Retention
FOIA Files. . . . . . . . . . . . . . . . . . . . . .XIV-12
Inspection Records. . . . . . . . . . . . . . . . . . . I-7
Review Commission. . . . . . . . . . . . . . . . . . . . . . .XV
Rights
Complainant . . . . . . . . . . . . . . . . . . . . .III-55
Employee. . . . . . . . . . . . . . . . . . . .III-55, IX-4
Walkaround (see Walkaround)
SAVEs (Standard Alleged Violation Elements). . . . . . V-3, V-17
SBA Loans. . . . . . . . . . . . . . . . . . . . . . . . .III-65
Safety
Committee . . . . . . . . . . . . . . . . . . . . . .III-37
Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-8
Referrals . . . . . . . . . . . . . . . . . . . . . . IX-14
Violations. . . . . . . . . . . . . . . . . . . . . . .VI-4
Safety and Health Programs
Evaluation of . . . . . . . . . . . . . . . . . . . III-A-4
Occupational Health . . . . . . . . . . . . . . . . III-A-8
Violations (Federal Agencies) . . . . . . . . . . . XIII-11
Samples/Sampling
Collecting. . . . . . . . . . . . . . . . . . . .III-53, 88
Wipe. . . . . . . . . . . . . . . . . . . . . . . . . IV-40
Scheduling (Generally see Chapter II)
Alternative . . . . . . . . . . . . . . . . . . . . . II-31
Construction. . . . . . . . . . . . . . . . . . . . . II-20
Imminent Danger . . . . . . . . . . . . . . . . . . . VII-3
Maritime. . . . . . . . . . . . . . . . . . .II-4, 25 to 31
Monitoring. . . . . . . . . . . . . . . . . . . . . . .II-7
Section 17 Designation . . . . . . . . . . . . . . . . . . .V-13
Security Clearance . . . . . . . . . III-4 to 6, 9, 40, XIII-A-2
Serious Physical
Harm. . . . . . . . . III-1, 15, IV-4, 9, 12, 18, 21 to 24, V-5,
. . . . . . . . . . . . . . . . . . . .VI-3, VII-1, VIII-10
Serious Violations. . . . . . . . . . . . . . . . . IV-18, VI-15
Settlements
Area Director, by . . . . . . . . . . . . . . . . . . .V-12
Corporate-Wide (see CPL 2.90) . . . . . . . .II-7, V-13, 18
Egregious (see also CPL 2.80) . . . . . . . . . . . . .VI-8
Index-18
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Formal Settlements. . . . . . . . . . . . . . . . . . .V-17
Informal Settlements (see also ADM 1-1.13A,
Chapter VIII). . . . . . . . . . . . . . . . . V-12, 14, 18
Severity . . . . . . . . . . . . . . . . . . . . . . . . VI-3, 7
Size (factor in penalty calculation) . . . . . . . . . . . .VI-9
Solicitor
Clearance with. . . . . . . . . . . . . . . . . . . . .XV-6
Notification of . . . . . . . . . . . . . . . . . . . .XV-4
Referrals . . . . . . . . . . . . . . . . . . . . . . VI-29
Special Emphasis Programs (SEP). . . . . . . . . . II-31, XIII-6
Standard Alleged Violation Elements (see SAVEs). . . . V-3, V-17
Standards
Alternative . . . . . . . . . . . . . . . . . . .IV-14, V-3
Choice of . . . . . . . . . . . . . . . . . . . . . . .XI-1
Consensus . . . . . . . . . . . . . . . . . . . . . . IV-32
Health (see specific type)
Horizontal & Vertical . . . . . . . . . . . . . . . . .IV-1
New . . . . . . . . . . . . . . . . . . . . . . . . . IV-16
New (Health). . . . . . . . . . . . . . . . . . . . . IV-41
State Consultation Services (see also Consultation). . . .III-66
State Plan States (see STP 2.22A). . . . . . . . . . . . .XIV-11
Statements
Interview . . . . . . . . . . . . . . . . . . . . . .III-56
Witness . . . . . . . . . . . . . . . . . . . . . . .XIV-11
Strike/Labor Dispute . . . . . . . . . . . . . . . . .III-20, 38
Subcontractors . . . . . . . . . . . . . . . . . . . . . . XII-3
Subpoena
Administrative. . . . . . . . . . . . . . . III-12, XIII-13
CSHO, served on . . . . . . . . . . . . . . . . . . . . I-6
Supplementary Record (OSHA-101). . . . . . . . . . . . . . VI-17
Taperecording (Audio/Video) (see also CPL 2.98). . . . . .III-40
Targeting (see Inspections/Investigations) . . .II, XI-2, XIII-4
Teams (for Fatality/Catastrophe Investigation) . . . . . .VIII-2
Technical
Assistance Request (Federal Agencies) . . . . . . . XIII-22
Considerations for Imminent Danger. . . . . . . . . . VII-2
Services. . . . . . . . . . . . . . . . . . . . . . . .I-12
Telephone
Conference. . . . . . . . . . . . . . . . . . . . . .III-82
Fatality/Catastrophe Reporting. . . . . . . . . . . .VIII-6
Temporary Labor Camps (see also CPL 2-2.42). . . . . . . . . .XI
Testifying
CSHO. . . . . . . . . . . . . . . . . . . . . . . . . . I-6
Index-19
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Time
Allowed for Payment of Penalties. . . . . . . . . . . VI-23
Frames for Federal Agency Programs. . . . . . . . . XIII-15
Inspection of . . . . . . . . . . . . . . . . . . . . III-9
Limitations . . . . . . . . . . . . . . . . . . .IV-30, V-2
Trade Secrets/Classified Information . . . . . III-6, 30, 39, 57
Training and Education
Programs. . . . . . . . . . . . . . . . . . . . .III-45, 67
Services. . . . . . . . . . . . . . . . . . . . . . . . I-9
Types of
Inspections (see also specific types) . . . . . . . . .II-1
Referrals (see also Referrals). . . . . . . . . IX-12 to 15
Unpreventable Employee Misconduct (Isolated Event Defense) . V-7
Unprogrammed Inspections . . . . . . . . . . . . II-1, 4, III-20
VPP (Voluntary Protection
Program). . . . . . . . .I-11, II-5, 16, 18, 29, III-28, 67
Variance . . . . . . . . . . . . . . . . . . . . . .III-65, IV-3
Ventilation Standards. . . . . . . . . . . . . . . . . . . IV-32
Verification of Abatement. . . . . . . . . . . . . . . . .III-68
Vertical Standards . . . . . . . . . . . . . . . . . . . . .IV-1
Victim
Family. . . . . . . . . . . . . . . . . . . .VIII-4, XIV-12
FOIA. . . . . . . . . . . . . . . . . . . . . . . . .XIV-12
Videotape (see also Photographs and
CPL 2.98). . . . . . . . . . . . . . . . III-30, 40, 54, 57
Violations
Apparent. . . . . . . . . . . . . . . . . . . . . . .III-40
Basis of. . . . . . . . . . . . . . . . . . . . . . . .IV-1
Criminal/Willful. . . . . . . . . . . . . . . . . . . IV-25
De Minimis. . . . . . . . . . . . . . . . . . III-66, IV-31
Failure to Abate (see Penalty)
Gravity . . . . . . . . . . . . . . . IV-29, VI-2, 6, 8, 14
Health. . . . . . . . . . . . . . . . . . . . . IV-32, VI-4
Other Laws. . . . . . . . . . . . . . . . . . . .III-50, 58
Other-Than-Serious. . . . . . . . . . . . . . .IV-24, VI-15
Probability . . . . . . . . . . . . . . . . . . .VI-3, 5, 8
Recordkeeping . . . . . . . . . . . . . . . . . . . . VI-15
Regulatory. . . . . . . . . . . . . . . . . . . . . . VI-15
Repeated. . . . . . . . . . . . . . . . .IV-28 to 31, VI-14
Safety. . . . . . . . . . . . . . . . . . . . . . . . .VI-4
Safety and Health Programs. . . . . . . . . . . . . XIII-11
Section 17 Designation. . . . . . . . . . . . . . . . .V-13
Serious . . . . . . . . . . . . . . . . . . . .IV-18, VI-15
Severity. . . . . . . . . . . . . . . . . . . . . . VI-3, 7
Index-20
OSHA Instruction CPL 2.45B CH-4
December 13, 1993
Office of General Industry Compliance Assistance
Variances . . . . . . . . . . . . . . . . . . . . . . .IV-3
Willful . . . . . . . . . . . . . . . . . .IV-24, 30, VI-15
Violation-By-Violation (Egregious) . . . . . . . . . . . V-6, 10
Voluntary
Abatement Action. . . . . . . . . . . . . . . . . . . .I-12
Elimination of Imminent Danger. . . . . . . . . .VII-4 to 6
Supplied Documents by Employer. . . . . . . . . . . .III-42
Voluntary Compliance Programs. . . . . . . . . . . . I-11,III-25
Voluntary Protection Programs
(VPP). . . . . . . . . . I-11, II-5, 16, 18, 29, III-28, 67
Waiver
FOIA Fees . . . . . . . . . . . . . . . . . . . . . .XIV-12
Walkaround . . . . . . . . . . . . . . .III-39, 43, IX-11, XII-5
Representatives . . . . . . . . . . . . . . . . .III-36, 39
Warrants . . . . . . . . . . . . . . . . . . III-13, 17, XIII-13
Weather Conditions . . . . . . . . . . . . . . . . . . . . XII-3
Willful Violations . . . . . . . . . . . . . . .IV-24, 30, VI-15
Withdrawal
Citation. . . . . . . . . . . . . . . . . . . . .V-10 to 12
Penalty . . . . . . . . . . . . . . . . . . . . . . . .V-13
Witness Statements . . . . . . . . . . . . . . . . . . . .XIV-11
Work Practices (see also Feasible) . . . . . . . . . .III-52, 69
Worksite
Construction. . . . . . . . . . . . . . . . . . . . . XII-2
Entry . . . . . . . . . . . . . . . . . . . . . . . . XII-3
Writing
Citations . . . . . . . . . . . . . . . . . . . . . . . V-2
Index-21
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