1. Asserts that an imminent danger, a violation of the Act, or violation of an OSHA standards exposing employees to physical harm exists in the workplace;
   
   
2. Is reduced to writing or submitted on an OSHA-7 form; and
   
   
3. Is signed by at least one current employee or employee representative.
   
   

1. CSHO referral - information based on the direct observation of a CSHO. (Code 14A as A. CSHO (Within Office).)
   
   
2. Safety and health agency referral – from sources including, but not limited to: NIOSH, state programs, consultation, state or local health departments,  local police and fire departments, medical doctors, as well as safety and/or health professionals in other Federal agencies.  (As appropriate, code 14A as B.  Federal OSHA; C. State OSH; F. Consultation; G. State/Local Government; or I. Other.)
   
   
3. 11(c) complaint referral - made by an 11(c) discrimination investigator when an employee alleges that he or she was discriminated against for complaining about safety or health conditions in the workplace or for refusing to do an allegedly imminently dangerous job or task. (Code 14A as D. Discrimination.)
   
   
4. Other government agency referral – made by other Federal, State, or local government agencies or their employees.  (As appropriate, code 14A as E.  Other Federal Agency, or G. State/Local Government.)
   
   
5. Media report - either news items reported in the media or information reported directly to OSHA by a media source. (Code 14A as H. Media.)
   
   
6. Employer report – of accidents other than fatalities and catastrophes.  (Code 14A as I. Other.)
   
   

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, including members of the clergy, social workers, spouses and other family members, and government officials or nonprofit groups and organizations acting upon specific complaints and injuries from individuals who are employees.
   
   
   • The representational capacity of the person filing complaints on behalf of another should be ascertained unless it is already clear.  In general, the affected employee should have requested, or at least approved of, the filing of the complaint on his or her behalf.
     
     

1. A valid formal complaint is submitted.  Specifically, the complaint must be reduced to writing or submitted on an OSHA-7 form, be signed by a current employee or representative of employees, and state the reason for the inspection request with reasonable particularity.  Additionally, there must be reasonable grounds to believe either that a violation of the Act or OSHA standard that exposes employees to physical harm exists, or that an imminent danger of death or serious injury exists, as provided in Section 8(f)(1) of the Act.
   
   
2. The information alleges that a disabling injury or illness (as defined in VII.F., above) has occurred as a result of the complained of hazard(s), and there is reason to believe that the hazard or related hazards still exist.
   
   
3. The information alleges that an imminent danger situation exists (see CPL 02-00-103 (2-0.103), the Field Inspection Reference Manual, for additional procedures to be followed).
   
   
4. The information concerns an establishment and an alleged hazard covered by a local, regional, or national emphasis program, the Site Specific Targeting Plan, or the Agency's current strategic plan.
   
   
5. The employer fails to provide an adequate response to an inquiry, or the individual who provided the original information provides further evidence that the employer's response is false or does not adequately address the hazard(s).
   
   
6. The establishment that is the subject of the information has a history of egregious, willful, failure-to-abate, or repeat citations within the Area Office's jurisdiction during the past three years, or is an establishment or related establishment in the Enhanced Enforcement Program. However, if the employer has previously submitted adequate abatement documentation for these violations demonstrating that they have been corrected and that programs have been implemented to prevent a recurrence of hazards, the Area Director will normally determine that an inspection is not necessary.
   
   
7. An 11(c) discrimination investigator or Regional Supervisory Investigator requests that an inspection be conducted in response to an employee's allegation that the employee was discriminated against for complaining about safety or health conditions in the workplace or for refusing to perform an allegedly imminently dangerous job or task.
   
   
8. If an inspection is scheduled or has begun at an establishment and a complaint or referral that would normally be handled via inquiry is received, that complaint or referral may, at the Area Director's discretion, be incorporated into the scheduled or ongoing inspection. If such a complaint is formal, the complainant must still receive a written response addressing the complaint items.
   
   
9. If the information gives reasonable grounds to believe that a worker under 18 years of age is exposed to a serious violation of a safety or health standard or a serious hazard, an on-site inspection will be initiated if the information relates to construction, manufacturing, agriculture, or other industries as determined by the Area Director.  (Limitations placed on OSHA's activities in agriculture by Appropriations Act provisions will be observed.  See OSHA Instruction CPL 02-00-051 (2-0.51J)).
   
   NOTE: The information does not need to allege that a child labor law has been violated.
   
   
10. The information received is a signed, written complaint from a current employee or employee representative that alleges a recordkeeping deficiency that indicates the existence of a serious safety or health violation.
    
    

1. The information must come directly from a current employee; OR
   
   
2. It must be determined and documented in the case file that the information came from a representative of the employee (see VII.I.) with the employee's knowledge of the representative's intended action.
   
   

1. If the complaint falls within the jurisdiction of the Area Office, the complaint is entered into IMIS and processed as usual.
   
   
2. If the complaint falls within the jurisdiction of another Area Office, the complaint is forwarded appropriately.
   
   

      N-11-LOGXXXXXX

• Where N-11 indicates that the complaint was filed electronically;
  
  
• The digits following LOG are the unique compliant ID/log numbers assigned to the electronic complaint when processed by the Salt Lake Technical Center. The log number may vary and does not have to be exactly six digits. In entering the code, there is no space between the word LOG and the digits that follow.
  
  

1. Whether the caller is a current employee or an employee representative.
   
   
2. The exact nature of the alleged hazard(s) and the basis of the caller's knowledge, as the individual receiving the information must determine, to the extent possible, whether the information received describes an apparent violation of OSHA standards or the OSH Act.
   
   
3. The employer's name, address, telephone and fax numbers, as well as the name of a contact person at the worksite.
   
   
4. The name, address, telephone number, and e-mail address of any union and/or employee representative at the worksite.
   
   

1. Describe the complaint process, and if appropriate, the concepts of "inquiry" and "inspection," as well as the relative advantages of each.
   
   
2. If the caller is a current employee or a representative of employees, explain the distinction between a formal complaint and a non-formal complaint, and the rights and protections that accompany filing a formal complaint.  These rights and protections include:
   
   
   • The right to request an on-site inspection.
     
     
   • Notification in writing if an inspection is deemed unnecessary because there are no reasonable grounds to believe that a violation or danger exists.
     
     
   • The right to obtain review of a decision not to inspect by submitting a request for review in writing.
     
     
3. If appropriate, inform the complainant of rights to confidentiality in accordance with Section 8(f)(1) of the Act for private sector employees, and Executive Order 12196 dated February 26, 1980 for Federal employees, and ask whether the complainant wishes to exercise this right. When confidentiality is requested, the identity of the complainant is protected regardless of the formality of the complaint.
   
   
4. Explain Section 11(c) rights to private sector employees and employees of the U.S. Postal Service, or reprisal and discrimination protection provided by Executive Order 12196, 29 CFR § 1960.46 and the Whistleblowers Protection Act of 1989 to Federal employees.  (See OSHA Instruction FAP 01-00-003 for reports of reprisal or discrimination from Federal employees.)

1. If multiple Regions have received the same complaint, the National Office will address the complaint with the employer.
   
   
2. Area Offices should indicate in IMIS that these complaints have been transferred to the National Office.  In field 45a., select A. Federal OSHA; in field 45b., select 00 – National Office.  The complaint should then be closed using field 48.
   
   

1. If necessary, reasonable attempts will be made to contact the individual who provided the information in order to obtain additional details or to clarify issues raised in the complaint or referral. See Appendix B.
   
   
2. The Area Director may determine not to inspect a facility if he or she has a substantial reason to believe that the condition complained of is being abated.
   
   

1. Where a formal complaint has been submitted, the complainant will be notified in writing of OSHA's intent not to conduct an inspection, the reasoning behind the determination, and the appeal rights provided under 29 CFR 1903.12.  The justification for not inspecting will be noted in the case file.
   
   
2. Where a non-formal complaint or referral has been submitted, if possible, the individual providing the information will be notified by appropriate means of OSHA's intent not to conduct an inquiry or inspection. The justification for not inspecting will be noted in the case file.
   
   

1. If appropriate, the Area Office will inform the individual providing the information that an inspection will be scheduled and that he or she will be advised of the results.
   
   
2. After the inspection, the Area Office will send the individual a letter addressing each information item, with reference to the citation(s) or a sufficiently detailed explanation for why a citation was not issued.
   
   

1. The complainant may come into the Area Office and sign the complaint, or mail or fax a signed complaint letter to OSHA.  Additionally, an OSHA-7 form can be mailed or faxed to the complainant, if appropriate.
   
   
2. If the complaint is not made formal after five (5) working days, OSHA will proceed with the inquiry process.
   
   

1. Immediately investigate and determine whether the complaint or referral information is valid and make any necessary corrections or modifications.
   
   
2. Advise the Area Director either in writing or via e-mail within five (5) working days of the results of the investigation into the alleged complaint or referral information. Although the employer is requested to respond within the above time frame, the employer may not be able to complete abatement action during that time, but is encouraged to do so.
   
   
3. Provide the Area Director with supporting documentation of the findings, including any applicable measurements or monitoring results, and photographs and/or videos that the employer believes would be helpful, as well as a description of any corrective action the employer has taken or is in the process of taking.
   
   
4. Post a copy of the letter from OSHA where it is readily accessible for review by all employees.
   
   
5. Return a copy of the signed Certificate of Posting to the Area Office.
   
   
6. If there is a recognized employee union or safety and health committee in the facility, provide it with a copy of OSHA's letter and the employer's response.
   
   

1. When OSHA receives an adequate response from the employer and the complainant does not dispute or object to the response, an on-site inspection normally will not be conducted.
   
   
2. If the complainant is a current employee or a representative of employees and wishes to dispute the employer's response, the disagreement must be submitted in writing and signed, thereby making the complaint formal.
   
   
   • If the employee disagreement takes the form of a written and signed formal complaint, refer to procedures at XII, above.
     
     
   • If the employee disagreement does not take the form of a written and signed formal complaint, some discretion is allowed in situations where, in the professional judgment of the Area Director, the information does not warrant an on-site inspection.  In such situations, the complainant will be notified of OSHA's intent not to conduct an inspection and the reasoning behind the determination.  This decision should be sufficiently documented in the case file.
     
     

1. Section 11(c) of the Act provides protection for employees who believe that they have been the subject of an adverse employment action in retaliation for engaging in activities related to workplace safety and health. Any employee who believes that he or she has been discharged or otherwise discriminated against by any person as a result of engaging in such activities may file a discrimination complaint. Such a complaint must be filed within 30 days of the discharge or other discrimination.
   
   
2. Complainants should always be advised of their 11(c) rights and protections upon initial contact with OSHA and whenever appropriate in subsequent communications.