OSHA Instruction CPL 2.35 CH-25 August 29, 1994 Office of General Industry
Compliance Assistance
Subject: Changes to the Regulatory and General Industry Standard Alleged
Violation Elements (SAVEs) Manual
A. Purpose. This instruction transmits revised and new pages for
all the Standard Alleged Violation Elements (SAVEs) which are incorporated
into a manual that is used in conjunction with automated citation processing
procedures. (See OSHA Instructions CPL 2.32A, 2.34, 2.35 and CPL 2.36B)
B. Scope. This instruction applies OSHA-wide.
C. Action. Regional Administrators and Area Directors shall ensure
that all compliance personnel:
1. Make the following page changes at the end of the Regulatory
and General Industry (SAVEs) Manual:
Insert Paces
A-1 through A-18
2. File a copy of this transmittal sheet behind OSHA Instruction
CPL 2.35 CH-24 in the appropriate OSHA Directive System binder.
D. Background. The Appendix instructions for SAVEs and AVDs in CPL
2.45B, Chapter 5 of the Field Operations Manual is being moved to the end of
CPL 2.35 Regulatory and General Industry SAVEs Manual.
E. State Plan States. Regional Administrators shall advise State
designees of the action required by this instruction and encourage their
participation in the SAVEs program.
John B. Miles, Jr., Director Directorate of Compliance Programs
DISTRIBUTION: National, Regional, Area and District Offices Compliance
Officers State Designees Areas Office Clericals 11 (c)/405 Programs NIOSH
Regional Program Directors
APPENDIX
SAVEs and AVDs
A. General. The proper writing of citations is an essential part
of the enforcement process. Specific instructions on how to complete the
Citation and Notification of Penalty, OSHA-2 Form, are contained in the
"Integrated Management Information System (IMIS) Enforcement Data Processing
Manual" and the "Enforcement User Skills Manual."
B. SAVEs Manual. The Standard Alleged Violation Elements (SAVEs)
are incorporated into a manual that is used in conjunction with automated
citation processing procedures. (See OSHA Instructions CPL 2.32A, 2.34, 2.35
and 2.36B)
1. Purpose. The SAVEs are designed to achieve the
following goals:
a. Improve the quality of alleged violation
descriptions.
b. Establish uniformity through standardized wording in
Alleged Violation Descriptions (AVDs).
c. Promote uniform interpretation and application of
standards.
d. Ensure legal adequacy of alleged violation
descriptions
e. Decrease lag time between inspection and citation.
f. Reduce CSHO and clerical time on case file
preparation.
g. Reduce typographical and grammatical errors in
citations.
2. Scope. The term SAVE is used to describe that portion
of an alleged violation description which can be stored within an automatic
typing system and retrieved as needed. As it appears in the citation, an AVD
is a complete description of an alleged violation consisting of a SAVE and
other necessary variable elements applicable to a specific
violation.
a. The SAVEs Manual does not include variable information. It
lists the needed items of variable information in memory-jogger form under
the SAVE.
b If the inspection is a fatality/catastrophe investigation
or other "after-the-fact" investigation, the AVD must include the date and
time of employee exposure.
c. For multistep abatements, the variable information must
include a description of each step together with the date by which that step
must be completed. These will appear on the OSHA-2.OSHA
NOTE: The SAVEs Manual is not to be used as a substitute for
the standards/regulations.
3. General Instructions. CSHOs using the SAVEs Manual
shall:
a. Determine from the OSHA Safety and Health
Standards/Regulations which specific standard/regulation is to be
cited.
b. Search the SAVEs Manual for a corresponding SAVE. If one is
listed, ensure that it is appropriate for the apparent violation noted. This
is accomplished by comparing the SAVE with the
standard/regulation.
c. Enter the SAVE's ID code at the appropriate place in
accordance with current instructions. (SAVES are identified by their page
and item numbers; e.g., I-351(2)).
d. Record the variable information required to complete the
AVD. Include the date that the violation was observed if the inspection took
more than one day to complete.
4. SAVEs Options. A SAVE option identifies a different
requirement within a single standard/regulation.
a. If more than one requirement is covered by a single
standard/regulation, these may be listed as options in the SAVEs Manual. Two
or more options for the same standard/regulation shall not be listed
on a citation as separate violations.
b. SAVEs have not been drafted for all possible combinations
of violations of a standard. The options given may be combined in either of
two ways:
(1) One method is to write a new SAVE including all the
required information.
(2) The preferred method is to combine the applicable
options by listing each such option as an individual subitem of a single
alleged violation. The item number is listed as 1a, 1b,
etc.
NOTE: The CSHO shall not confuse this combining
procedure with the instructions for grouping violations.
5. Violations Without SAVEs. If there is not a SAVE that
covers the alleged violation, the CSHO is required to develop the alleged
violation description using the following format:
a. Past tense in all wording.
b. Plural wording; e.g., operators.
c. Use (a), (b), (c), etc., for sublocations.
d. Positive factual statements (eliminate "failed to" and
"employer failed to).
C. Examples. The following are some examples of how the SAVEs are
properly used:
1. SAVE for 1910.213(n)(3). This SAVE is not in the word
processing system.
a. As It Appears in the SAVEs Manual.
29 CFR 1910.213(n)(3): Hoods or suitable guards were not
provided to prevent the hands of the operators from coming in contact with
the in-running rolls of feed rolls on ______________:
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR
CONDITION(S)) (DESCRIBE HAZARD(S) WHERE NECESSARY)
NOTE: INDICATE WHETHER PLANING, MOLDING, STICKING,
AND/OR MATCHING MACHINES ARE TO BE CITED.
b. What the CSHO Must Specify.
(1) Illustration 1.
o Insert appropriate machine identification in body
of SAVE; e.g., "planing machine."
o Enter appropriate variable information: Shop A,
Northwest corner; e.g., Apex Planing Machine (serial
#363-21).
(2) Illustration 2.
o Insert appropriate machine identification in body
of SAVE: "Molding machine"
o Enter appropriate variable information: Shop B,
South wall - Baylor Molding Machine (serial #63546)
(3) Illustration 3.
o If a combination of the same types of hazards on
different machines covered by the same standard is noted during an
inspection, insert appropriate machine identifications in body of SAVE:
"planing machine" and "molding machine"
o Enter appropriate variable information:
(a) Shop A, Northwest corner - Apex Planing Machine
(serial #363-21)
(b) Shop B, South wall - Baylor Molding Machine (serial
#63546)
c. Completed AVD (For Illustration 3) As It Appears on the
Citation.
29 CFR 1910.213(n)(3): Hoods or suitable guards were not
provided to prevent the hands of the operators from coming in contact with
the in- running rolls of feed rolls on planing machine and molding
machine:
(a) Shop A, Northwest Corner - Apex Planing Machine (serial
#363-21).
(b) Shop B, South wall - Baylor Molding Machine (serial
#63546).
2. SAVE for 1910.22(a)(2). There are two options for this
SAVE; however, only one of these options is illustrated.
a. As It Appears in the SAVEs Manual.
OPTION I 29 CFR 1910.22(a)(2): Floors of workrooms were not
maintained, as far as possible, in a dry condition:
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR
CONDITION(S)) (DESCRIBE HAZARD(S) WHERE NECESSARY)
b. What the CSHO Must Specify.
(1) Enter appropriate variable information: Machine shop, east
end -- water on floor around the "Dumas" injection machine.
(2) Describe the hazard: A slippery condition subjecting
employees to injury from falls.
c. Completed AVD as It Appears on the Citation.
29 CFR 1910.22(a)(2): Floors of workrooms were not maintained,
as far as possible, in a dry condition:
(a) Machine shop, east end -- water on floor around the "Dumas"
injection machine resulting in a slippery condition.
3. SAVE for a Standard with a General Requirement.
a. As It Appears in the SAVEs Manual.
OPTION 1 29 CFR 1910.132(a): Protective equipment was not
used when necessary whenever hazards capable of causing injury and impairment
were encountered:
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR
CONDITIONS) (DESCRIBE HAZARD(S) WHERE NECESSARY)
b. What the CSHO Must Specify.
(1) Identify type of protective equipment needed; e.g.,
wire mesh gloves.
(2) Enter appropriate variable information: Deboning
Department, main deboning table.
(3) Describe the hazard: Cuts to hands or body or
employees cutting themselves.
c. Completed AVD as It Appears on the Citation.
29 CFR 1910.132(a): Protective equipment was not used when
necessary whenever hazards capable of causing injury and impairment were
encountered:
(a) Deboning Department, main deboning table, wire mesh
gloves were not used to protect workers from the hazard of cutting themselves
as a result of knives slipping during repeated boning
operations.
4. SAVE for a Standard Incorporated by Reference.
a. As It Appears in the SAVEs Manual.
29 CFR 1910.101(b), Section 3.3.8, Compressed Gas
Association Pamphlet P-1-1965, as adopted by 29 CFR 1910.101(b): Compressed
gas cylinders were stored near elevators, gangways or in locations where
heavy moving objects could strike or fall on them:
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR
CONDITION(S)) (DESCRIBE HAZARD(S) WHERE NECESSARY)
NOTE: APPLIES TO CYLINDERS ONLY, NOT TO WELDING, CUTTING
AND BRAZING AS GIVEN IN 1910.252
b. What the CSHO Must Specify.
(1) Insert the appropriate section number of the adopted
standard, and the name of the adopted standard; e.g., 1910.101(b), Section
3.3.8, Compressed Gas Association Pamphlet P.1.1965.
(2) Enter appropriate variable information: Main cylinder
filling station, east end, adjacent to rampway used by powered industrial
trucks.
c. Completed AVD as It Appears on the Citation.
29 CFR 1910.101(b) Section 3.3.8, Compressed Gas Association
pamphlet P-1-1965, as adopted by 29 CFR 1910.101(b): Compressed gas
cylinders were stored near elevators, gangways or in locations where heavy
moving objects could strike or fall on them:
(a) Main cylinder filling station, east end, adjacent to
rampway used by powered industrial trucks and subject to being struck by
them.
5. SAVE for Citation of the General Duty Clause.
a. As It Appears in the SAVEs Manual.
Section 5(a)(1) of the Occupational Safety and Health Act of
1970: The employer did not furnish employment and a place of employment
which were free from recognized hazards that were causing or likely to cause
death or serious physical harm to employees in that employees were exposed
to:
(a) IDENTIFY THE HAZARD. DESCRIBE THE CONDITIONS OR
PRACTICES WHICH ARE CREATING THE HAZARD. IDENTIFY THE SPECIFIC OPERATION
INVOLVED AND LOCATION. PROVIDE ONE FEASIBLE ABATEMENT METHOD WHICH IS
ACCEPTABLE TO CORRECT THE HAZARD. THE STATEMENT SHOULD
READ:
"ONE FEASIBLE AND ACCEPTABLE ABATEMENT METHOD, AMONG
OTHERS, TO CORRECT THIS HAZARD IS. . . ."
NOTE: See Chapter IV for determining the propriety of a
(5)(a)(1) citation.
b. (5)(a)(1) Violation.
Employees are entering a baling press box to clear out paper
and cardboard that had jammed the baler. The machine is not electrically shut
down and locked out and the ram is not blocked. Therefore, the employees are
exposed to the hazard of inadvertent activation of the press ram which could
cause death or serious injury. OSHA does not have a lockout standard that
applies to the hazard. This hazard can be cited as a violation of Section
(5)(a)(1) of the Act if it can be established that:
(1) There is not an applicable OSHA standard.
(2) Employees are exposed to a hazard that could cause
serious physical harm.
(3) The hazard is recognized by the industry.
(4) There are feasible abatement methods to correct the
hazard.
c. What the CSHO Must Specify.
(1) Identify the recognized hazard: Death or serious
injuries resulting from inadvertent activation of the baling press
ram.
(2) Give a method of correcting the hazard that is feasible
and useful: Establish and enforce a plant lockout
procedure.
(3) Enter the appropriate variable information: Mill
basement, baling press room.
(4) Identify the consensus standard upon which the 5(a)(1)
citation is based.
d. Completed AVD as It Appears on the Citation.
Section 5(a)(1) of the Occupational Safety and Health Act of
1970: The employer did not furnish employment and a place of employment
which were free from recognized hazards that were causing or likely to cause
death or serious physical harm to employees in that employees were exposed
to: inadvertent activation of the baling press ram while freeing the box from
paper jams. Among other methods, one feasible and acceptable abatement
method to correct this hazard is to establish and enforce an adequate plant
lockout procedure such as that stipulated by ANSI Z244.1- 1982, Section 4 and
5, American National Standard of Minimum Safety Requirements for
Lockout/Tagout of Energy Sources for Personnel Protection. Essential elements
of the lockout procedure would include:
1. Open and lock out the main power disconnect for the
machine and bleed off any residual energy;
2. Provide each potentially exposed employee working in
the area with separate lock and key to be placed on the lockout
means;
3. Establish a written lockout policy, including
procedures to be followed and training for all affected employees, both
maintenance and operational crews;
4. Periodically evaluate the program and strictly enforce
all of its provisions.
NOTE: Other elements may be added or revisions made to
ones listed in the example as conditions dictate.
6. An Example of Combining SAVEs.
1a 29 CFR 1910.215(a)(4): Grinding machinery was not used
with work rests to support off-hand grinding work:
(a) Northwest corner of machine shop - Black & Decker bench
grinder, serial #24693.
1b 29 CFR 1910.215(a)(4): Work rests on grinding machine were
not adjusted closely to the wheel with a maximum opening of one-eighth
inch:
(a) Northwest corner of machine shop - Shopcraft stand
grinder serial #10096, work rest 1 inch from wheel (left
wheel).
7. An Example of Combining and Grouping SAVEs.
THE FOLLOWING ALLEGED VIOLATIONS HAVE BEEN GROUPED BECAUSE THEY
INVOLVE SIMILAR OR RELATED HAZARDS THAT MAY INCREASE THE POTENTIAL FOR
(INJURY RESULTING FROM AN ACCIDENT) OR (ILLNESS).
1a 29 CFR 1910.107(b)(1): Spray booths were not substantially
constructed of steel, concrete or masonry:
(a) Paint shop, wood constructed paint spray
booth.
1b 29 CFR 1910.107(b)(5)(i): The average air velocity over
the open face of the paint spray booths was less than 100 linear feet per
minute:
(a) Paint shop, paint spray booth, 60 linear feet per
minute.
1c 29 CFR 1910.107(b)(5)(i): There were no visible gauges,
audible alarms or pressure activated devices installed on paint spray booths
to indicate or ensure that the required air velocity was
maintained:
(a) Paint Shop, paint spray booth.
1d 29 CFR 1910.107(c)(7): Electric lamps outside of but
within 20 feet of spraying areas, and not separated therefrom by a
partitions, were not protected from physical damage by suitable guards or by
location:
(a) 10 linear feet from the northwest corner of the paint
spray booth, large finished 4' x 8' panels were handled and stacked directly
beneath lights 9 feet above the floor.
D. Citing Health Violations. In general, health citations are
structured in the same manner as illustrated in the examples given in C.1.
through 6. Health citations have certain characteristics that need to be
highlighted.
1. Citations. Health citations shall have item numbers
identifying each standard violated. Within each item cited, instances
observed which relate to that item shall be listed.
a. When one or more employees are exposed to different
contaminants in 29 CFR 1910.1000, separate items shall describe the
violations of the different contaminants. For example, overexposure to iron
oxide fume (on a welder) and zinc oxide fume (on a ladle operator) or
overexposure (on a pourer) to both iron oxide and zinc oxide fumes would
result in two separate items and two separate penalties on one serious
citation.
b. When more than one employee is exposed to the same hazard,
the operations would be listed as separate instances for the same item. For
example, overexposure to silica at different operations (sand slinger,
shakeout operator, and muller) would result in one item with three instances
and one penalty on a serious citation.
c. When one or more employees are exposed to several
contaminants covered by several standards, separate items shall describe the
violations of the different contaminants. For example, overexposure to lead,
silica and iron oxide on one employee would result in three separate items
and three separate penalties on one serious citation.
2. Specific Instructions. When using SAVEs for health
citations, the CSHO must include certain additional information in the
alleged violation description over and above that required for safety
citations in general. The following items must be identified in the variable
information portion of the SAVE:
a. The exposure levels found during sampling for hazardous
substances or for physical hazards and the dates on which the sampling was
performed. For grouped items, when exposure information is identical, it is
not necessary to repeat this information for each citation item. It will be
sufficient to specify exposure conditions for the first item of the grouped
citation and reference that item for the other items. (See B.2.b.(7)(c) 4
and 5.
b. The more significant health effects of hazardous
substances. (See the Chemical Information Manual, OSHA Instruction CPL
2-2.43A.)
c. Feasible engineering controls. Engineering controls shall
be identified as existing and shall be presented in general outline. They
shall be described as being one set of a number of possible methods, unless
the facts indicate that these are the only feasible engineering
controls.
d. Feasible administrative or work practice controls, if
appropriate, using the guidelines given above for engineering controls to
describe the controls.
E. Examples of Health SAVEs. The use of health SAVEs is
illustrated in the following examples:
1. SAVE for a Standard with a General Requirement.
a. As It Appears in the SAVEs Manual.
OPTION 1 29 CFR 1910.132(a): Protective equipment was not
used when necessary whenever hazards capable of causing injury and impairment
were encountered:
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR
CONDITIONS) (DESCRIBE HAZARD(S) WHERE NECESSARY)
b. What the CSHO Must Specify.
o Identify type of equipment needed; e.g., gloves
impervious to hazardous substance.
o Identify health hazard and its effects; e.g., Scotch
Brand Resin 5230, a serious skin irritant and sensitizer.
o Identify the part of the body that was unprotected;
e.g., the wrists and lower arms.
c. Completed AVD as It Appears on the Citation.
29 CFR 1910.132(a): Protective equipment was not used when
necessary whenever hazards capable of causing injury and impairment were
encountered:
(a) An employee working in the Fluidizer Room handling
Scotch Brand Resin 5230 which is a serious skin irritant and sensitizer was
wearing cotton gloves which were not impervious to the resin and did not
protect the wrists and lower arms.
2. SAVE for a Respirator Violation.
a. As It Appears in the SAVEs Manual.
29 CFR 1910.134(b)(3): The users of respirators were not
instructed and trained in the proper use of respirators and their
limitations:
(a) (LOCATION, OPERATION AND/OR SPECIFIC
RESPIRATORS)
b. What the CSHO Must Specify.
o Identify the hazardous substance to which employees are
exposed; e.g., silica.
o Identify the exposure level; e.g., in a sample
containing 20% respirable quartz, a TWA of 1.4 mg/M3, or 3 times the PEL of
0.45 mg/M3 was measured.
o Identify the type of respirator used and any
deficiencies noted; e.g., MSA Comfo II respirator with one strap removed and
cartridges designed for use with organic vapors.
o Identify the specific hazard under the standard cited;
e.g., employee had not been trained in how to wear the respirator and was not
familiar with the hazards of silica.
c. Completed AVD as It Appears on the Citation.
29 CFR 1910.134(b)(3): The users of respirators were not
instructed and trained in the proper use of respirators and their
limitations:
(a) An employee was exposed to silica dust with 20%
respirable quartz at a TWA of 1.4 mg/M3, 3 times the permissible exposure
level of 0.45 mg/M3, while chipping and grinding castings at the Number 7
Work Station in the Number 4 Grinding Enclosure in the Cleaning Room. The
employee was not instructed in the proper use of the respirator and its
limitations as evidenced by the fact that he was wearing an MSA Comfo II
respirator which had one strap removed. Further the employee was not
familiar with the health hazards of silica: February 23,
1988.
3. SAVE for a Ventilation Violation.
a. As It Appears in the SAVEs Manual.
29 CFR 1910.94(d)(9)(i): Employees working in and around
open surface tank operations were not instructed as to job hazards and first
aid procedures or personal protection applicable to these
hazards:
(a) (LOCATION, TANK, CONDITIONS AND/OR
CONTAMINANTS)
b. What the CSHO Must Specify.
o Identify tanks involved; e.g., cadmium, nickel and
chrome plating tanks.
o Identify the hazards involved and their effects; e.g.,
mixing cyanide salts with acid producing hydrogen cyanide, an
asphyxiant.
c. Completed AVD as It Appears on the Citation.
29 CFR 1910.94(d)(9)(i): Employees working in and around
open surface tank operations were not instructed as to job hazards and first
aid procedures or personal protection applicable to these
hazards:
(a) An employee working in the Plating Room near the
cadmium, nickel and chrome plating tanks was exposed to the hazards of
hydrogen cyanide inhalation, a chemical asphyxiant which can cause death, and
the employee was not familiar with the hazard of mixing cyanide salts with
acid nor with established emergency procedures.
4. SAVES for a Noise Violation.
a. As They Appear in the SAVEs Manual.
29 CFR 1910.95(b)(1): Employees were subjected to sound
levels exceeding those listed in Table G-16 of Subpart G of 29 CFR 1910 and
feasible administrative or engineering controls were not utilized to reduce
sound levels:
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATIONS OR DEPARTMENT
AND THE NUMBER OF EMPLOYEES EXPOSED) (DESCRIBE CONDITIONS INCLUDING DATE,
SHIFT, NOISE LEVELS, SAMPLING PERIOD) (PROVIDE GENERAL METHODS OF
CONTROL)
29 CFR 1910.95(i)(2)(i): The wearing of hearing protectors
was not ensured for employees exposed to sound levels exceeding those listed
in Table G- 16 of 29 CFR 1910.95 as required by 29 CFR
1910.95(b)(1):
(a) (LOCATION) (IDENTIFY SPECIFIC OPERATIONS AND/OR
DEPARTMENTS AND THE NUMBER OF EMPLOYEES INVOLVED) (DESCRIBE CONDITIONS
INCLUDING NOISE LEVELS, SAMPLING PERIOD AND DATES)
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