U.S.

DEPARTMENT OF LABOR Occupational Safety and Health Administration

DIRECTIVE NUMBER: CPL-02-00-160 EFFECTIVE DATE: 08/02/2016

SUBJECT: Field Operations Manual (FOM)

ABSTRACT

Purpose: To provide OSHA offices, State Plan programs and federal agencies
with policy and procedures concerning the enforcement of
occupational safety and health standards. Also, this instruction
provides current information and ensures occupational safety and
health standards are enforced with uniformity.
Scope: OSHA-wide.
References: See Chapter 1, Section III.
Cancellations: OSHA Instruction CPL 02-00-159, Field Operations Manual, issued
October 1, 2015.
State Impact: Notice of Intent and Equivalency required. See Chapter 1, Section VI.
Action Offices: National, Regional, and Area Offices.
Originating Office: Directorate of Enforcement Programs (DEP).
Contact: Director, Office of General Industry and Agricultural Enforcement
U.S. Department of Labor – OSHA
200 Constitution Avenue, N.W., Room N-3119
Washington, DC 20210
202-693-1850

By and Under the Authority of

David Michaels, PhD, MPH

Assistant Secretary

ABSTRACT-1
 Executive Summary

This instruction provides current information and guidance to the Occupational Safety and Health
Administration (OSHA) national, regional, and area offices concerning OSHA’s policy and
procedures for implementing inspections, issuing citations and proposing penalties.

Significant Changes for 2016 Update

 Updated Table of Contents section.
 Updated References section.
 Updated General Penalty Policy in Chapter 6, Section I.
 Updated Civil Penalties to include the “Inflation Adjustment Act” in Chapter 6, Section
II.A.1-5.
 Updated Minimum Penalties in Chapter 6, Section II.C.1&2.
 Updated Maximum Amounts for Civil Penalties in Chapter 6, Table 6-1.
 Updated Serious Violation & GBP in Chapter 6, Section III.A.4.a&c.
 Updated GBP for Serious Violations in Chapter 6, Table 6-2.
 Updated Other-Than-Serious Violations & GBP in Chapter 6, Section III.A.5.b.
 Updated GBP for Other-Than-Serious Violations in Chapter 6, Table 6-3.
 Updated Maximum Penalty Adjustment Factor for Size in Chapter 6, Section III.B.1.a.
 Updated Good Faith Reduction policy in Chapter 6, Section III.B.3.a&b.
 Updated Size Reduction for small employers in Chapter 6, Section III.B.4.a.
 Updated Percent Reduction for Size Reduction in Chapter 6, Table 6-4.
 Updated Penalty Adjustment Application in Chapter 6, Section III.B.5.
 Updated Sample of Moderate Gravity Penalty Comparison Summed versus Serial
Calculation in Chapter 6, Table 6-5.
 Updated Comments for Quick-Fix Penalty Reduction Factor in Chapter 6, Table 6-6.
 Updated Repeated Violations in Chapter 6, Section V.A.3.Note.
 Updated Other-than-Serious, No Initial Penalty in Chapter 6, Section V.C.
 Updated Willful Violations in Chapter 6, Section VI., Section VI.A.3., and Section VI.B.
 Updated Percent Reduction for Serious Willful Penalty Reductions in Chapter 6,
Table 6-7.
 Updated Gravity for Penalties to be Proposed for Serious Willful Violations in Chapter 6,
Table 6-8.
 Updated Willful Regulatory Violation in Chapter 6, Section VI.C.2.
 Updated Significant Enforcement Actions in Chapter 6, Section IX.A,B,C&D.
 Updated 1903 and 1904 Regulatory Requirements in Chapter 6, Section X.
 Updated Failure to Post a Citation in Chapter 6, Section X.A.2.a&b.
 Updated Proposed Penalties to Medical and Exposure Records in Chapter 6, Section
XI.A.

ABSTRACT-2
 Disclaimer

This manual is intended to provide instruction regarding some of the internal

operations of the Occupational Safety and Health Administration (OSHA), and is
solely for the benefit of the Government. No duties, rights, or benefits, substantive
or procedural, are created or implied by this manual. The contents of this manual
are not enforceable by any person or entity against the Department of Labor or the
United States. Statements which reflect current Occupational Safety and Health
Review Commission or court precedents do not necessarily indicate acquiescence to
those precedents.

ABSTRACT-3
 TABLE OF CONTENTS

CHAPTER 1
INTRODUCTION
I. PURPOSE. ............................................................................................................. 1-1
II. SCOPE. .................................................................................................................. 1-1
III. REFERENCES. ..................................................................................................... 1-1
IV. CANCELLATIONS. ............................................................................................. 1-6
V. ACTION INFORMATION. ................................................................................. 1-6
A. RESPONSIBLE OFFICE ................................................................................................................. 1-6
B. ACTION OFFICES ........................................................................................................................ 1-6
C. INFORMATION OFFICES .............................................................................................................. 1-6
VI. FEDERAL PROGRAM CHANGE – NOTICE OF INTENT AND
EQUIVALENCY REQUIRED. ........................................................................... 1-6
VII. SIGNIFICANT CHANGES. ................................................................................ 1-6
VIII. BACKGROUND. .................................................................................................. 1-7
IX. DEFINITIONS AND TERMINOLOGY. ........................................................... 1-8
A. THE ACT..................................................................................................................................... 1-8
B. COMPLIANCE SAFETY AND HEALTH OFFICER (CSHO) .............................................................. 1-8
C. HE/SHE AND HIS/HERS ............................................................................................................... 1-8
D. PROFESSIONAL JUDGMENT ......................................................................................................... 1-8
E. WORKPLACE AND WORKSITE ..................................................................................................... 1-8

CHAPTER 2
PROGRAM PLANNING

I. INTRODUCTION................................................................................................. 2-1
II. AREA OFFICE RESPONSIBILITIES. ............................................................. 2-1
A. PROVIDING ASSISTANCE TO SMALL EMPLOYERS. ...................................................................... 2-1
B. AREA OFFICE OUTREACH PROGRAM. ......................................................................................... 2-1
C. RESPONDING TO REQUESTS FOR ASSISTANCE. ........................................................................... 2-1
III. OSHA COOPERATIVE PROGRAMS OVERVIEW. ..................................... 2-1
A. VOLUNTARY PROTECTION PROGRAMS (VPP). ........................................................................... 2-1
B. ON-SITE CONSULTATION PROGRAM. .......................................................................................... 2-2
C. SAFETY AND HEALTH ACHIEVEMENT RECOGNITION PROGRAM (SHARP). ............................... 2-2
D. STRATEGIC PARTNERSHIPS. ........................................................................................................ 2-2
E. ALLIANCE PROGRAM.................................................................................................................. 2-2
IV. ENFORCEMENT PROGRAM SCHEDULING. .............................................. 2-3
A. GENERAL.................................................................................................................................... 2-3
B. INSPECTION PRIORITY CRITERIA. ............................................................................................... 2-3
C. EFFECT OF CONTEST................................................................................................................... 2-4
D. ENFORCEMENT EXEMPTIONS AND LIMITATIONS. ....................................................................... 2-4

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 E. PREEMPTION BY ANOTHER FEDERAL AGENCY. .......................................................................... 2-5
F. UNITED STATES POSTAL SERVICE. ............................................................................................. 2-5
G. HOME-BASED WORKSITES. ........................................................................................................ 2-6
H. INSPECTION/INVESTIGATION TYPES. .......................................................................................... 2-6
V. UNPROGRAMMED ACTIVITY – HAZARD EVALUATION AND
INSPECTION SCHEDULING. ........................................................................... 2-7
VI. PROGRAMMED INSPECTIONS. ..................................................................... 2-7
A. SCHEDULING FOR CONSTRUCTION INSPECTIONS. ....................................................................... 2-7
B. SCHEDULING FOR MARITIME INSPECTIONS. ............................................................................... 2-7
C. SPECIAL EMPHASIS PROGRAMS (SEPS). ..................................................................................... 2-8
D. NATIONAL EMPHASIS PROGRAMS (NEPS).................................................................................. 2-9
E. LOCAL EMPHASIS PROGRAMS (LEPS) AND REGIONAL EMPHASIS PROGRAMS (REPS)............... 2-9
F. OTHER SPECIAL PROGRAMS. ...................................................................................................... 2-9
G. INSPECTION SCHEDULING AND INTERFACE WITH COOPERATIVE PROGRAM PARTICIPANTS. ...... 2-9

CHAPTER 3
INSPECTION PROCEDURES

I. GENERAL INSPECTION PROCEDURES. ..................................................... 3-1

II. INSPECTION PREPARATION AND PLANNING. ........................................ 3-1
A. REVIEW OF INSPECTION HISTORY............................................................................................... 3-1
B. REVIEW OF COOPERATIVE PROGRAM PARTICIPATION. ............................................................... 3-1
C. SAFETY AND HEALTH ISSUES RELATING TO CSHOS. ................................................................. 3-1
D. ADVANCE NOTICE OF AN INSPECTION. ....................................................................................... 3-3
E. PRE-INSPECTION COMPULSORY PROCESS................................................................................... 3-4
F. PERSONAL SECURITY CLEARANCE. ............................................................................................ 3-4
G. EXPERT ASSISTANCE. ................................................................................................................. 3-4
III. INSPECTION SCOPE. ........................................................................................ 3-4
A. COMPREHENSIVE. ....................................................................................................................... 3-4
B. PARTIAL. .................................................................................................................................... 3-5
IV. CONDUCT OF INSPECTION. ........................................................................... 3-5
A. TIME OF INSPECTION. ................................................................................................................. 3-5
B. PRESENTING CREDENTIALS. ....................................................................................................... 3-5
C. REFUSAL TO PERMIT INSPECTION AND INTERFERENCE. .............................................................. 3-5
D. EMPLOYEE PARTICIPATION. ....................................................................................................... 3-6
E. RELEASE FOR ENTRY. ................................................................................................................. 3-7
F. BANKRUPT OR OUT OF BUSINESS. .............................................................................................. 3-7
G. EMPLOYEE RESPONSIBILITIES. ................................................................................................... 3-7
H. STRIKE OR LABOR DISPUTE. ....................................................................................................... 3-7
I. VARIANCES. ............................................................................................................................... 3-8
V. OPENING CONFERENCE. ................................................................................ 3-8
A. GENERAL.................................................................................................................................... 3-8
B. REVIEW OF APPROPRIATION ACT EXEMPTIONS AND LIMITATIONS. ......................................... 3-10
C. REVIEW SCREENING FOR PROCESS SAFETY MANAGEMENT (PSM) COVERAGE. ...................... 3-10
D. REVIEW OF VOLUNTARY COMPLIANCE PROGRAMS. ................................................................ 3-10
E. DISRUPTIVE CONDUCT. ............................................................................................................ 3-11
F. CLASSIFIED AREAS. .................................................................................................................. 3-11

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VI. REVIEW OF RECORDS. .................................................................................. 3-11
A. INJURY AND ILLNESS RECORDS. ............................................................................................... 3-11
B. RECORDING CRITERIA. ............................................................................................................. 3-13
C. RECORDKEEPING DEFICIENCIES. .............................................................................................. 3-13
VII. WALKAROUND INSPECTION. ..................................................................... 3-14
A. WALKAROUND REPRESENTATIVES. .......................................................................................... 3-14
B. EVALUATION OF SAFETY AND HEALTH MANAGEMENT SYSTEM. ............................................. 3-15
C. RECORD ALL FACTS PERTINENT TO A VIOLATION. .................................................................. 3-15
D. TESTIFYING IN HEARINGS......................................................................................................... 3-15
E. TRADE SECRETS. ...................................................................................................................... 3-15
F. COLLECTING SAMPLES. ............................................................................................................ 3-16
G. PHOTOGRAPHS AND VIDEOTAPES. ............................................................................................ 3-16
H. VIOLATIONS OF OTHER LAWS. ................................................................................................. 3-16
I. INTERVIEWS OF NON-MANAGERIAL EMPLOYEES. .................................................................... 3-17
J. MULTI-EMPLOYER WORKSITES................................................................................................ 3-19
K. ADMINISTRATIVE SUBPOENA. .................................................................................................. 3-19
L. EMPLOYER ABATEMENT ASSISTANCE. ..................................................................................... 3-19
VIII. CLOSING CONFERENCE. .............................................................................. 3-20
A. PARTICIPANTS. ......................................................................................................................... 3-20
B. DISCUSSION ITEMS. .................................................................................................................. 3-20
C. ADVICE TO ATTENDEES. ........................................................................................................... 3-21
D. PENALTIES................................................................................................................................ 3-21
E. FEASIBLE ADMINISTRATIVE, WORK PRACTICE AND ENGINEERING CONTROLS. ....................... 3-21
F. REDUCING EMPLOYEE EXPOSURE. ........................................................................................... 3-22
G. ABATEMENT VERIFICATION. .................................................................................................... 3-22
H. EMPLOYEE DISCRIMINATION. ................................................................................................... 3-23
IX. SPECIAL INSPECTION PROCEDURES. ...................................................... 3-23
A. FOLLOW-UP AND MONITORING INSPECTIONS. .......................................................................... 3-23
B. CONSTRUCTION INSPECTIONS................................................................................................... 3-24
C. FEDERAL AGENCY INSPECTIONS. ............................................................................................. 3-25

CHAPTER 4
VIOLATIONS

I. BASIS OF VIOLATIONS. ................................................................................... 4-1

A. STANDARDS AND REGULATIONS. ............................................................................................... 4-1
B. EMPLOYEE EXPOSURE. ............................................................................................................... 4-2
C. REGULATORY REQUIREMENTS. .................................................................................................. 4-4
D. HAZARD COMMUNICATION. ....................................................................................................... 4-5
E. EMPLOYER/EMPLOYEE RESPONSIBILITIES. ................................................................................. 4-5
II. SERIOUS VIOLATIONS. ................................................................................... 4-6
A. SECTION 17(K). .......................................................................................................................... 4-6
B. ESTABLISHING SERIOUS VIOLATIONS. ........................................................................................ 4-6
C. FOUR STEPS TO BE DOCUMENTED. ............................................................................................. 4-6
III. GENERAL DUTY REQUIREMENTS............................................................... 4-9
A. EVALUATION OF GENERAL DUTY REQUIREMENTS. .................................................................. 4-10
B. ELEMENTS OF A GENERAL DUTY REQUIREMENT VIOLATION. .................................................. 4-10

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 C. USE OF THE GENERAL DUTY CLAUSE....................................................................................... 4-16
D. LIMITATIONS OF USE OF THE GENERAL DUTY CLAUSE. ........................................................... 4-16
E. CLASSIFICATION OF VIOLATIONS CITED UNDER THE GENERAL DUTY CLAUSE. ....................... 4-18
F. PROCEDURES FOR IMPLEMENTATION OF SECTION 5(A)(1) ENFORCEMENT. .............................. 4-18
IV. OTHER-THAN-SERIOUS VIOLATIONS. ..................................................... 4-18
V. WILLFUL VIOLATIONS. ................................................................................ 4-19
A. INTENTIONAL DISREGARD OF VIOLATIONS. ............................................................................. 4-19
B. PLAIN INDIFFERENCE VIOLATIONS. .......................................................................................... 4-19
VI. CRIMINAL/WILLFUL VIOLATIONS. .......................................................... 4-20
A. AREA DIRECTOR COORDINATION. ............................................................................................ 4-20
B. CRITERIA FOR INVESTIGATING POSSIBLE CRIMINAL/WILLFUL VIOLATIONS. ........................... 4-21
C. WILLFUL VIOLATIONS RELATED TO A FATALITY. .................................................................... 4-21
VII. REPEATED VIOLATIONS. ............................................................................. 4-21
A. FEDERAL AND STATE PLAN VIOLATIONS. ................................................................................ 4-21
B. IDENTICAL STANDARDS. .......................................................................................................... 4-22
C. DIFFERENT STANDARDS. .......................................................................................................... 4-22
D. OBTAINING INSPECTION HISTORY. ........................................................................................... 4-22
E. TIME LIMITATIONS. .................................................................................................................. 4-23
F. REPEATED V. FAILURE TO ABATE............................................................................................. 4-23
G. AREA DIRECTOR RESPONSIBILITIES. ........................................................................................ 4-23
VIII. DE MINIMIS CONDITIONS. ........................................................................... 4-24
A. CRITERIA. ................................................................................................................................. 4-24
B. PROFESSIONAL JUDGMENT. ...................................................................................................... 4-25
C. AREA DIRECTOR RESPONSIBILITIES. ........................................................................................ 4-25
IX. CITING IN THE ALTERNATIVE................................................................... 4-25
X. COMBINING AND GROUPING VIOLATIONS. .......................................... 4-25
A. COMBINING. ............................................................................................................................. 4-25
B. GROUPING. ............................................................................................................................... 4-25
C. WHEN NOT TO GROUP OR COMBINE. ....................................................................................... 4-26
XI. HEALTH STANDARD VIOLATIONS............................................................ 4-26
A. CITATION OF VENTILATION STANDARDS.................................................................................. 4-26
B. VIOLATIONS OF THE NOISE STANDARD. ................................................................................... 4-27
XII. VIOLATIONS OF THE RESPIRATORY PROTECTION STANDARD
(§1910.134). .......................................................................................................... 4-29
XIII. VIOLATIONS OF AIR CONTAMINANT STANDARDS (§1910.1000). ..... 4-29
A. REQUIREMENTS UNDER THE STANDARD: .................................................................................. 4-29
B. CLASSIFICATION OF VIOLATIONS OF AIR CONTAMINANT STANDARDS. ................................... 4-29
XIV. CITING IMPROPER PERSONAL HYGIENE PRACTICES. ..................... 4-30
A. INGESTION HAZARDS. .............................................................................................................. 4-30
B. ABSORPTION HAZARDS. ........................................................................................................... 4-31
C. WIPE SAMPLING. ...................................................................................................................... 4-31
D. CITATION POLICY. .................................................................................................................... 4-31
XV. BIOLOGICAL MONITORING. ....................................................................... 4-31

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 CHAPTER 5
CASE FILE PREPERATION AND DOCUMENTATION

I. INTRODUCTION................................................................................................. 5-1
II. INSPECTION CONDUCTED, CITATIONS BEING ISSUED. ...................... 5-1
A. INSPECTION (OSHA-1)............................................................................................................... 5-1
B. NARATIVE (OSHA-1A). ............................................................................................................. 5-1
C. VIOLATION (OSHA-1B). ............................................................................................................ 5-2
III. INSPECTION CONDUCTED BUT NO CITATIONS ISSUED. ..................... 5-4
IV. NO INSPECTION. ................................................................................................ 5-4
V. HEALTH INSPECTIONS. .................................................................................. 5-4
A. DOCUMENT POTENTIAL EXPOSURE. ........................................................................................... 5-4
B. EMPLOYER’S OCCUPATIONAL SAFETY AND HEALTH SYSTEM. .................................................. 5-4
VI. AFFIRMATIVE DEFENSES. ............................................................................. 5-5
A. BURDEN OF PROOF. .................................................................................................................... 5-5
B. EXPLANATIONS. ......................................................................................................................... 5-5
VII. INTERVIEW STATEMENTS. ........................................................................... 5-7
A. GENERALLY. .............................................................................................................................. 5-7
B. CSHOS SHALL OBTAIN WRITTEN STATEMENTS WHEN: ............................................................... 5-7
C. LANGUAGE AND WORDING OF STATEMENT. .............................................................................. 5-7
D. REFUSAL TO SIGN STATEMENT................................................................................................... 5-7
E. VIDEO AND AUDIOTAPED STATEMENTS. .................................................................................... 5-7
F. ADMINISTRATIVE DEPOSITIONS. ................................................................................................ 5-7
VIII. PAPERWORK AND WRITTEN PROGRAM REQUIREMENTS. ............... 5-7
IX. GUIDELINES FOR CASE FILE DOCUMENTATION FOR USE WITH
VIDEOTAPES AND AUDIOTAPES. ................................................................. 5-8
X. CASE FILE ACTIVITY DIARY SHEET. ......................................................... 5-8
XI. CITATIONS. ......................................................................................................... 5-8
A. STATUTE OF LIMITATIONS. ......................................................................................................... 5-8
B. ISSUING CITATIONS. ................................................................................................................... 5-8
C. AMENDING/WITHDRAWING CITATIONS AND NOTIFICATION OF PENALTIES. .............................. 5-9
D. PROCEDURES FOR AMENDING OR WITHDRAWING CITATIONS. ................................................... 5-9
XII. INSPECTION RECORDS. ................................................................................ 5-10
A. GENERALLY. ............................................................................................................................ 5-10
B. RELEASE OF INSPECTION INFORMATION. .................................................................................. 5-10
C. CLASSIFIED AND TRADE SECRET INFORMATION....................................................................... 5-10

CHAPTER 6
PENALTIES AND DEBT COLLECTION

I. GENERAL PENALTY POLICY. ....................................................................... 6-1

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II. CIVIL PENALTIES. ............................................................................................ 6-1
A. AUTHORITY FOR CIVIL PENALTIES. ............................................................................................ 6-1
B. APPROPRIATION ACT RESTRICTIONS. ......................................................................................... 6-2
C. MINIMUM PENALTIES. ................................................................................................................ 6-2
D. MAXIMUM PENALTIES. ............................................................................................................... 6-2
III. PENALTY FACTORS. ........................................................................................ 6-3
A. GRAVITY OF VIOLATION. ........................................................................................................... 6-3
B. PENALTY ADJUSTMENT FACTORS. ............................................................................................. 6-6
IV. EFFECT ON PENALTIES IF EMPLOYER IMMEDIATELY CORRECTS... 6-9
A. QUICK-FIX PENALTY REDUCTION. ........................................................................................... 6-10
B. QUICK-FIX REDUCTION SHALL APPLY TO: ............................................................................... 6-10
C. QUICK-FIX REDUCTIONS SHALL NOT APPLY TO: ..................................................................... 6-10
D. REDUCTION AMOUNT. .............................................................................................................. 6-10
V. REPEATED VIOLATIONS. ............................................................................. 6-11
A. GENERAL.................................................................................................................................. 6-11
B. PENALTY INCREASE FACTORS FOR REPEATED VIOLATIONS. .................................................... 6-12
C. OTHER-THAN-SERIOUS, NO INITIAL PENALTY. ........................................................................ 6-12
D. REGULATORY VIOLATIONS. ..................................................................................................... 6-12
VI. WILLFUL VIOLATIONS. ................................................................................ 6-12
A. GENERAL.................................................................................................................................. 6-12
B. SERIOUS WILLFUL PENALTY REDUCTIONS. .............................................................................. 6-12
C. WILLFUL REGULATORY VIOLATIONS. ...................................................................................... 6-13
VII. PENALTIES FOR FAILURE TO ABATE. ..................................................... 6-14
A. GENERAL.................................................................................................................................. 6-14
B. CALCULATION OF ADDITIONAL PENALTIES. ............................................................................. 6-14
C. PARTIAL ABATEMENT. ............................................................................................................. 6-15
VIII. VIOLATION-BY-VIOLATION (EGREGIOUS) PENALTY POLICY. ...... 6-15
A. PENALTY PROCEDURE. ............................................................................................................. 6-15
B. CASE HANDLING. ..................................................................................................................... 6-15
C. CALCULATION OF PENALTIES. .................................................................................................. 6-15
IX. SIGNIFICANT ENFORCEMENT ACTIONS. ............................................... 6-15
A. DEFINITION. ............................................................................................................................. 6-15
B. MULTI-EMPLOYER WORKSITES. ............................................................................................... 6-15
C. FEDERAL AGENCY SIGNIFICANT CASES. .................................................................................. 6-16
D. ASSISTANT SECRETARY CONCURRENCE................................................................................... 6-16
X. PENALTY AND CITATION POLICY FOR PARTS 1903 AND 1904
REGULATORY REQUIREMENTS. ............................................................... 6-16
A. POSTING REQUIREMENTS UNDER PART 1903. .......................................................................... 6-16
B. ADVANCE NOTICE OF INSPECTION – §1903.6. .......................................................................... 6-17
C. ABATEMENT VERIFICATION REGULATION VIOLATIONS – §1903.19. ....................................... 6-17
D. INJURY AND ILLNESS RECORDS AND REPORTING UNDER PART 1904. ...................................... 6-17
XI. FAILURE TO PROVIDE ACCESS TO MEDICAL AND EXPOSURE
RECORDS – §1910.1020. ................................................................................... 6-17
A. PROPOSED PENALTIES. ............................................................................................................. 6-18

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 B. USE OF VIOLATION-BY-VIOLATION PENALTIES. ...................................................................... 6-18
XII. CRIMINAL PENALTIES. ................................................................................. 6-18
A. OSH ACT AND U.S. CODE. ....................................................................................................... 6-18
B. COURTS. ................................................................................................................................... 6-18
XIII. HANDLING MONIES RECEIVED FROM EMPLOYERS.......................... 6-18
A. RESPONSIBILITY OF THE AREA DIRECTOR. ............................................................................... 6-18
B. RECEIVING PAYMENTS. ............................................................................................................ 6-19
C. REFUNDS. ................................................................................................................................. 6-20
XIV. DEBT COLLECTION PROCEDURES. .......................................................... 6-20
A. POLICY. .................................................................................................................................... 6-21
B. TIME ALLOWED FOR PAYMENT OF PENALTIES. ........................................................................ 6-21
C. NOTIFICATION PROCEDURES. ................................................................................................... 6-21
D. NOTIFICATION OF OVERDUE DEBT. .......................................................................................... 6-21
E. ASSESSMENT OF ADDITIONAL CHARGES. ................................................................................. 6-22
F. ASSESSMENT PROCEDURES. ..................................................................................................... 6-23
G. APPLICATION OF PAYMENTS. ................................................................................................... 6-24
H. UNCOLLECTIBLE PENALTIES. ................................................................................................... 6-24
I. NATIONAL OFFICE DEBT COLLECTION PROCEDURES. .............................................................. 6-24

CHAPTER 7
POST-CITATION PROCEDURES AND ABATEMENT VERIFICATION

I. CONTESTING CITATIONS, NOTIFICATIONS OF PENALTY AND

ABATEMENT DATES. ....................................................................................... 7-1
A. NOTICE OF CONTEST. ................................................................................................................. 7-1
B. CONTEST PROCESS. .................................................................................................................... 7-1
II. INFORMAL CONFERENCES. .......................................................................... 7-2
A. GENERAL.................................................................................................................................... 7-2
B. ASSISTANCE OF COUNSEL. ......................................................................................................... 7-2
C. OPPORTUNITY TO PARTICIPATE. ................................................................................................. 7-2
D. NOTICE OF INFORMAL CONFERENCES. ....................................................................................... 7-2
E. POSTING REQUIREMENT. ............................................................................................................ 7-3
F. CONDUCT OF THE INFORMAL CONFERENCE. .............................................................................. 7-3
III. PETITION FOR MODIFICATION OF ABATEMENT DATE (PMA). ........ 7-3
A. FILING. ....................................................................................................................................... 7-3
B. WHERE FILING REQUIREMENTS ARE NOT MET. ......................................................................... 7-4
C. APPROVAL OF PMA. .................................................................................................................. 7-4
D. OBJECTION TO PMA. .................................................................................................................. 7-4
IV. OSHA’S ABATEMENT VERIFICATION REGULATION, §1903.19........... 7-5
A. IMPORTANT TERMS AND CONCEPTS. .......................................................................................... 7-5
B. WRITTEN CERTIFICATION. .......................................................................................................... 7-6
C. VERIFICATION PROCEDURES. ..................................................................................................... 7-7
D. SUPPLEMENTAL PROCEDURES. ................................................................................................... 7-7
E. REQUIREMENTS. ......................................................................................................................... 7-7
V. ABATEMENT CERTIFICATION. .................................................................... 7-7

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 A. MINIMUM LEVEL. ....................................................................................................................... 7-7
B. CERTIFICATION REQUIREMENTS................................................................................................. 7-7
C. CERTIFICATION TIMEFRAME. ..................................................................................................... 7-7
VI. ABATEMENT DOCUMENTATION. ................................................................ 7-8
A. REQUIRED ABATEMENT DOCUMENTATION. ............................................................................... 7-8
B. ADEQUACY OF ABATEMENT DOCUMENTATION.......................................................................... 7-8
C. ABATEMENT DOCUMENTATION FOR SERIOUS VIOLATIONS........................................................ 7-9
D. CSHO OBSERVED ABATEMENT. ................................................................................................ 7-9
VII. MONITORING INFORMATION FOR ABATEMENT PERIODS GREATER
THAN 90 DAYS. ................................................................................................. 7-10
A. ABATEMENT PERIODS GREATER THAN 90 DAYS. ..................................................................... 7-10
B. ABATEMENT PLANS.................................................................................................................. 7-10
C. PROGRESS REPORTS. ................................................................................................................ 7-10
D. SPECIAL REQUIREMENTS FOR LONG-TERM ABATEMENT. ........................................................ 7-10
VIII. EMPLOYER FAILURE TO SUBMIT REQUIRED ABATEMENT
CERTIFICATION. ............................................................................................. 7-11
A. ACTIONS PRECEDING CITATION FOR FAILURE TO CERTIFY ABATEMENT. ................................ 7-11
B. CITATION FOR FAILURE TO CERTIFY. ....................................................................................... 7-11
C. CERTIFICATION OMISSIONS. ..................................................................................................... 7-11
D. PENALTY ASSESSMENT FOR FAILURE TO CERTIFY. .................................................................. 7-12
IX. TAGGING FOR MOVABLE EQUIPMENT. ................................................. 7-12
A. TAG-RELATED CITATIONS........................................................................................................ 7-12
B. EQUIPMENT WHICH IS MOVED. ................................................................................................ 7-12
X. FAILURE TO NOTIFY EMPLOYEES BY POSTING.................................. 7-12
A. EVIDENCE................................................................................................................................. 7-12
B. LOCATION OF POSTING. ............................................................................................................ 7-12
C. OTHER COMMUNICATION. ........................................................................................................ 7-12
XI. ABATEMENT VERIFICATION FOR SPECIAL ENFORCEMENT
SITUATIONS. ..................................................................................................... 7-13
A. CONSTRUCTION ACTIVITY CONSIDERATIONS. .......................................................................... 7-13
B. FIELD SANITATION AND TEMPORARY LABOR CAMPS. ............................................................. 7-13
C. FOLLOW-UP POLICY FOR EMPLOYER FAILURE TO VERIFY ABATEMENT UNDER §1903.19. ..... 7-14
XII. ONSITE VISITS: PROCEDURES FOR ABATEMENT VERIFICATION
AND MONITORING. ........................................................................................ 7-14
A. FOLLOW-UP INSPECTIONS. ....................................................................................................... 7-14
B. SEVERE VIOLATOR ENFORCEMENT PROGRAM (SVEP) FOLLOW-UP. ....................................... 7-14
C. INITIAL FOLLOW-UP. ................................................................................................................ 7-15
D. SECOND FOLLOW-UP. .............................................................................................................. 7-15
E. OSH ACT SECTION 11(B). ........................................................................................................ 7-15
F. FOLLOW-UP INSPECTION REPORTS........................................................................................... 7-16
XIII. MONITORING INSPECTIONS. ......................................................................... 16
A. GENERAL.................................................................................................................................. 7-16
B. CONDUCT OF MONITORING INSPECTION (PMAS AND LONG-TERM ABATEMENT).................... 7-17
C. ABATEMENT DATES IN EXCESS OF ONE YEAR. ........................................................................ 7-17
D. MONITORING ABATEMENT EFFORTS. ....................................................................................... 7-17

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 E. MONITORING CORPORATE-WIDE SETTLEMENT AGREEMENTS. ................................................ 7-18
XIV. NOTIFICATION OF FAILURE TO ABATEMENT. .................................... 7-18
A. VIOLATION. .............................................................................................................................. 7-18
B. PENALTIES................................................................................................................................ 7-18
C. CALCULATION OF ADDITIONAL PENALTIES. ............................................................................. 7-18
XV. CASE FILE MANAGEMENT. ......................................................................... 7-18
A. CLOSING OF CASE FILE WITHOUT ABATEMENT CERTIFICATION. ............................................. 7-18
B. REVIEW OF EMPLOYER-SUBMITTED ABATEMENT. ................................................................... 7-18
C. WHETHER TO KEEP ABATEMENT DOCUMENTATION. ............................................................... 7-19
XVI. ABATEMENT SERVICES AVAILABLE TO EMPLOYERS. ..................... 7-19

CHAPTER 8
SETTLEMENTS

I. SETTLEMENT OF CASES BY AREA DIRECTORS. .................................... 8-1

A. GENERAL.................................................................................................................................... 8-1
B. PRE-CONTEST SETTLEMENT (INFORMAL SETTLEMENT AGREEMENT). ....................................... 8-1
C. PROCEDURES FOR PREPARING THE INFORMAL SETTLEMENT AGREEMENT. ................................ 8-4
D. POST-CONTEST SETTLEMENT (FORMAL SETTLEMENT AGREEMENT). ........................................ 8-4
E. CORPORATE-WIDE SETTLEMENT AGREEMENT........................................................................... 8-4

CHAPTER 9
COMPLAINT AND REFERRAL PROCESSING

I. SAFETY AND HEALTH COMPLAINTS AND REFERRALS. ..................... 9-1

A. DEFINITIONS. .............................................................................................................................. 9-1
B. CLASSIFYING AS A COMPLAINT OR A REFERRAL. ....................................................................... 9-2
C. CRITERIA WARRANTING AN INSPECTION.................................................................................... 9-2
D. SCHEDULING AN INSPECTION OF AN EMPLOYER IN AN EXEMPT INDUSTRY. ............................... 9-3
E. ELECTRONIC COMPLAINTS RECEIVED VIA THE OSHA PUBLIC WEBSITE. .................................. 9-3
F. INFORMATION RECEIVED BY TELEPHONE. .................................................................................. 9-4
G. PROCEDURES FOR HANDLING COMPLAINTS FILED IN MULTIPLE AREA OFFICES OR REGIONS. .. 9-5
H. PROCEDURES FOR AN INSPECTION. ............................................................................................. 9-5
I. PROCEDURES FOR AN INQUIRY. .................................................................................................. 9-6
J. COMPLAINANT PROTECTION. ..................................................................................................... 9-7
K. RECORDING IN OIS..................................................................................................................... 9-8
II. WHISTLEBLOWER COMPLAINTS. .............................................................. 9-8
III. DECISION TREES............................................................................................... 9-8

CHAPTER 10
INDUSTRY SECTORS

I. AGRICULTURE................................................................................................. 10-1

ix
 A. INTRODUCTION. ........................................................................................................................ 10-1
B. DEFINITIONS. ............................................................................................................................ 10-1
C. APPROPRIATIONS ACT EXEMPTIONS FOR FARMING OPERATIONS............................................. 10-2
D. STANDARDS APPLICABLE TO AGRICULTURE. ........................................................................... 10-3
E. PESTICIDES. .............................................................................................................................. 10-4
F. WAGE & HOUR/OSHA SHARED AUTHORITY UNDER SECRETARY’S ORDER. ........................... 10-4
II. CONSTRUCTION [RESERVED]. .................................................................. 10-5
III. MARITIME. ........................................................................................................ 10-6
A. MARITIME INDUSTRY PRIMARY RESOURCES. ........................................................................... 10-7
B. SHIPYARD EMPLOYMENT (PART 1915)................................................................................... 10-11
C. MARINE CARGO HANDLING INDUSTRY (PARTS 1917 & 1918). .............................................. 10-18
D. OTHER MARINE ACTIVITIES. .................................................................................................. 10-25
E. SECURITY PROCEDURES. ........................................................................................................ 10-26

CHAPTER 11
IMMINENT DANGER, FATALITY, CATASTROPHE, AND
EMERGENCY RESPONSE

I. IMMINENT DANGER SITUATIONS. ............................................................ 11-1

A. GENERAL.................................................................................................................................. 11-1
B. PRE-INSPECTION PROCEDURES. ................................................................................................ 11-1
C. IMMINENT DANGER INSPECTION PROCEDURES. ....................................................................... 11-2
D. ELIMINATION OF THE IMMINENT DANGER. ............................................................................... 11-2
II. FATALITY AND CATASTROPHE INVESTIGATIONS. ............................ 11-4
A. DEFINITIONS. ............................................................................................................................ 11-4
B. INITIAL REPORT........................................................................................................................ 11-4
C. INVESTIGATION PROCEDURES. ................................................................................................. 11-4
D. INTERVIEW PROCEDURES. ........................................................................................................ 11-5
E. INVESTIGATION DOCUMENTATION. .......................................................................................... 11-6
F. POTENTIAL CRIMINAL PENALTIES IN FATALITY AND CATASTROPHE CASES. ........................... 11-6
G. FAMILIES OF VICTIMS............................................................................................................... 11-8
H. PUBLIC INFORMATION POLICY. ................................................................................................ 11-9
I. RECORDING AND TRACKING FOR FATALITY/CATASTROPHE INVESTIGATIONS. ........................ 11-9
J. PRE-CITATION REVIEW. ......................................................................................................... 11-11
K. POST-CITATION PROCEDURES/ABATEMENT VERIFICATION. .................................................. 11-11
L. AUDIT PROCEDURES. .............................................................................................................. 11-12
M. RELATIONSHIP OF FATALITY AND CATASTROPHE INVESTIGATIONS TO OTHER PROGRAMS AND
ACTIVITIES. ............................................................................................................................ 11-12
N. SPECIAL ISSUES RELATED TO WORKPLACE FATALITIES. ........................................................ 11-14
III. RESCUE OPERATIONS AND EMERGENCY RESPONSE...................... 11-14
A. OSHA’S AUTHORITY TO DIRECT RESCUE OPERATIONS. ........................................................ 11-14
B. VOLUNTARY RESCUE OPERATIONS PERFORMED BY EMPLOYEES........................................... 11-14
C. EMERGENCY RESPONSE.......................................................................................................... 11-15

CHAPTER 12
SPECIALIZED INSPECTION PROCEDURES

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I. MULTI-EMPLOYER WORKPLACE/WORKSITE [RESERVED]. ........... 12-1
II. TEMPORARY LABOR CAMPS. ..................................................................... 12-1
A. INTRODUCTION. ........................................................................................................................ 12-1
B. DEFINITIONS. ............................................................................................................................ 12-1
C. WAGE & HOUR/OSHA SHARED AUTHORITY UNDER SECRETARY’S ORDER. .......................... 12-1
D. ENFORCEMENT OF TEMPORARY LABOR CAMP STANDARDS FOR AGRICULTURE. ..................... 12-2
E. OSHA ENFORCEMENT FOR NON-AGRICULTURE WORKSITES. ................................................. 12-3
F. EMPLOYEE OCCUPIED HOUSING. .............................................................................................. 12-3
G. PRIMARY CONCERNS. ............................................................................................................... 12-3
H. DIMENSIONS. ............................................................................................................................ 12-4
I. DOCUMENTATION FOR HOUSING INSPECTIONS......................................................................... 12-5
J. CONDITION OF EMPLOYMENT. .................................................................................................. 12-5

CHAPTER 13
FEDERAL AGENCY FIELD ACTIVITIES

I. INTRODUCTION............................................................................................... 13-1
A. SCOPE. ...................................................................................................................................... 13-1
B. OVERVIEW. .............................................................................................................................. 13-1
C. IMPORTANT DEFINITIONS. ........................................................................................................ 13-2
D. LAWS AND REGULATIONS AFFECTING FEDERAL AGENCIES. .................................................... 13-3
E. OSHA CONTACTS FOR INFORMATION REGARDING FEDERAL AGENCIES. ................................ 13-4
II. COVERAGE OF FEDERAL AGENCIES UNDER 29 CFR PART 1960..... 13-5
A. ENFORCEMENT. ........................................................................................................................ 13-5
B. MILITARY PERSONNEL, EQUIPMENT AND OPERATIONS. ........................................................... 13-5
C. FEDERAL AGENCIES EXEMPT FROM UNANNOUNCED INSPECTIONS. ......................................... 13-6
D. FEDERAL AGENCIES WITH PRIVATE SECTOR EMPLOYEES ON-SITE. ......................................... 13-6
E. UNITED STATES POSTAL SERVICE. ........................................................................................... 13-7
III. FEDERAL AGENCY INSPECTION SCHEDULING. .................................. 13-7
A. TARGETED INSPECTIONS. ......................................................................................................... 13-7
B. SPECIAL EMPHASIS INSPECTIONS. ............................................................................................ 13-7
C. INCIDENT INSPECTIONS. ........................................................................................................... 13-8
D. COMPLAINT HANDLING. ........................................................................................................... 13-8
E. REPORTS OF REPRISAL OR DISCRIMINATION. ........................................................................... 13-9
F. ALTERNATE AND SUPPLEMENTARY STANDARDS. .................................................................. 13-11
G. REFUSAL OF ENTRY................................................................................................................ 13-12
IV. FEDERAL AGENCY RECORDKEEPING AND REPORTING
REQUIREMENTS. ........................................................................................... 13-12
A. GENERAL BACKGROUND. ....................................................................................................... 13-12
B. RECORDING AND REPORTING INJURIES AND ILLNESSES AT FEDERAL AGENCIES.................... 13-12
C. SUMMARY OF MAJOR FEDERAL RECORDKEEPING REQUIREMENTS DIFFERENCES COMPARED TO
PRIVATE SECTOR. ................................................................................................................... 13-13
D. REPORTS AND INVESTIGATIONS OF FATALITIES/CATASTROPHES. .......................................... 13-13
E. FEDERAL AGENCY RECORDKEEPING FORMS. ......................................................................... 13-14
V. ACCESS TO FEDERAL EMPLOYEE OCCUPATIONAL SAFETY AND
HEALTH-RELATED RECORDS. ................................................................. 13-14
A. ACCESS TO FEDERAL EMPLOYEE INJURY AND ILLNESS RECORDS. ......................................... 13-14

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 B. FEDERAL EMPLOYEE ACCESS TO EXPOSURE AND MEDICAL RECORDS. ................................. 13-14
VI. EVALUATIONS OF FEDERAL AGENCY PROGRAMS. ......................... 13-15
A. PURPOSE................................................................................................................................. 13-15
B. TIME FRAMES. ........................................................................................................................ 13-15
C. OFFICE RESPONSIBILITIES. ..................................................................................................... 13-15
VII. AGENCY TECHNICAL ASSISTANCE REQUEST (ATAR). .................... 13-16
A. DEFINITION. ........................................................................................................................... 13-16
B. AGENCY PROCEDURES FOR REQUESTING AN ATAR. ............................................................. 13-16
C. OSHA RESPONSE TO ATARS................................................................................................. 13-16
D. VISIT PROCEDURES. ............................................................................................................... 13-16
E. ABATEMENT. .......................................................................................................................... 13-17
VIII. NOTICE(S) OF UNSAFE OR UNHEALTHFUL WORKING CONDITIONS. ..13-17
A. ISSUANCE OF AN OSHA NOTICE. ........................................................................................... 13-17
B. COVER LETTER FOR FEDERAL AGENCIES. .............................................................................. 13-18
C. VIOLATIONS OF CITABLE PROGRAM ELEMENTS OF 29 CFR PART 1960. ................................ 13-18
D. REPEAT OSHA NOTICE FOR FEDERAL AGENCIES. ................................................................. 13-19
E. MULTI-EMPLOYER WORKSITE POLICY FOR FEDERAL AGENCIES. .......................................... 13-19
F. INFORMAL CONFERENCE PROCEDURES FOR FEDERAL AGENCIES........................................... 13-19
G. FEDERAL AGENCY APPEALS PROCEDURE. ............................................................................. 13-20
H. VERIFICATION OF ABATEMENT. ............................................................................................. 13-22
I. PETITION FOR MODIFICATION OF ABATEMENT DATES (PMA). .............................................. 13-22
J. FAILURE TO ABATE. ............................................................................................................... 13-23

CHAPTER 14
HEALTH INSPECTION ENFOCEMENT POLICY

I. HEALTH ENFORCEMENT PROGRAMS [RESERVED] ........................... 14-1

CHAPTER 15
LEGAL ISSUES

I. ADMINISTRATIVE SUBPOENAS.................................................................. 15-1

A. WHEN TO ISSUE. ....................................................................................................................... 15-1
B. TWO TYPES OF SUBPOENAS. ..................................................................................................... 15-1
C. AREA DIRECTOR DELEGATED AUTHORITY TO ISSUE ADMINISTRATIVE SUBPOENAS. .............. 15-1
D. REGIONAL ADMINISTRATOR AUTHORITY TO ISSUE ADMINISTRATIVE SUBPOENAS. ................ 15-2
E. ADMINISTRATIVE SUBPOENA CONTENT AND SERVICE. ............................................................ 15-2
F. COMPLIANCE WITH THE SUBPOENA. ......................................................................................... 15-3
G. REFUSAL TO HONOR SUBPOENA. .............................................................................................. 15-3
H. ANTICIPATORY SUBPOENA. ...................................................................................................... 15-3
II. SERVICE OF SUBPOENA ON OSHA PERSONNEL. .................................. 15-3
A. PROCEEDINGS TO WHICH THE SECRETARY OF LABOR IS A PARTY. ........................................... 15-3
B. PROCEEDINGS TO WHICH THE SECRETARY OF LABOR IS NOT A PARTY. ................................... 15-4
III. OBTAINING WARRANTS. .............................................................................. 15-4
A. WARRANT APPLICATIONS. ....................................................................................................... 15-4

xii
 B. GENERAL INFORMATION NECESSARY TO OBTAIN A WARRANT. .............................................. 15-4
C. SPECIFIC WARRANT INFORMATION BASED ON INSPECTION TYPE. ........................................... 15-5
D. WARRANT PROCEDURES. ......................................................................................................... 15-6
E. SECOND WARRANT. ................................................................................................................. 15-6
F. REFUSED ENTRY OR INTERFERENCE. ........................................................................................ 15-6
G. FEDERAL MARSHAL ASSISTANCE. ............................................................................................ 15-6
IV. EQUAL ACCESS TO JUSTICE ACT (EAJA). .............................................. 15-7
A. PREVAILING PARTY MAY BE AWARDED FEES. ......................................................................... 15-7
B. OSHA’S POSITION MUST BE SUBSTANTIALLY JUSTIFIED......................................................... 15-7
C. EAJA SHOULD NOT AFFECT HOW THE AGENCY OPERATES. ................................................... 15-7
V. NOTICE OF CONTEST. ................................................................................... 15-7
A. TIME LIMIT FOR FILING A NOTICE OF CONTEST. ...................................................................... 15-7
B. CONTEST OF ABATEMENT PERIOD ONLY. ................................................................................ 15-8
C. COMMUNICATION WHERE THE INTENT TO CONTEST IS UNCLEAR. ........................................... 15-8
VI. LATE NOTICE OF CONTEST. ....................................................................... 15-8
A. FAILURE TO NOTIFY OSHA OF INTENT TO CONTEST. .............................................................. 15-8
B. NOTICE RECEIVED AFTER THE CONTEST PERIOD...................................................................... 15-8
C. RETENTION OF DOCUMENTS. .................................................................................................... 15-9
VII. CONTESTED CASE PROCESSING PROCEDURES................................... 15-9
A. TRANSMITTAL OF NOTICE OF CONTEST TO COMMISSION. ........................................................ 15-9
B. TRANSMITTAL OF FILE TO REGIONAL SOLICITOR. .................................................................. 15-10
VIII. COMMUNICATIONS WHILE PROCEEDINGS ARE PENDING BEFORE
THE COMMISSION. ....................................................................................... 15-10
A. CONSULTATION WITH REGIONAL SOLICITOR. ........................................................................ 15-10
B. COMMUNICATIONS WITH COMMISSION REPRESENTATIVES WHILE PROCEEDINGS ARE PENDING
BEFORE THE COMMISSION. ..................................................................................................... 15-10

IX. COMMISSION PROCEDURES. .................................................................... 15-10

A. TWO LEVELS OF ADJUDICATION. ........................................................................................... 15-10
B. RULES OF PROCEDURE. .......................................................................................................... 15-10
X. DISCOVERY METHODS. .............................................................................. 15-11
A. INTERROGATORIES. ................................................................................................................ 15-11
B. PRODUCTION OF DOCUMENTS. ............................................................................................... 15-11
C. DEPOSITIONS. ......................................................................................................................... 15-11
XI. TESTIFYING IN HEARINGS. ....................................................................... 15-12
A. REVIEW DOCUMENTS AND EVIDENCE. ................................................................................... 15-12
B. ATTIRE. .................................................................................................................................. 15-12
C. RESPONSES TO QUESTIONS. .................................................................................................... 15-12
D. JUDGE’S INSTRUCTION(S). ...................................................................................................... 15-12
XII. COMMISSION SIMPLIFIED PROCEEDINGS. ......................................... 15-12
A. PROPOSED PENALTY THRESHOLD. ......................................................................................... 15-12
B. PROMPT DISCLOSURE OF INSPECTION DOCUMENTS. .............................................................. 15-12
XIII. CITATION FINAL ORDER DATES. ............................................................ 15-13
A. CITATION/NOTICE OF PENALTY NOT CONTESTED. ................................................................. 15-13

xiii
 B. CITATION/NOTICE OF PENALTY RESOLVED BY INFORMAL SETTLEMENT AGREEMENT (ISA). ..... 15-13
C. CITATION/NOTICE OF PENALTY RESOLVED BY FORMAL SETTLEMENT AGREEMENT (FSA). .. 15-13
D. CASES RESOLVED BY AN ALJ DECISION. ............................................................................... 15-13
E. ALJ DECISION REVIEWED BY COMMISSION. .......................................................................... 15-13
F. COMMISSION DECISION REVIEW BY THE U.S. COURT OF APPEALS. ....................................... 15-13
XIV. FEDERAL COURT ENFORCEMENT UNDER SECTION 11(B) OF THE
OSH ACT........................................................................................................... 15-13
A. SECTION 11(B) SUMMARY ENFORCEMENT ORDERS. .............................................................. 15-13
B. SELECTION OF CASES FOR SECTION 11(B) ACTION. ................................................................ 15-14
C. DRAFTING OF CITATIONS AND SETTLEMENTS TO FACILITATE SECTION 11(B) ENFORCEMENT. .... 15-14
D. FOLLOW-UP INSPECTIONS....................................................................................................... 15-14
E. CONDUCT OF VERIFICATION INSPECTIONS. ............................................................................ 15-15

CHAPTER 16
DISCLOSURE UNDER THE FREEDOM OF INFORMATION ACT
(FOIA)

I. DISCLOSURE [RESERVED] ........................................................................... 16-1

CHAPTER 17
PREEMPTION BY OTHER AGENCIES

I. INTRODUCTION............................................................................................... 17-1
II. TESTING EXEMPTIONS. ................................................................................ 17-1
III. STATUTORY EXERCISE. ............................................................................... 17-2
IV. OTHER AGENCIES WHICH MAY PREEMPT OSHA. .............................. 17-2
A. DEPARTMENT OF TRANSPORTATION......................................................................................... 17-3
B. DEPARTMENT OF LABOR. ......................................................................................................... 17-3
C. ENVIRONMENTAL PROTECTION AGENCY. ................................................................................ 17-4
D. NUCLEAR REGULATORY COMMISSION. .................................................................................... 17-4
E. DEPARTMENT OF ENERGY. ....................................................................................................... 17-4
F. DEPARTMENT OF HOMELAND SECURITY. ................................................................................. 17-4
G. DEPARTMENT OF JUSTICE. ........................................................................................................ 17-5
H. DEPARTMENT OF INTERIOR. ..................................................................................................... 17-5

xiv
 Chapter 1

INTRODUCTION
I. Purpose.
This FOM is a reference document for field personnel, providing enforcement
policies and procedures in conducting OSHA investigations.

II. Scope.
This Instruction applies OSHA-wide.

III. References.
A. The Equal Access to Justice Act, 5 U.S.C. § 504.
B. Small Business Regulatory Enforcement Fairness Act, 18U.S.C. § 601.
C. Disclosure of Confidential Information, 18 U.S.C. § 1905.
D. Rules Implementing the Equal Access to Justice Act; Costs and Fees, 28 U.S.C.
§ 2412.
E. Occupational Safety and Health Act of 1970, 29 U.S.C. § 651 et seq.
F. Migrant and Seasonal Agricultural Worker Protection Act, 29 U.S.C. § 1802.
G. Debt Collection Improvement Act, 31 U.S.C. § 3717.
H. The Postal Employee Safety Enhancement Act of 1998, 39 U.S.C. § 101.
I. Employees Served with Subpoenas, 29 Code of Federal Regulations 2.21 and
2.22.
J. Federal Claims Collection, 29 C.F.R. Part 20.
K. Applicable Federal Standards: ETA and OSHA Housing Standards, 29 C.F.R.
500.132.
L. Social Responsibilities of the Employment Service System, 29 C.F.R. Part 654.
M. Advance Notice of Inspections, 29 C.F.R. 1903.6.
N. Policy Regarding Employee Rescue Activities, 29 C.F.R. 1903.14.
O. Abatement Verification, 29 C.F.R. 1903.19.
P. Reporting Fatalities and Multiple Hospitalizations to OSHA, 29 C.F.R.
1904.39.
Q. Consultation Agreements, 29 C.F.R. Part 1908.
R. Occupational Safety and Health Standards, 29 C.F.R. Part 1910.
S. Occupational Safety and Health Standards for Shipyard Employment, 29 C.F.R.
Part 1915.
T. Marine Terminals, 29 C.F.R. Part 1917.
U. Safety and Health Regulations for Longshoring, 29 C.F.R. Part 1918.
V. Gear Certification, 29 C.F.R. Part 1919.
W. Safety and Health Regulations for Construction, 29 C.F.R. Part 1926.

1-1
X. Occupational Safety and Health Standards for Agriculture, 29 C.F.R. Part 1928.
Y. Approved State Plans for Enforcement of State Standards, 29 C.F.R. Part 1952.
Z. Basic Program Elements for Federal Employees OSHA, 29 C.F.R. Part 1960.
AA. Coverage – Agricultural Employers, 29 C.F.R. 1975.4(b)(2).
BB. Rules of Procedure, 29 C.F.R. Part 2200.
CC. Worker Protection Standard, 40 C.F.R. Part 170.
DD. Housing for Agricultural Workers: Final Rule, Federal Register, March 4,
1980 (45 FR 14180).
EE. Safety and Health Program Management Guidelines; Issuance of Voluntary
Guidelines, Federal Register, January 16, 1989 (54 FR 3904).
FF. Incorporation of General Industry Safety and Health Standards Applicable to
Construction Work, Federal Register, August 12, 1996 (61 FR 41738).
GG. Delegation of Authorities and Assignment of Responsibilities to the Assistant
Secretary for Employment Standards and Other Officials in the Employment
Standards Administration, Federal Register, January 2, 1997 (62 FR 107).
HH. Final Rule on State Plans Coverage of the U.S. Postal Service (Federal
Register, June 9, 2000 (65 FR 36618).
II. Final Policy Concerning the Occupational Safety and Health Administration’s
Treatment of Voluntary Employer Safety and Health Self-Audits, Federal
Register, July 28, 2000 (65 FR 46498).
JJ. Secretary’s Order 5-2002; Delegation of Authority and Assignment of
Responsibility to the Assistant Secretary for Occupational Safety and Health,
Federal Register, October 22, 2002 (67 FR 65007).
KK. Occupational Injury and Illness Recording and Reporting Requirements –
NAICS Update and Reporting Revisions, September 18, 2014 (79 FR 56129).
LL. OSHA Instruction ADM 01-00-003, Redelegation of Authority and
Responsibility of the Assistant Secretary for Occupational Safety and Health,
March 6, 2003.
MM. OSHA Instruction ADM 03-01-005, OSHA Compliance Records, August 3,
1998.
NN. OSHA Instruction CPL 02-00-025, Scheduling System for Programmed
Inspections, January 4, 1995.
OO. OSHA Instruction CPL 02-00-028, Compliance Assistance the Powered
Industrial Truck Operator Training Standards, November 30, 2000.
PP. OSHA Instruction CPL 02-00-051, Enforcement Exemptions and Limitations
under the Appropriations Act, May 28, 1998.
QQ. OSHA Instruction CPL 02-00-080, Handling of Cases to be Proposed for
Violation-By-Violation Penalties, October 21, 1990.
RR. OSHA Instruction CPL 02-00-152, Guidelines for Administering Corporate-
Wide Settlement Agreements, June 22, 2011.
SS. OSHA Instruction CPL 02-00-094, OSHA Response to Significant Events of
Potentially Catastrophic Consequences, Edited on July 14, 2004.
TT. OSHA Instruction CPL 02-00-098, Guidelines for Case File Documentation
for use with Videotapes and Audiotapes, October 12, 1993.
1-2
UU. OSHA Instruction CPL 02-00-111, Citation Policy for Paperwork and
Written Program Requirement Violations, November 27, 1995.
VV. OSHA Instruction CPL 02-00-158, Inspection Procedures for the Respiratory
Protection Standard, June 26, 2014.
WW. OSHA Instruction CPL 02-00-121, Providing Assistance to Smaller
Employers, March 12, 1998.
XX. OSHA Instruction CPL 02-00-122, Enforcement Guidance for the U.S. Postal
Service, April 16, 1999.
YY. OSHA Instruction CPL 02-00-124, Multi-Employer Citation Policy,
December 10, 1999.
ZZ. OSHA Instruction CPL 02-00-125, Home-Based Worksites, February 25,
2000.
AAA. OSHA Instruction CPL 02-00-135, Recordkeeping Policies and Procedures
Manual (RKM), December 30, 2004.
BBB. OSHA Instruction CPL 03-00-012, OSHA’s National Emphasis Program
(NEP) on Shipbreaking, March 7, 2016.
CCC. OSHA Instruction CPL 02-00-157, Shipyard Employment “Tool Bag”
Directive, April 1, 2014.
DDD. OSHA Instruction CPL 02-00-155, Inspection Scheduling for Construction,
July 14, 2006.
EEE. OSHA Instruction CPL 02-00-154, Longshoring and Marine Terminals “Tool
Shed” Directive, July 31, 2012.
FFF. OSHA Instruction CPL-02-00-153, Communicating OSHA Fatality
Inspection to a Victim’s Family, April 17, 2012.
GGG. OSHA Instruction CPL 02-00-151, 29 CFR Part 1910, Subpart T –
Commercial Diving Operations, June 13, 2011.
HHH. OSHA Instruction CPL 02-00-149, Severe Violator Enforcement Program
(SVEP), June 18, 2010.
III. OSHA Instruction CPL 02-01-055, Maritime Cargo Gear Standards and 29
CFR Part 1919 Certification, September 30, 2013.
JJJ. OSHA Instruction CPL 02-01-051, 29 CFR Part 1915, Subpart B, Confined
and Enclosed Spaces and Other Dangerous Atmospheres in Shipyard
Employment, May 20, 2011.
KKK. OSHA Instruction CPL 02-01-047, OSHA Authority Over Vessels and
Facilities on or Adjacent to U.S. Navigable Waters and the Outer Continental
Shelf (OCS), February 22, 2010.
LLL. OSHA Instruction CPL 02-01-049, 29 CFR Part 1915, Subpart I,
Enforcement Guidance for Personal Protective Equipment (PPE) in Shipyard
Employment, November 4, 2010.
MMM. OSHA Instruction CPL 02-02-035, 29 CFR 1910.95(b)(1), Guidelines for
Noise Enforcement; Appendix A, December 19, 1983.
NNN. OSHA Instruction CPL 02-02-079, Inspection Procedures for the Hazard
Communication Standard (HCS 2012), July 9, 2015.

1-3
OOO. OSHA Instruction CPL 02-02-043, Chemical Sampling Information (CSI)
Web page.
PPP. OSHA Instruction CPL 02-02-054, Respiratory Protection Program
Guidelines, July 14, 2000.
QQQ. OSHA Instruction CPL 02-02-063, Inspection Procedures for Occupational
Exposure to Asbestos Final Rule 29 CFR Parts 1910.1001, 1926.1101,
1915.1001, January 9, 1996.
RRR. OSHA Instruction CPL 02-02-072, Rules of Agency Practice and Procedure
Concerning OSHA Access to Employee Medical Records, August 22, 2007.
SSS. OSHA Instruction CPL 02-02-073, Inspection Procedures for 29 CFR
1910.120 and 1926.65, Paragraph (q): Emergency Response to Hazardous
Substance Releases, August 27, 2007.
TTT. OSHA Instruction CPL 02-02-074, Inspection Procedures for the Chromium
(VI) Standards, January 24, 2008.
UUU. OSHA Instruction CPL 02-02-076, National Emphasis Program – Hexavalent
Chromium, February 23, 2010.
VVV. OSHA Instruction CPL 03-00-010, Petroleum Refinery Process Safety
Management National Emphasis Program, August 18, 2009.
WWW. OSHA Instruction CPL 03-00-007, National Emphasis Program – Crystalline
Silica, January 24, 2008.
XXX. OSHA Instruction CPL 03-00-008, Combustible Dust National Emphasis
Program (Reissued), March 11, 2008.
YYY. OSHA Instruction CPL 03-00-009, National Emphasis Program – Lead,
August 14, 2008.
ZZZ. OSHA Instruction CPL 02-03-007, Whistleblower Investigations Manual,
January 28, 2016.
AAAA. OSHA Instruction CPL 04-00-001, Procedures for Approval of Local
Emphasis Programs (LEPs), November 10, 1999.
BBBB. OSHA Instruction CSP 01-00-002, State Plan Policies and Procedures
Manual, March 21, 2001.
CCCC. OSHA Instruction CSP 02-00-003, Consultation Policies and Procedures
Manual, November 19, 2015.
DDDD. OSHA Instruction CSP 03-01-003, Voluntary Protection Programs (VPP)
Policies and Procedures Manual, April 18, 2008.
EEEE. OSHA Instruction CSP 03-02-003, OSHA Strategic Partnership Program
for Worker Safety and Health, November 6, 2013.
FFFF. OSHA Instruction CSP 04-01-001, OSHA Alliance Program, June 10,
2004.
GGGG. OSHA Instruction HSO 01-00-001, National Emergency Management Plan
(NEMP), dated December 18, 2003.
HHHH. OSHA Instruction IRT 01-00-007, The IMIS Enforcement Data Processing
Manual for Use with the NCR Computer System, dated September 20,
1993.

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IIII. OSHA Instruction CPL 02-01-049, 29 CFR Part 1915, Subpart I, Personal
Protective Equipment (PPE) for Shipyard Employment – Inspection
Procedures and Interpretive Guidelines, November 4, 2010.
JJJJ. OSHA Instruction TED 01-00-015, OSHA Technical Manual (OTM),
February 11, 2014.
KKKK. OSHA Notice CSP 02-16-05, FY2017 On-site Consultation Cooperative
Agreement Instructions, May 25, 2016.
LLLL. Memorandum of Agreement on Interagency Coordination for Ship
Scrapping (i.e., shipbreaking) between DOD/DOT/EPA/DOL-OSHA,
November 16, 1999.
MMMM. Memoranda on Construction Fatality Case Study, Reasons and
Methodology, for Regional Administrators from H. Berrien Zettler, Deputy
Director, D.O.C. (via email), regarding transmittal of information on
construction fatalities to the University of Tennessee, dated September 12
and 13, 2000.
NNNN. Memorandum on Construction Fatality Investigation Case Files, for
Regional Administrators from R. Davis Layne, Deputy Assistant Secretary,
regarding transmittal of information on construction fatalities to the
University of Tennessee, dated May 14, 2003 and February 18, 2004.
OOOO. Memorandum on Change to the Interim Procedure for Fatality
Investigations (IMMLANG), for Regional Administrators from R. Davis
Layne, Deputy Assistant Secretary, dated December 16, 2003.
PPPP. Memorandum on Procedures for Significant Enforcement Cases, for
Regional Administrators from R. Davis Layne, Deputy Assistant Secretary,
dated March 24, 2004.
QQQQ. Memorandum on Novel Cases: Cancellation of December 20, 2012
Memorandum entitled “Clarification of September 27, 2012 Memo on
Significant Case Procedures,” dated September 4, 2013.
RRRR. Presidential Executive Order 12196, Occupational safety and health
programs for Federal employees.
SSSS. Settlement Agreement dated July 14, 2000 concerning Powered Industrial
Truck Operator Training Standard between the National Maritime Safety
Association (NMSA) and the Occupational Safety and Health
Administration, U.S. Department of Labor.
TTTT. Frank Diehl Farms v. Secretary of Labor, 696 F.2d 1325 (11th Cir. 1983).
UUUU. Int. Union UAW v. General Dynamics Land Systems Division, 815 F.2d
1570 (D.D. Cir. 1987).
VVVV. Marion Stevens dba Chapman & Stephens Company, 5 BNA OSHC 1395
(No.13535, 1977).
WWWW. Darragh Company, 9 BNA OSHC 1205, (Nos. 77-2555, 77-3074, and
77-3075, 1980).
XXXX. J. C. Watson Company, 22 BNA OSHC 1235 (Nos. 05-0175 and 05-
0176, 2008). (Aff’d D.C. Cir. No. 08-1230, April 17, 2009.) (unpubl.)
YYYY. Chao v. Mallard Bay Drilling, Inc., 212 F.3d 898, (534 U.S. 235, 2002).

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IV. Cancellations.
This Instruction supersedes OSHA Instruction CPL 02-00-159, Field Operations
Manual (FOM), issued October 1, 2015.

V. Action Information.
A. Responsible Office. Directorate of Enforcement Programs (DEP).
B. Action Offices. National, Regional, and Area Offices.
C. Information Offices. State Plan States, OSHA Training Institute, Consultation
Project Managers, VPP Managers and Coordinators, OSHA Strategic Partnership
Coordinators, Compliance Assistance Coordinators, Compliance Assistance
Specialists, and Regional EEP Coordinators.

VI. Federal Program Change – Notice of Intent and Equivalency Required.

This instruction describes a Federal Program Change which consolidates and updates
OSHA’s field enforcement policies and procedures. States must have, as a part of
their State Plan, formal written policies and procedures on all aspects of their
compliance program, including inspections, targeting, citations, penalties, and post
citation processes, which are at least as effective as the procedures in this revised
Field Operations Manual (FOM). State Plans have the option of adopting identical or
different, but at least as effective, enforcement policies as those contained in this
FOM, and in doing so, State Plans must address each chapter and/or policy area in
this manual. Significant changes to this manual are listed in section VII of this
chapter.
An identical State Plan change is one in which the State Plan adopts the same
program provisions as the federal program with the only differences being those
modifications necessary to reflect a State Plan’s unique structure. With respect to this
FOM, State Plans can adopt identically without adopting the internal OSHA
administrative procedures set out in this manual, such as those relating to
organizational structure and such matters as penalty collection. However, State Plans
must provide for their own comparable internal administrative procedures and
processes.
Within 60 days of the date of issuance of this directive, State Plans must submit a
notice of intent indicating if the State Plan will adopt or already has in place
enforcement policies and procedures that are identical to or different from the federal
program. State adoption, either identically or different, should be accomplished
within 6 months. If adopting identically, the State Plan must provide the date of
adoption to OSHA, due within 60 days of adoption. If the State Plan adopts or
maintains enforcement policies that differ from the FOM, the State Plan must either
post its different policies on its State Plan website and provide a link to OSHA, or
provide OSHA with an electronic copy and the name and contact information of
someone within the State Plan who can assist the public with obtaining a copy. This
action must occur within 60 days of the date of adoption. OSHA will post summary
information of the State Plan responses to this Instruction on its website.

VII. Significant Changes.

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 A. Changes made by the 2016 Update.
1. Updated Table of Contents section.
2. Updated References section.
3. Updated General Penalty Policy in Chapter 6, Section I.
4. Updated Civil Penalties to include the “Inflation Adjustment Act” in Chapter
6, Section II.A.1-5.
5. Updated Minimum Penalties in Chapter 6, Section II.C.1&2.
6. Updated Maximum Amounts for Civil Penalties in Chapter 6, Table 6-1.
7. Updated Serious Violation & GBP in Chapter 6, Section III.A.4.a&c.
8. Updated GBP for Serious Violations in Chapter 6, Table 6-2.
9. Updated Other-Than-Serious Violations & GBP in Chapter 6, Section
III.A.5.b.
10. Updated GBP for Other-Than-Serious Violations in Chapter 6, Table 6-3.
11. Updated Maximum Penalty Adjustment Factor for Size in Chapter 6, Section
III.B.1.a.
12. Updated Good Faith Reduction policy in Chapter 6, Section III.B.3.a&b.
13. Updated Size Reduction for small employers in Chapter 6, Section III.B.4.a.
14. Updated Percent Reduction for Size Reduction in Chapter 6, Table 6-4.
15. Updated Penalty Adjustment Application in Chapter 6, Section III.B.5.
16. Updated Sample of Moderate Gravity Penalty Comparison Summed versus
Serial Calculation in Chapter 6, Table 6-5.
17. Updated Comments for Quick-Fix Penalty Reduction Factor in Chapter 6,
Table 6-6.
18. Updated Repeated Violations in Chapter 6, Section V.A.3.Note.
19. Updated Other-than-Serious, No Initial Penalty in Chapter 6, Section V.C.
20. Updated Willful Violations in Chapter 6, Section VI., Section VI.A.3., and
Section VI.B.
21. Updated Percent Reduction for Serious Willful Penalty Reductions in Chapter
6, Table 6-7.
22. Updated Gravity for Penalties to be Proposed for Serious Willful Violations
in Chapter 6, Table 6-8.
23. Updated Willful Regulatory Violation in Chapter 6, Section VI.C.2.
24. Updated Significant Enforcement Actions in Chapter 6, Section IX.A,B,C&D.
25. Updated 1903 and 1904 Regulatory Requirements in Chapter 6, Section X.
26. Updated Failure to Post a Citation in Chapter 6, Section X.A.2.a&b.
27. Updated Proposed Penalties to Medical and Exposure Records in Chapter 6,
Section XI.A.

VIII. Background.
The Field Inspection Reference Manual (FIRM) was issued September 26, 1994 and
later replaced with the Field Operations Manual (FOM), dated November 9, 2009.

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 The FOM was later revised in April 22, 2011 and October 1, 2015 to include
additional directives, memorandums, and interpretations.
Since that time, this instruction cancels and replaces OSHA Instruction CPL 02-
00-159, Field Operations Manual, October 1, 2015 and includes revisions to Chapters
1 and 6. The FOM is designed to be updated on a regular basis by amending chapters
or sections thereof to embody modifications and clarifications to OSHA’s general
enforcement policies and procedures.

IX. Definitions and Terminology.

A. The Act: This term refers to the Occupational Safety and Health Act of 1970 (29
U.S.C. § 651 et seq.).
B. Compliance Safety and Health Officer (CSHO): This term refers to Safety
Engineers, Safety Compliance Officers, and Industrial Hygienists.
C. He/She and His/Hers: The terms he and she, as well as his or her, when used
throughout this manual, are interchangeable. That is, male(s) applies to
female(s), and vice versa.
D. Professional Judgment: All OSHA employees are expected to exercise their best
judgment as safety and health professionals and as representatives of the United
States Department of Labor in every aspect of carrying out their duties.
E. Workplace and Worksite: The terms workplace and worksite are interchangeable.
Workplace is used more frequently in general industry, while worksite is more
commonly used in the construction industry.

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 Chapter 2

PROGRAM PLANNING
I. Introduction.
OSHA’s mission is to assure the safety and health of America’s working men and women by
promulgating and enforcing standards and regulations; providing training, outreach, and
education; establishing partnerships; and encouraging continual improvement in workplace
safety and health as well as the development of comprehensive safety and health
management systems. Effective and efficient use of resources requires careful, flexible
planning. In this way, the overall goal of hazard abatement and employee protection is best
served.

II. Area Office Responsibilities.

A. Providing Assistance to Small Employers.
1. In 1996, the Congress passed the Small Business Regulatory Enforcement Fairness
Act (SBREFA) to respond to the concern expressed by the small business community
that Federal regulations were too numerous and complex, and that small business
needed special assistance in understanding and complying with those regulations.
2. SBREFA requires all federal agencies regulating small businesses to have in place
programs to provide guidance and compliance assistance. These programs must
contain procedures to answer inquiries by small entities (small businesses). These
programs also provide information on and advice about compliance with the statutes
and regulations; interpretations; and applications of the law to specific sets of facts
supplied by the small entity.
NOTE: See CPL 02-00-121, Providing Assistance to Smaller Employers, March
12, 1998.
B. Area Office Outreach Program.
The Area Director or designee will ensure that the Area Office maintains an outreach
program appropriate to local conditions and the needs of the service area. The plan may
include Regional and National Office support services, compliance assistance services
including assistance in developing compliance safety and health management systems,
training and education services, referral services, cooperative programs, abatement
assistance, and technical services.
C. Responding to Requests for Assistance.
All requests from employers or employees for compliance information or assistance shall
receive timely, accurate, and helpful responses from OSHA. See the section on
Information Requests in this chapter for additional information.

III. OSHA Cooperative Programs Overview.

OSHA offers a number of avenues for businesses and organizations to work cooperatively
with the Agency. Compliance Officers should discuss the various cooperative programs with
employers.
A. Voluntary Protection Programs (VPP).

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 The Voluntary Protection Programs (VPP) are designed to recognize and promote
effective safety and health management. A hallmark of VPP is the principle that
management, labor, and OSHA can work together in pursuit of a safe and healthy
workplace. VPP participants are employers who have successfully designed and
implemented a health and safety management system at their worksites, and are exempt
from programmed inspections.
NOTE: See CSP 03-01-003, Voluntary Protection Programs (VPP): Policies and
Procedures Manual, April 18, 2008, for additional information.
B. On-site Consultation Program.
OSHA On-site Consultation Programs are available in all 50 states as well as the District
of Columbia, Guam, Northern Marianas Islands, Puerto Rico and the Virgin Islands
under Section 21(d) and 23(g) agreements with Federal OSHA or under State Plans
approved by OSHA.
1. The state On-site Consultation Program offers a variety of services at no cost to
employers. These services include assisting in the development and implementation
of an effective safety and health management system, and offering training and
education to the employer and employees at the worksite. Small businesses in high-
hazard industries or those involved in hazardous operations receive priority.
2. The State On-site Consultation Program is separate from OSHA’s enforcement
efforts. Under On-Site Consultation Programs, no citations are issued, nor are
penalties proposed.
C. Safety and Health Achievement Recognition Program (SHARP).
Another program that recognizes employers’ efforts to create a safe workplace and
exempts them from programmed inspections is the Safety and Health Achievement
Recognition Program (SHARP). This program is administered by the State On-site
Consultation Program but is funded under Section 21(d) of the Act.
SHARP is designed to provide incentives and support to those employers that
implement and continuously improve effective safety and health management system(s)
at their worksite. SHARP participants are exempted from OSHA programmed
inspections.
NOTE: See CSP 02-00-002, Consultation Policies and Procedures Manual, January
18, 2008, for additional information.
D. Strategic Partnerships.
Organizations can enter into Strategic Partnerships with OSHA to address specific safety
and health issues. In these partnerships, OSHA enters into extended, voluntary,
cooperative relationships with groups of employers, employees, and employee
representatives (sometimes including other stakeholders, and sometimes involving only
one employer) in order to encourage, assist, and recognize efforts to eliminate serious
hazards and to achieve a high level of worker safety and health.
NOTE: See CSP 03-02-003, OSHA Strategic Partnership Program for Worker Safety
and Health, November 6, 2013, for additional information.
E. Alliance Program.
Through the Alliance Program, OSHA works with groups committed to worker safety
and health to prevent workplace fatalities, injuries, and illnesses. These groups include
unions, consulates, trade or professional organizations, businesses, faith- and community-

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 based organizations, and educational institutions. OSHA and the groups work together to
develop compliance assistance tools and resources, share information with workers and
employers, and educate workers and employers about their rights and responsibilities.
Alliance Program participants do not receive exemptions from OSHA inspections or any
other enforcement benefits.
NOTE: See CSP 04-01-001, OSHA Alliance Program, June 10, 2004, for additional
information.
NOTE: See Section VI.H., of this chapter, Enforcement Scheduling and Interface with
Cooperative Program Participants, for additional information.

IV. Enforcement Program Scheduling.

A. General.
1. OSHA’s priority system for conducting inspections is designed to allocate available
OSHA resources as effectively as possible to ensure that maximum feasible
protection is provided to working men and women. The Area Director or designee
will ensure that inspections are scheduled within the framework of this chapter, that
they are consistent with the objectives of the Agency, and that appropriate
documentation of scheduling practices is maintained.
2. The Area Director or designee will also ensure that OSHA resources are effectively
distributed during inspection activities. If an inspection is of a complex nature, the
Area Director or designee may consider utilizing additional OSHA resources (e.g.,
the Health Response Team). In other circumstances, the use of outside resources may
aid the Area or District Office to deploy available resources more effectively. The
Area Office will retain control of the inspection.
B. Inspection Priority Criteria.
Generally, priority of accomplishment and of assigning staff resources for inspection
categories is as shown in Table 2-1 below:
Table 2-1: Inspection Priorities
Priority Category
First Imminent Danger
Second Fatality/Catastrophe (NOTE)
Third Complaints/Referrals
Fourth Programmed Inspections
NOTE: OSHA Area Offices will determine the inspection priority of a catastrophe
using the Memorandum entitled, “Interim Enforcement Procedures for New Reporting
Requirements under 29 C.F.R. 1904.39”, dated December 24, 2014, or unless superseded
by future agency-approved correspondence.
1. Efficient Use of Resources.
Deviations from this priority list are allowed so long as they are justifiable, lead to
the efficient use of resources, and promote effective worker protection. An example
of such a deviation would be when the Agency, Regional Administrator or an Area
Director commits a certain percentage of resources to programmed Special Emphasis
Program (SEP) inspections such as a National Emphasis Program (NEP), a Regional

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 Emphasis Program (REP), or Local Emphasis Program (LEP). Inspection scheduling
deviations must be documented in the case file.
2. Follow-up Inspections.
In cases where follow-up inspections are necessary, they shall be conducted as
promptly as resources permit. In general, follow-up inspections shall take priority
over all programmed inspections and any unprogrammed inspection in which the
hazards are anticipated to be other-than-serious.
NOTE: See Chapter 7, Post-Citation Procedures and Abatement Verification, for
additional information.
3. Monitoring Inspections.
When a monitoring inspection is necessary, the priority is the same as for a follow-up
inspection.
NOTE: See Chapter 7, Post-Citation Procedures and Abatement Verification, for
additional information.
4. Employer Information Requests.
Contacts for technical information initiated by employers or their representatives will
not trigger an inspection, nor will such employer inquiries protect the requesting
employer against inspections conducted pursuant to existing policy, scheduling
guidelines and inspection programs established by the Agency.
5. Reporting of Imminent Danger, Catastrophe, Fatality, Amputations, Accidents,
Referrals or Complaints.
The Area Director or designee will act in accordance with established inspection
priority procedures.
NOTE: See Section V., of this chapter, Unprogrammed Activity – Hazard
Evaluation and Inspection Scheduling, for additional information.
C. Effect of Contest.
If an employer has contested a citation and/or a penalty from a previous inspection at a
specific worksite, and the case is still pending before the Review Commission, the
following guidelines apply to additional inspections of the employer at that worksite:
1. If the employer has contested the penalty only, the inspection will be scheduled as if
there were no contest.
2. If the employer has contested the citation itself or any items therein, then
programmed and unprogrammed inspections will be scheduled, but all violative
conditions under contest will be excluded from the inspection unless a potential
imminent danger is involved.
NOTE: See Section IV.B., Inspection Priority Criteria, of this chapter for
additional information.
D. Enforcement Exemptions and Limitations.
1. In providing funding for OSHA, Congress has consistently placed restrictions on
enforcement activities for two categories of employers: small farming operations and
small employers in low-hazard industries. Congress may place exemptions and
limitations on OSHA activities through the annual Appropriations Act.
2. Before initiating an inspection of an employer in these categories, the Area Office
will evaluate whether the Appropriations Act for the fiscal year would prohibit the

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 inspection. Where this determination cannot be made beforehand, the CSHO will
determine the status of the small farming operation or a small employer in a low-
hazard industry upon arrival at the workplace. If the prohibition applies, the
inspection shall immediately be discontinued.
NOTE: See CPL 02-00-051, Enforcement Exemptions and Limitations under the
Appropriations Act, May 28, 1998, for additional information.
E. Preemption by Another Federal Agency.
1. Section 4(b)(1) of the Act states that the Act does not apply to working conditions
over which other federal agencies exercise statutory responsibility “to prescribe or
enforce standards or regulations affecting occupational safety or health.” The
determination of preemption by another federal agency is, in many cases, a highly
complex matter.
2. If a question arises, usually upon receipt of a complaint, referral, or other inquiry,
consult the list of Memorandums of Understanding (MOU) on the OSHA website to
determine if the issue has been previously addressed. A MOU is an agreement
created to address/resolve coverage issues and to improve the working relationships
between other federal agencies and organizations regarding employee safety and
health.
3. At times, an inspection may have already begun when the coverage jurisdiction
question arises. Any such situations will be brought to the attention of the Area
Director, Regional Solicitor, or designee as soon as they arise, and dealt with on a
case-by-case basis.
4. Two examples of MOUs include the following:
a. Mine Safety and Health Administration - Interagency Agreement between the
Mine Safety and Health Administration and OSHA, dated March 29, 1979.
b. United States Coast Guard/U.S. Department of Transportation - Authority of
Coast Guard and OSHA regarding enforcement of safety and health standards
aboard vessels inspected and certified by the Coast Guard, dated March 4, 1983.
F. United States Postal Service.
1. The Postal Employee Safety Enhancement Act of 1998 applies the Act to the U.S.
Postal Service in the same manner as the Act applies to a private sector employer.
2. All State Plan States elected not to cover the U.S. Postal Service. Thus, Federal
OSHA retains authority to cover the U.S. Postal Service nationwide. Federal
coverage in State Plan States encompasses U.S. Postal Service employees and
contract employees engaged in U.S. Postal Service mail operations. Coverage
includes contractor-operated facilities engaged in mail operations and postal stations
in public or commercial facilities. State Plan States continue to exercise jurisdiction
over all other private sector contractors working on U.S. Postal Service sites who are
not engaged in U.S. Postal Service mail operations, such as building maintenance and
construction employees. (See the Final Rule on State Plans Coverage of the U.S.
Postal Service (65 FR 36618, June 9, 2000)).
3. Violations documented during inspections initiated at a U.S. Postal Service site will
be cited with penalties in accordance with the FOM and other applicable OSHA
policies for the private sector.
NOTE: See CPL 02-00-122, Enforcement Guidance for the U.S. Postal Service,
dated April 16, 1999, for additional information.
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G. Home-Based Worksites.
1. The agency will not perform any inspections of employees’ home offices. A home
office is defined as office work activities in a home-based setting/worksite (e.g.,
filing, keyboarding, computer research, reading, writing) and may include the use of
office equipment (e.g., telephone, facsimile machine, computer, scanner, copy
machine, desk, file cabinet).
2. OSHA will only conduct inspections of other home-based worksites, such as home
manufacturing operations, when it receives a complaint or referral alleging that a
violation of a safety or health standard exists that threatens physical harm, that an
imminent danger is present, or that there was a work-related fatality.
NOTE: See CPL 02-00-125, Home-Based Worksites, February 25, 2000, for
additional information.
H. Inspection/Investigation Types.
1. Unprogrammed.
Inspections scheduled in response to alleged hazardous working conditions identified
at a specific worksite are classified as unprogrammed. This type of inspection
responds to:
a. Imminent Dangers;
b. Fatalities/catastrophes;
c. Complaints; and
d. Referrals.
e. It also includes follow-up and monitoring inspections scheduled by the Area
Office.
NOTE: This category includes all employers/employees directly affected by the
subject of the unprogrammed inspection activity, and is especially applicable on
multi-employer worksites.
NOTE: Not all complaints and referrals qualify for an inspection. See Chapter 9,
Complaint and Referral Processing, for additional information.
NOTE: See CPL 02-00-124, Multi-Employer Worksite Citation Policy, December
10, 1999, for additional information.
2. Unprogrammed Related.
Inspections of employers at multi-employer worksites whose operations are not
directly addressed by the subject of the conditions identified in a complaint, accident,
or referral are designated as 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.
Worksite safety and health inspections that have been scheduled based upon objective
or neutral selection criteria are programmed inspections. The worksites are selected
according to national scheduling plans or under local, regional, and national special
emphasis programs.
4. Program Related.

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 Inspections of employers at multi-employer worksites whose activities were not
included in the programmed assignment, such as a low injury rate employer at a
worksite where programmed inspections are being conducted for all high rate
employers.

V. Unprogrammed Activity – Hazard Evaluation and Inspection Scheduling.

Enforcement procedures relating to unprogrammed activity are located in subject specific
chapters of this manual:
 Imminent Danger, see Chapter 11, Imminent Danger, Fatality, Catastrophe, and
Emergency Response.
 Fatality/Catastrophe, see Chapter 11, Imminent Danger, Fatality, Catastrophe, and
Emergency Response.
 Emergency Response, see Chapter 11, Imminent Danger, Fatality, Catastrophe, and
Emergency Response.
 Complaint/Referral Processing, see Chapter 9, Complaint and Referral Processing.
 Whistleblower Complaints, see Chapter 9, Complaint and Referral Processing.
 Follow-ups and Monitoring, see Chapter 7, Post-Citation Procedures and Abatement
Verification.

VI. Programmed Inspections.

A. Scheduling for Construction Inspections.
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
employer, inspections are scheduled from a list of construction worksites rather than
construction employers. The OSHA National Office will provide to each Area/District
Office a randomly selected list of construction projects from identified or known covered
active projects. This list will contain the projected number of sites that the field office
has reported it plans to inspect during the next month. Projects are selected in accordance
with the inspection schedule for construction.
NOTE: See CPL 02-00-141, Inspection Scheduling for Construction, July 14, 2006.
B. Scheduling for Maritime Inspections.
Maritime inspection activities are covered in greater detail in Chapter 10, Section III.,
Maritime.
1. Marine Cargo Handling Industry.
The marine cargo handling industry is made up of longshoring activities (i.e., cargo
handing aboard vessels, 29 C.F.R. Part 1918) and activities within marine terminals
(i.e., cargo handling ashore; 29 C.F.R. 1917). Because these activities are different,
several scheduling methods are necessary. Consequently, marine cargo handling
industry inspections can be scheduled as National Emphasis Programs (NEPs),
Regional Emphasis Programs (REPs), Local Emphasis Programs (LEPs), or from
lists developed in accordance with CPL 02-00-025, Scheduling System for
Programmed Inspections, January 4, 1995.
NOTE: See CPL 02-00-154, Longshoring and Marine Terminals “Tool Shed”
Directive, July 31, 2012, for more information.

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 2. Shipbreaking.
CPL-03-00-012, OSHA’s National Emphasis Program (NEP) on Shipbreaking,
November 4, 2010, describes policies and procedures to reduce or eliminate
workplace hazards associated with shipbreaking operations.
Also, OSHA has entered into a Memorandum of Agreement on Interagency
Coordination for Ship Scrapping (i.e., shipbreaking) between DOD/DOT/EPA/DOL-
OSHA, November 16, 1999.
3. Shipyard Employment.
The shipyard employment industry is made up of several industrial activities and
because these activities are different, several scheduling methods are necessary.
Consequently, shipyard employment inspections can be scheduled under NEPs,
REPs, LEPs, or from lists developed in accordance with CPL 02-00-025, Scheduling
System for Programmed Inspections, January 4, 1995 and CPL 02-01-049,
Enforcement Guidance for Personal Protective Equipment (PPE) in Shipyard
Employment, November 4, 2010.
NOTE: See CPL 02-00-157, Shipyard Employment “Tool Bag” Directive, April 1,
2014, for more information.
C. Special Emphasis Programs (SEPs).
Special Emphasis Programs provide for programmed inspections of establishments in
industries with potentially high injury or illness rates that are not covered by other
programmed inspection scheduling systems or, if covered, where the potentially high
injury or illness rates are not addressed to the extent considered adequate under the
specific circumstances. SEPs are also based on potential exposure to health hazards.
Special emphasis programs may also be used to develop and implement alternative
scheduling procedures or other departures from national procedures. Special emphasis
programs can include National Emphasis Programs, Regional Emphasis Programs and
Local Emphasis Programs.
1. Identification of Special Emphasis Programs.
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; and
f. Other identifying characteristic.
2. Special Emphasis Program Scope.
The reasons for and the scope of a Special Emphasis Program shall be described; and
may be limited by geographic boundaries, size of worksite, or similar considerations.
3. Pilot Programs.
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.

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D. National Emphasis Programs (NEPs).
OSHA develops National Emphasis Programs to focus outreach efforts and inspections
on specific hazards in a workplace.
E. Local Emphasis Programs (LEPs) and Regional Emphasis Programs (REPs).
LEPs and REPs are types of special emphasis program in which one or more Area
Offices of a Region participate. LEPs and REPs are generally based on knowledge of
local industry hazards or local industry injury/illness experience. LEPs and REPs must
be developed and approved when one or more Area Offices within a Region target
inspections to a specific industry(s), hazard(s), or other workplace characteristic(s), e.g.,
as part of, or in conjunction with, a local initiative or problem-solving project. A list of
LEPs may be found on the OSHA website under the Directorate of Enforcement
Programs.
NOTE: See CPL 04-00-001, Procedures for Approval of Local Emphasis Programs
(LEPs), dated November 10, 1999, for additional information. Also, see Memorandum
on Procedures for Local and Regional Emphasis Programs, dated December 3, 2014.
OSHA directives include topic specific scheduling procedures in addition to the general
information provided in this section.
F. Other Special Programs.
The Agency may develop programs to cover special categories of inspections that are not
covered under a Special Emphasis Program.
G. Inspection Scheduling and Interface with Cooperative Program Participants.
Employers who participate in voluntary compliance programs may be exempt from
programmed inspections and eligible for inspection deferrals or other enforcement
incentives. The Area Director or designee will determine whether the employer is
actively participating in a Cooperative Program that would impact inspection and
enforcement activity at the worksite being considered for inspection. Where possible,
this determination should be made prior to scheduling the inspection.
Information regarding a facility’s participation in the following programs should be
available prior to scheduling inspection activity:
 VPP Program;
 Pre-SHARP and SHARP Participants;
 Consultation 90-Day Deferrals.
1. Voluntary Protection Program.
a. Regional VPP Manager Responsibilities.
The Regional VPP managers must keep Area Directors or their designees
informed about VPP applicants and the status of participants in the VPP. This
will prevent unnecessary scheduling of programmed inspections at VPP sites and
ensure efficient use of resources. Area Directors or their designee should be
informed:
 That the site can be removed from the programmed inspection list. Such
removal may occur no more than 75 days prior to the on-site evaluation;
 Of the site’s approval for the VPP program;
 Of the site’s withdrawal or termination from the VPP program; and

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  If the Regional VPP Manager is the first person notified by the site of an
event requiring enforcement, the VPP Manager must instruct the site to
contact the appropriate Area Office.
b. Programmed Inspections and VPP Participation.
 Inspection Deferral. Approved sites must be removed from any programmed
inspection lists for the duration of participation, unless a site chooses
otherwise. The applicant worksite will be deferred starting no more than 75
calendar days prior to the commencement of its scheduled pre-approval on-
site review.
 Inspection Exemption. The exemption from programmed inspections for
approved VPP sites will continue for as long as they continue to meet VPP
requirements. Sites that have withdrawn or have been terminated from VPP
will be returned to the programmed inspection list, if applicable, at the time of
the next inspection cycle.
c. Unprogrammed Enforcement Activities at VPP Sites.
When an Area Office receives a complaint, or a referral other than from the
OSHA VPP on-site team, or is notified of a fatality, catastrophe, or other event
requiring an enforcement inspection at a VPP site, the Area Director or designee
must initiate the inspection following normal OSHA enforcement procedures.
 The Area Office must immediately notify the Regional VPP Manager of
any fatalities, catastrophes or other incidents occurring at a VPP worksite
that require an enforcement inspection; as well as of a referral or
complaint that concerns a VPP worksite, including complaint inquiries
that would receive a letter response. If the VPP is a national VPP, the
National Office should be notified.
 If the Regional VPP Manager is the first person notified by the site of an
event requiring an enforcement inspection, the VPP Manager must
instruct the site to contact the appropriate Area Office (and the National
Office if the fatality is on a National VPP site).
 The inspection will be limited to the specific issue of the unprogrammed
activity. If citations are issued as a result of the inspection, a copy of the
citation will be sent to the Regional VPP Manager. When an Area Office
receives a referral from the VPP on-site team, the Area Director must
notify the participant and the ASEC. Enforcement action may be initiated
only after the ASEC approves such action. See CSP 03-01-003,
Voluntary Protection Programs (VPP): Policies and Procedures
Manual, April 18, 2008.
 The Area Director will send the VPP Manager a copy of any report
resulting from an enforcement case.
2. Consultation.
a. Consultation Visit in Progress.
 If an on-site consultation visit is in progress, it will take priority over OSHA
programmed inspections as outlined below. An on-site consultation visit will
be considered “in progress” in relation to the working conditions, hazards, or
situations covered by the visit from the beginning of the opening conference
through the end of the correction due dates and any extensions thereof. If an

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 on-site consultation visit is already in progress, it will terminate when one of
the following OSHA compliance inspections is about to take place:
o Imminent danger inspection;
o Fatality/catastrophe inspection;
o Complaint inspections; and/or
o Other critical inspections, as determined by the Assistant Secretary.
 “Other critical inspections” may include, but are not limited to, referrals as
defined in Chapter 9, Complaint and Referral Processing. Following an
evaluation of the hazards alleged in a referral, if the Assistant Secretary
determines that enforcement action is required prior to the end of an
abatement period established by the state consultation project, the
consultation visit in progress shall be immediately terminated to allow for an
enforcement inspection.
 For purposes of efficiency and expediency, an employer’s worksite shall not
be subject to concurrent consultation and enforcement-related visits. The
following excerpts from CSP 02-00-002, Consultation Policies and
Procedures Manual, Chapter 7: Relationship to Enforcement, January 18,
2008, clarify the interface between enforcement and consultation activity at
the worksite:
o Full Service On-site Consultation Visits. While a worksite is
undergoing a full service on-site consultation visit for safety and
health, programmed enforcement activity may not occur until after the
end of the worksite’s visit “In Progress” status.
o Full Service Safety or Health On-site Consultation Visits. When an
on-site consultation visit “in progress” is discipline-related, whether
for safety or health, programmed enforcement activity may not
proceed until after the end of the worksite’s visit “In Progress” status
and is limited to the discipline examined, safety or health.
o Limited Service On-site Consultation Visits. If a worksite is
undergoing a limited service on-site consultation visit, whether
focused on a particular type of work process or a hazard, programmed
enforcement activity may not proceed while the consultant is at the
worksite. The re-scheduled enforcement activity must be limited to
those areas that were not addressed by the scope of the consultative
visit (posted List of Hazards).
b. Enforcement Follow-Up and Monitoring Inspections.
If an enforcement follow-up or monitoring inspection is scheduled while a
worksite is undergoing an on-site consultation visit, the inspection shall not be
deferred; however, its scope shall be limited to those areas required to be covered
by the follow-up or monitoring inspection. In such instances, the consultant must
halt the on-site visit until the enforcement inspection is completed. In the event
OSHA issues a citation(s) as a result of the follow-up or monitoring inspection,
an on-site consultation visit may not proceed until the citation(s) becomes a final
order(s).
c. Enforcement Programmed Inspections.
On-site Consultation and 90-Day Deferral.
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  If an establishment has requested an initial full-service comprehensive
consultation visit for safety and health from the State OSHA On-site
Consultation Program, and that visit has been scheduled by the State
Program, a programmed inspection may be deferred for 90 calendar days
from the date of the notification by the State Program to the Regional
Office. No extension of the deferral beyond the 90 calendar days is
possible, unless the consultation visit is “in progress.”
 OSHA may, however, in exercising its authority to schedule inspections,
assign a lower priority to worksites where consultation visits are
scheduled.
NOTE: See CSP 02-00-002, Consultation Policies and Procedures
Manual, January 18, 2008, of Chapter 7, Relationship to Enforcement, for
additional information.
3. Pre-Safety and Health Achievement Recognition Program (Pre-SHARP) Status.
a. Those employers who do not meet the SHARP requirements, but who exhibit a
reasonable promise of achieving agreed-upon milestones and time frames for
SHARP participation, may be granted Pre-SHARP status. Pre-SHARP
participants receive a full- service, comprehensive consultation visit that involves
a complete safety and health hazard identification survey, including a
comprehensive assessment of the worksite’s safety and health management
system.
b. The deferral time frame recommended by the State Consultation Project Manager
must not exceed a total of 18 months from the expiration of the latest hazard
correction due date(s), including extensions. Upon achieving Pre-SHARP status,
employers may be granted a deferral from OSHA programmed inspections. The
following types of incidents can trigger an OSHA enforcement inspection at Pre-
SHARP sites:
 Imminent danger;
 Fatality/catastrophe; and
 Formal complaints.
4. Safety and Health Achievement Recognition Program (SHARP).
SHARP is designed to provide support and incentives to those employers that
implement and continuously improve effective safety and health management
system(s) at their worksite. SHARP participants are exempted from OSHA
programmed inspections, see §1908.7(b)(4).
a. Duration of SHARP Status.
All initial approvals of SHARP status will be for a period of up to two years,
commencing with the date the Regional Office approves an employer’s SHARP
application. After the initial approval, all SHARP renewals will be for a period
of up to three years.
b. OSHA Inspection(s) at SHARP Worksites.
As noted above, employers that meet all the requirements for SHARP status will
have the names of their establishments deleted from OSHA’s Programmed
Inspection Schedule. However, pursuant to §1908.7(b)(4)(ii), the following types

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 of incidents can trigger an OSHA enforcement inspection at SHARP sites:
imminent danger; fatality/catastrophe; or formal complaints.
NOTE: See CSP 02-00-002, Consultation Policies and Procedures Manual,
Chapter 8: OSHA’s Safety and Health Achievement Recognition Program
(SHARP) and Pre-SHARP, January 18, 2008, for additional information.
5. OSHA Strategic Partnership Program (OSPP).
a. Deferral from Programmed Inspection List for Non-Construction OSPs.
 New or renewed OSHA Strategic Partnerships (OSPs) will no longer include
any programmed inspection deferral or deletion provisions. Only active VPP
or SHARP worksites are eligible for this incentive. (See See CSP 03-02-003,
OSHA Strategic Partnership Program for Worker Safety and Health,
November 6, 2013, for additional information.)
b. Programmed Inspection with a Limited Scope.
 For non-construction worksites, OSHA will no longer offer a limited scope
inspection to an establishment operated by an OSHA partnering employer.
However, a National partnership agreement may include a limited scope
inspection where it can be clearly demonstrated to result in a more effective
partnership. Therefore, any partnership agreement that contains a provision
for a limited scope inspection must be approved by the Assistant Secretary in
advance of the OSP’s development based on a detailed statement of the
benefits to the partnership. For inspections with limited scope, the workplace
hazards to be addressed will be determined by OSHA with input from the
partner(s). OSHA may expand the scope of the inspection based on
information gathered during the inspection process.
 To gain a limited scope inspection as a benefit, the establishment must have
undergone an on-site non-enforcement verification inspection within one year
of the date of the programmed inspection.
c. Deletion from Programmed Inspection List.
 OSPs signed or renewed after July 27, 2012 will no longer include any
programmed inspection deferral or deletion provisions. Only cooperative
worksites qualifying for VPP or SHARP are eligible for this benefit. In
addition, new or renewed OSPs will not allow the use of OSHA’s “Phone &
Fax” procedures beyond the scope of those permitted in the FOM.
6. Alliances.
Unlike OSHA’s OSP, VPP, and SHARP programs, Alliances do not require
applications, data collection, verification, or evaluation. Alliances also do not offer
incentives, such as focused inspections or inspection deferral, to their signatories.

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 Chapter 3

INSPECTION PROCEDURES

I. General Inspection Procedures.

The conduct of effective inspections requires judgment in the identification, evaluation, and
documentation of safety and health conditions and practices. Inspections may vary
considerably in scope and detail depending on the circumstances of each case.

II. Inspection Preparation and Planning.

It is important that the Compliance Officer (CSHO) adequately prepare for each inspection.
Due to the wide variety of industries and associated hazards likely to be encountered, pre-
inspection preparation is essential to the conduct of a quality inspection.
A. Review of Inspection History.
1. Compliance Officers will carefully review data available at the Area Office for
information relevant to the establishment scheduled for inspection. This may include
inspection files and source reference material relevant to the industry. CSHOs will
also conduct an establishment search by accessing the OIS database. CSHOs should
use name variations and address-matching in their establishment search to maximize
their efforts due to possible company name changes and status (e.g., LLC, Inc.).
2. If an establishment has an inspection history that includes citations received while
performing work in a State Plan State, CSHOs should be aware of this information.
This inspection history may be used to document an employer’s heightened
awareness of a hazard and/or standard in order to support the development of a
willful citation and may be considered in determining eligibility for the history
penalty reduction. However, the State Plan citation may not be used to support a
repeat violation.
B. Review of Cooperative Program Participation.
CSHOs will access the Regional Homepage to obtain information about employers who
are currently participating in cooperative programs. CSHOs will verify whether the
employer is a current program participant during the opening conference. CSHOs will be
mindful of whether they are preparing for a programmed or unprogrammed inspection, as
this may affect whether the inspection should be conducted and/or its scope. See Section
V.D., of this chapter, Review of Voluntary Compliance Programs.
C. Safety and Health Issues Relating to CSHOs.
1. Hazard Assessment.
If the employer has a written certification that a hazard assessment has been
performed pursuant to §1910.132(d), the CSHO shall request a copy. If the hazard
assessment itself is not in writing, the CSHO shall ask the person who signed the
certification to describe all potential workplace hazards and then select appropriate
protective equipment. If there is no hazard assessment, the CSHO will determine
potential hazards from sources such as the OSHA 300 Log of Work-Related Injuries
and Illnesses and shall select personal protective equipment accordingly.
2. Respiratory Protection.

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 CSHOs must wear respirators when and where required, and must care for and
maintain respirators in accordance with the CSHO training provided.
a. CSHOs should conduct a pre-inspection evaluation for potential exposure to
chemicals. Prior to entering any hazardous areas, the CSHO should identify
those work areas, processes, or tasks that require respiratory protection. The
hazard assessment requirement in §1910.132(d) does not apply to respirators; see
CPL 02-02-054, Respiratory Protection Program Guidelines, July 14, 2000.
CSHOs should review all pertinent information contained in the establishment
file and appropriate reference sources to become knowledgeable about the
industrial processes and potential respiratory hazards that may be encountered.
During the opening conference, a list of hazardous substances should be obtained
or identified, along with any air monitoring results. CSHOs should determine if
they have the appropriate respirator to protect against chemicals present at the
work site.
b. CSHOs must notify their supervisor or the respiratory protection program
administrator:
 If a respirator no longer fits well (CSHOs should request a replacement
that fits properly);
 If CSHOs encounter any respiratory hazards during inspections or on-site
visits that they believe have not been previously or adequately addressed
during the site visit; or
 If there are any other concerns regarding the program.
3. Safety and Health Rules and Practices.
Section 1903.7(c) requires CSHOs to comply with all employer safety and health
rules and practices at the establishment being inspected; CSHOs shall wear and use
appropriate protective clothing and equipment.
4. Restrictions.
CSHOs will not enter any area where special entrance restrictions apply until the
required precautions have been taken. It shall be the Area Director’s responsibility to
determine that an inspection may be conducted without exposing the CSHO to
hazardous situations and to procure whatever materials and equipment are needed for
the safe conduct of the inspection.
NOTE: Also such restrictions apply 1) to facilities where incidents of workplace
violence precipitated the inspections, and 2) in industries OSHA has identified as
having a high risk for workplace violence (specifically: late-night retail, social
service and health care settings, and correctional facilities).
5. Workplace Violence – CSHO Training and Workplace Violence Prevention
Programs.
a. CSHO Training.
Prior to conducting an inspection in response to a complaint of workplace
violence, a CSHO must have received training that addresses the issues of
workplace violence. Such training should include OSHA’s 1000 Course, Area
Office training or other similar course work.
b. DOL Workplace Violence Prevention Programs.

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  CSHOs should be aware and familiar with the DOL workplace violence
program – http://www.labornet.dol.gov/me/worklife/dol-workplace-violence-
program.htm
 CSHOs should also be aware and familiar with the OSHA Safety and Health
Management System, ADM 04-00-001, (May 23, 2011).
c. Establishment Workplace Violence Prevention Programs.
If the employer is in an industry OSHA has identified as a high risk for workplace
violence (such as late-night retail, social service and health-care settings, and
correctional facilities) the CSHO should inquire about the existence of a
workplace violence prevention program. If such a program exists, the CSHO
shall ask the person responsible for the program to describe all the potential
workplace hazards. If there is no workplace violence prevention plan, the CSHO
will determine potential workplace violence hazards from sources such as the
OSHA 300 log of injuries and illnesses and other relevant records.
NOTE: If training is provided to staff members on workplace violence, the
CSHO should conduct the inspection with a staff member who has received the
training. If the CSHO does not deem that the existing protections are sufficient,
the CSHO should not enter the facility or area within the facility that he or she
considers dangerous.
d. CSHOs must notify their supervisor if they experience or witness any incident of
workplace violence.
D. Advance Notice of an Inspection.
1. Policy.
Section 17(f) of the Act and §1903.6 contain a general prohibition against the giving
of advance notice of inspections, except as authorized by the Secretary or the
Secretary’s designee. The Act regulates many conditions that are subject to speedy
alteration and disguise by employers. To forestall such changes in worksite
conditions, the Act prohibits unauthorized advance notice.
a. Advance Notice Exceptions.
There may be occasions when advance notice is necessary to conduct an effective
investigation. These occasions are narrow exceptions to the statutory prohibition
against advance notice. Advance notice of inspections may be given only with
the authorization of the Area Director or designee and only in the following
situations:
 In cases of apparent imminent danger to enable the employer to correct
the danger as quickly as possible;
 When the inspection can most effectively be conducted after regular
business hours or when special preparations are necessary;
 To ensure the presence of employer and employee representatives or
other appropriate personnel who are needed to aid in the inspection; and
 When giving advance notice would enhance the probability of an
effective and thorough inspection; e.g., in complex fatality investigations.
NOTE: The regulation at 29 CFR 1903.6(b) says that except in
imminent danger situations and in other unusual circumstances, the

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 advance notice authorized here “shall not be given more than 24 hours
before the inspection is scheduled to be conducted.”
b. Delays.
Advance notice exists whenever the Area Office sets up a specific date or time
with the employer for the CSHO to begin an inspection. Any delays in the
conduct of the inspection shall be kept to an absolute minimum. Lengthy or
unreasonable delays shall be brought to the attention of the Area Director or
designee. Advance notice generally does not include non-specific indications of
potential future inspections.
In unusual circumstances, the Area Director or designee may decide that a
delay is necessary. In those cases the employer or the CSHO shall notify affected
employee representatives, if any, of the delay and shall keep them informed of the
status of the inspection.
2. Documentation.
The conditions requiring advance notice and the procedures followed shall be
documented in the case file.
E. Pre-Inspection Compulsory Process.
Section 1903.4(b) authorizes the agency to seek a warrant in advance of an attempted
inspection if circumstances are such that “pre-inspection process (is) desirable or
necessary.” Section 8(b) of the Act authorizes the agency to issue administrative
subpoenas to obtain evidence related to an OSHA inspection or investigation. See
Chapter 15, Legal Issues.
F. Personal Security Clearance.
Some establishments have areas that contain material or processes that are classified by
the U.S. Government in the interest of national security. Whenever an inspection is
scheduled for an establishment containing classified areas, the Area Director or designee
shall assign a CSHO who has the appropriate security clearances. The Regional
Administrator shall ensure that an adequate number of CSHOs with appropriate security
clearances are available within the Region and that the security clearances are current.
G. Expert Assistance.
1. The Area Director or designee shall arrange for a specialist and/or specialized
training, preferably from within OSHA, to assist in an inspection or investigation
when the need for such expertise is identified.
2. OSHA specialists may accompany CSHOs or perform their tasks separately. CSHOs
must accompany outside consultants. OSHA specialists and outside consultants shall
be briefed on the purpose of the inspection and personal protective equipment to be
utilized.

III. Inspection Scope.

Inspections, either programmed or unprogrammed, fall into one of two categories depending
on the scope of the inspection:
A. Comprehensive.
A comprehensive inspection is a substantially complete and thorough inspection of all
potentially hazardous areas of the establishment. An inspection may be deemed
comprehensive even though, as a result of professional judgment, not all potentially
hazardous conditions or practices within those areas are inspected.

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 B. Partial.
A partial inspection is one whose focus is limited to certain potentially hazardous areas,
operations, conditions or practices at the establishment.
1. A partial inspection may be expanded based on information gathered by the CSHO
during the inspection process consistent with the Act and Area Office priorities.
2. CSHOs shall use established written guidelines and criteria, such as Agency
directives and LEPs, in conjunction with information gathered during the records or
program review and walkaround inspection, to determine whether expanding the
scope of an inspection is warranted.
IV. Conduct of Inspection.
A. Time of Inspection.
1. Inspections shall be made during regular working hours of the establishment except
when special circumstances indicate otherwise.
2. The Area Director or designee and the CSHO shall determine if alternate work
schedules are necessary regarding entry into an inspection site during other-than-
normal working hours.
B. Presenting Credentials.
1. While conducting inspections, CSHOs are to present their credentials whenever
making contact with management representatives, employees (to conduct interviews),
or organized labor representatives.
2. At the beginning of the inspection, the CSHO shall locate the owner representative,
operator or agent in charge at the workplace and present credentials. On construction
sites this will most often be the representative of the general contractor.
3. The inspection shall not be delayed unreasonably to await the arrival of the employer
representative. If the employer representative is coming from off-site, the inspection
should not be delayed in excess of one hour. If the workforce begins to depart from
the worksite, the CSHO should contact the Area Director or designee for guidance. If
the person in charge at the workplace cannot be determined, record the extent of the
inquiry in the case file and proceed with the physical inspection.
C. Refusal to Permit Inspection and Interference.
Section 8 of the Act provides that CSHOs may enter without delay and at reasonable
times any establishment covered under the Act for the purpose of conducting an
inspection. Unless the circumstances constitute a recognized exception to the warrant
requirement (e.g., consent, third party consent, plain view, open field, open construction
site or exigent circumstances) an employer has a right to require that the CSHO seek an
inspection warrant prior to entering an establishment and may refuse entry without such a
warrant.
NOTE: On a military base or other Federal Government facility, the following
guidelines do not apply. Instead, a representative of the controlling authority shall be
informed of the contractor’s refusal and asked to take appropriate action to obtain
cooperation.
1. Refusal of Entry or Inspection.
a. When the employer refuses to permit entry upon being presented proper
credentials, or allows entry but then refuses to permit or hinders the inspection in
some way, an attempt shall be made to obtain as much information as possible

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 about the establishment. See Chapter 15, Legal Issues, for additional
information.
b. If the employer refuses to allow an inspection of the establishment to proceed, the
CSHO shall leave the premises and immediately report the refusal to the Area
Director or designee. The Area Director shall notify the RSOL.
c. If the employer raises no objection to inspection of certain portions of the
workplace but objects to inspection of other portions, this shall be documented.
Normally, the CSHO shall continue the inspection, confining it only to those
certain portions to which the employer has raised no objections.
d. In either case, the CSHO shall advise the employer that the refusal will be
reported to the Area Director or designee and that the agency may take further
action, which may include obtaining legal process.
e. On multi-employer worksites, valid consent can be granted by the owner, or
another employer with employees at the worksite, for site entry.
2. Employer Interference.
Where entry has been allowed but the employer interferes with or limits any
important aspect of the inspection, the CSHO shall determine whether or not to
consider this action as a refusal. See §1903.7(b).
Examples of interference are employer refusals to permit:
 the walkaround;
 the examination of records essential to the inspection;
 the taking of essential photographs and/or videotapes;
 the inspection of a particular part of the premises;
 private employee interviews; or
 the attachment of sampling devices.
3. Forcible Interference with Conduct of Inspection or Other Office Duties.
Whenever an OSHA official or employee encounters forcible resistance, opposition,
interference, etc., or is assaulted or threatened with assault while engaged in the
performance of official duties, all investigative activity shall cease.
a. If a CSHO is assaulted while attempting to conduct an inspection, the CSHO
shall contact the proper authorities such as the Federal Protective Services or
local police and immediately notify the Area Director.
b. Upon receiving a report of such forcible interference, the Area Director or
designee shall immediately notify the Regional Administrator.
c. If working at an off-site location, CSHOs should leave the site immediately
pending further instructions from the Area Director or designee.
4. Obtaining Compulsory Process.
If it is determined, upon refusal of entry or refusal to produce evidence required by
subpoena, that a warrant will be sought, the Area Director shall proceed according to
guidelines and procedures established in the Region for warrant applications. See
Chapter 15, Legal Issues.
D. Employee Participation.
CSHOs shall advise employers that Section 8(e) of the Act and §1903.8 require that an
employee representative be given an opportunity to participate in the inspection.

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 1. CSHOs shall determine as soon as possible after arrival whether the workers at the
inspected worksite are represented and, if so, shall ensure that employee
representatives are afforded the opportunity to participate in all phases of the
inspection.
2. If an employer resists or interferes with participation by employee representatives in
an inspection and the interference cannot be resolved by the CSHO, the resistance
shall be construed as a refusal to permit the inspection and the Area Director or
designee shall be contacted.
E. Release for Entry.
1. CSHOs shall not sign any form or release or agree to any waiver. This includes any
employer forms concerned with trade secret information.
2. CSHOs may obtain a pass or sign a visitor’s register, or any other book or form used
by the establishment to control the entry and movement of persons upon its premises.
Such signature shall not constitute any form of a release or waiver of prosecution for
liability under the Act.
F. Bankrupt or Out of Business.
1. If the establishment scheduled for inspection is found to have ceased business and
there is no known successor, the CSHO shall report the facts to the Area Director or
designee.
2. If an employer, although bankrupt, is continuing to operate on the date of the
scheduled inspection, then the inspection shall proceed.
3. An employer must comply with the Act until such time as the business actually
ceases to operate.
G. Employee Responsibilities.
1. Section 5(b) of the Act states: “Each employee shall comply with occupational safety
and health standards and all rules, regulations, and orders issued pursuant to the Act
which are applicable to his own actions and conduct.” The Act does not provide for
the issuance of citations or the proposal of penalties against employees. Employers
are responsible for employee compliance with the standards.
2. In cases where CSHOs determine that employees are systematically refusing to
comply with a standard applicable to their own action and conduct, the matter shall
be referred to the Area Director who shall consult with the Regional Administrator.
3. Under no circumstances are CSHOs to become involved in an on-site dispute
involving labor management issues or interpretation of collective bargaining
agreements. CSHOs are expected to obtain sufficient information to assess whether
the employer is using its authority to ensure employee compliance with the Act.
Concerted refusals to comply by employees will not bar the issuance of a citation if
the employer has failed to exercise its control to the maximum extent reasonable,
including discipline and discharge.
H. Strike or Labor Dispute.
Plants or establishments may be inspected regardless of the existence of labor disputes,
such as work stoppages, strikes or picketing. If the CSHO identifies an unanticipated
labor dispute at a proposed inspection worksite, the Area Director or designee shall be
consulted before any contact is made.
1. Programmed Inspections.

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 Programmed inspections may be deferred during a strike or labor dispute, either
between a recognized union and the employer or between two unions competing for
bargaining rights in the establishment.
2. Unprogrammed Inspections.
a. Unprogrammed inspections (complaints, fatalities, referrals, etc.) will be
performed during strikes or labor disputes. However, the credibility and veracity
of any complaint shall be thoroughly assessed by the Area Director or designee
prior to scheduling an inspection.
b. If there is a picket line at the establishment, CSHOs shall attempt to locate and
inform the appropriate union official of the reason for the inspection prior to
initiating the inspection.
c. During the inspection, CSHOs will make every effort to ensure that their actions
are not interpreted as supporting either party to the labor dispute.
I. Variances.
The employer’s requirement to comply with a standard may be modified through granting
of a variance, as outlined in Section 6 of the Act.
1. An employer will not be subject to citation if the observed condition is in compliance
with an existing variance issued to that employer.
2. In the event that an employer is not in compliance with the requirement(s) of the
issued variance, a violation of the applicable standard shall be cited with a reference
in the citation to the variance provision that has not been met.

V. Opening Conference.
A. General.
CSHOs shall attempt to inform all affected employers of the purpose of the inspection,
provide a copy of the complaint if applicable, and include any employee representatives,
unless the employer objects. The opening conference should be brief so that the
compliance officer may quickly proceed to the walkaround. Conditions of the worksite
shall be noted upon arrival, as well as any changes that may occur during the opening
conference. At the start of the opening conference, CSHOs will inform both the
employer and the employee representative(s) of their rights during the inspection,
including the opportunity to participate in the physical inspection of the workplace.
Publications OSHA 3000, Employer Rights & Responsibilities Following a Federal
OSHA Inspection and OSHA 3021, Workers Rights should be distributed.
CSHOs shall request a copy of the written certification that a hazard assessment has
been performed by the employer in accordance with §1910.132(d). CSHOs should then
ask the person who signed the certification about any potential worksite exposures and
select appropriate personal protective equipment.
1. Attendance at Opening Conference.
a. CSHOs shall conduct a joint opening conference with employer and employee
representatives unless either party objects.
b. If there is objection to a joint conference, the CSHO shall conduct separate
conferences with employer and employee representatives.
2. Scope of Inspection.

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 CSHOs shall outline in general terms the scope of the inspection, including the need
for private employee interviews, physical inspection of the workplace and records,
possible referrals, rights during an inspection, discrimination complaints, and the
closing conference(s).
3. Video/Audio Recording.
CSHOs shall inform participants that a video camera and/or an audio recorder may be
used to provide a visual and/or audio record, and that the videotape and audiotape
may be used in the same manner as handwritten notes and photographs in OSHA
inspections.
NOTE: If an employer clearly refuses to allow videotaping during an inspection,
CSHOs shall contact the Area Director to determine if videotaping is critical to
documenting the case. If it is, this may be treated as a denial of entry.
4. Immediate Abatement.
CSHOs should explain to employers the advantages of immediate abatement,
including that there are no certification requirements for violations quickly corrected
during the inspection. See Chapter 7, Post-Citation Procedures and Abatement
Verification.
5. Quick-Fix Penalty Reduction.
CSHOs shall advise both the employer and employee representatives, if applicable,
that the Quick-Fix penalty reduction may be applied to each qualified violation (i.e.,
those which meet the criteria noted in Chapter 6), which the employer immediately
abates during the inspection and is visually verified by the CSHO. CSHOs shall
explain the Quick-Fix criteria and answer any questions concerning the program. See
Chapter 6, Penalties and Debt Collection.
6. Recordkeeping Rule.
a. The recordkeeping regulation at §1904.40(a) states that once a request is made,
an employer must provide copies of the required recordkeeping records within
four (4) business hours.
b. Although the employer has four business hours to provide injury and illness
records, the compliance officer is not required to wait until the records are
provided before beginning the walkaround portion of the inspection. As soon as
the opening conference is completed, the compliance officer is to begin the
walkaround portion of the inspection.
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related
fatalities, hospitalizations, amputations or losses of an eye. The new rule, which also
updates the list of employers partially exempt from OSHA record-keeping
requirements, went into effect on January 1, 2015, for workplaces under federal
OSHA jurisdiction. (See 79 FR 56129, Occupational Injury and Illness Recording
and Reporting Requirements – NAICS Update and Reporting Revisions, September
18, 2014.)
7. Abbreviated Opening Conference.
An abbreviated opening conference shall be conducted whenever the CSHO believes
that circumstances at the worksite dictate that the walkaround begin as promptly as
possible.
a. In such cases, the opening conference shall be limited to:

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  presenting credentials;
 stating the purpose of the visit;
 explaning employer and employee rights; and
 requesting employer and employee representatives.
All other elements shall be fully addressed during the closing conference(s).
b. Pursuant to §1903.8, the employer and the employee representatives shall be
informed of the opportunity to participate in the physical inspection of the
workplace.
B. Review of Appropriation Act Exemptions and Limitations.
CSHOs shall determine if the employer is covered by any exemptions or limitations
noted in the current Appropriations Act. See CPL 02-00-051, Enforcement Exemptions
and Limitations under the Appropriations Act, May 28, 1998.
C. Review Screening for Process Safety Management (PSM) Coverage.
CSHOs shall request a list of the chemicals on-site and their respective maximum
intended inventories. CSHOs shall review the list of chemicals and quantities, and
determine if there are highly hazardous chemicals (HHCs) listed in §1910.119, Appendix
A or flammable liquids or gases at or above the specified threshold quantity. CSHOs
may ask questions, conduct interviews, and/or conduct a walkaround to confirm the
information on the list of chemicals and maximum intended inventories.
1. If there is an HHC present at or above threshold quantities, CSHOs shall use the
following criteria to determine if any exemptions apply:
a. CSHOs shall confirm that the facility is not: a retail facility; oil or gas well
drilling or servicing operation; or a normally unoccupied remote facility
(§1910.119(a)(2)). If the facility is one of these types of establishments, PSM
does not apply.
b. If management believes that the process is exempt, CSHOs shall ask the
employer to provide documentation or other information to support that claim.
2. According to §1910.119 (a)(1)(ii), a process may be exempt if the employer can
demonstrate that the covered chemical(s) are:
a. Hydrocarbon fuels used solely for workplace consumption as a fuel (e.g., propane
used for comfort heating, gasoline for vehicle refueling), if such fuels are not a
part of a process containing another highly hazardous chemical covered by the
standard, or
b. Flammable liquids with a flashpoint below 100 ºF (37.8ºC) stored in atmospheric
tanks or transferred, which are kept below their normal boiling point without the
benefit of chilling or refrigeration.
NOTE: Current agency policies for applying exemptions can be found on the
OSHA website. See CPL 03-00-010, Petroleum Refinery Process Safety
Management National Emphasis Program, August 18, 2009.
D. Review of Voluntary Compliance Programs.
Employers who participate in selected voluntary compliance programs may be exempted
from programmed inspections. CSHOs shall determine whether the employer falls under
such an exemption during the opening conference.
1. OSHA On-Site Consultation Visits.

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 a. In accordance with §1908.7 and Chapter VII., of CSP 02-00-002, The
Consultation Policies and Procedures Manual, CSHOs shall ascertain at the
opening conference whether an OSHA-funded consultation visit is in progress. A
consultation Visit in Progress extends, from the beginning of the opening
conference to the end of the correction due dates (including extensions).
b. An on-site consultation Visit in Progress has priority over programmed
inspections except for imminent danger investigations, fatality/catastrophe
investigations, complaint investigations, and other critical inspections as
determined by the Assistant Secretary. See §1908.7(b)(2).
2. Safety and Health Achievement Recognition Program (SHARP).
a. Upon verifying that the employer is a current participant, the CSHO shall notify
the Area Director or designee so that the company can be removed from the
OSHA General Programmed Inspection Schedule for the approved exemption
period, which begins on the date the Regional Office approves the employer’s
participation in SHARP.
b. The initial exemption period is up to two years. The renewal exemption period is
up to three years, based on the recommendation of the Consultation Project
Manager.
3. Voluntary Protection Programs (VPP).
Inspections at a VPP site may be conducted in response to referrals, formal
complaints, fatalities, and catastrophes.
NOTE: A Compliance Officer who was previously a VPP on-site team member
will generally not conduct an enforcement inspection at that VPP site for the
following 2 years or until the site is no longer a VPP participant, whichever occurs
first. See CSP 03-01-003, Voluntary Protection Programs (VPP): Policies and
Procedures Manual, April 18, 2008. On a case-by-case basis, the Regional Solicitor
may override this provision.
E. Disruptive Conduct.
CSHOs may deny the right of accompaniment to any person whose conduct interferes
with a fair and orderly inspection. See §1903.8(d). If disruption or interference occurs,
the CSHO shall contact the Area Director or designee as to whether to suspend the
walkaround inspection or take other action. The employee representative shall be
advised that, during the inspection, matters unrelated to the inspection shall not be
discussed with employees.
F. Classified Areas.
In areas containing information classified by an agency of the U.S. Government in the
interest of national security, only persons authorized to have access to such information
may accompany a CSHO on the inspection. See §1903.8(d).

VI. Review of Records.

A. Injury and Illness Records.
1. Collection of Data.
a. At the start of each inspection, the CSHO shall review the employer’s injury and
illness records for five prior calendar years, record the information on a copy of
the OSHA-300 screen, and enter the employer’s data using the OIS Application

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 on the NCR (micro). This shall be done for all general industry, construction,
maritime, and agriculture inspections and investigations.
b. CSHOs shall use these data to calculate the Days Away, Restricted, or
Transferred (DART) rate and to observe trends, potential hazards, types of
operations and work-related injuries.
c. If recordkeeping deficiencies or unsound employer safety incentive policies are
discovered, the CSHO and the Area Director (or designee) may request assistance
from the Regional Recordkeeping Coordinator. See Richard E. Fairfax Memo,
Employer Safety Incentive and Disincentive Policies and Practices (March 12,
2013) at: http://www.osha.gov/as/opa/whistleblowermemo.html.
2. Information to be Obtained.
a. CSHOs shall request copies of the OSHA-300 Logs, the total hours worked and
the average number of employees for each year, and a roster of current
employees.
b. If CSHOs have questions regarding a specific case on the log, they shall request
the OSHA-301s or equivalent form for that case.
c. CSHOs shall check if the establishment has an on-site medical facility and/or the
location of the nearest emergency room where employees may be treated.
NOTE: The total hours worked and the average number of employees for each
year can be found on the OSHA-300A for all past years.
3. Automatic DART Rate Calculation.
CSHOs will not normally need to calculate the Days Away, Restricted, or Transferred
(DART) rate since it is automatically calculated when the OSHA-300 data are entered
into the OIS. If one of the three years is a partial year, so indicate and the software
will calculate accordingly.
4. Manual DART Rate Calculation.
If it is necessary to calculate rates manually, the CSHO will need to calculate the
DART Rates individually for each calendar year using the following procedures. The
DART rate includes cases involving days away from work, restricted work activity,
and transfers to another job.
The formula is:
(N/EH) x (200,000) where:
 N is the number of cases involving days away and/or restricted work
activity and job transfers.
 EH is the total number of hours worked by all employees during the
calendar year; and
 200,000 is the base number of hours worked for 100 full-time equivalent
employees.
EXAMPLE 3-1: Employees of an establishment (XYZ Company),
including management, temporary and leased workers, worked 645,089
hours at XYZ company. There were 22 injury and illness cases involving
days away and/or restricted work activity and/or job transfer from the
OSHA-300 Log (total of column H plus column I). The DART rate would
be (22÷645,089) x (200,000) = 6.8.

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 5. Construction.
For construction inspections/investigations, only the OSHA-300 information for the
prime/general contractor needs to be recorded (where such records exist and are
maintained). It will be left to the discretion of the Area Director or the CSHO as to
whether OSHA-300 data should also be recorded for any of the subcontractors.
6. Federal Agencies.
Federal agency injury and illness recording and reporting requirements shall comply
with the requirements under §1904, subparts C, D, E, and G, except that the
definition of “establishment” found in §1960.2(h) will remain applicable to federal
agencies.
B. Recording Criteria.
Employers must record new work-related injuries and illnesses that meet one or more of
the general recording criteria or meet the recording criteria for specific types of
conditions.
1. Death;
2. Days Away from Work;
3. Restricted Work;
4. Transfer to another job;
5. Medical treatment beyond first aid;
6. Loss of consciousness;
7. Diagnosis of a significant injury or illness; or
8. Meet the recording criteria for Specific Cases noted in §1904.8 through §1904.11.
C. Recordkeeping Deficiencies.
1. If recordkeeping deficiencies are suspected, the CSHO and the Area Director or
designee may request assistance from the Regional Recordkeeping Coordinator. If
there is evidence that the deficiencies or inaccuracies in the employer’s records
impair the ability to assess hazards, injuries and/or illnesses at the workplace, a
comprehensive records review shall be performed.
2. Other information related to this topic:
a. See CPL 02-00-135, Recordkeeping Policies and Procedures Manual, December
30, 2004, and CPL 02-02-072, Rules of Agency Practice and Procedure
concerning OSHA Access to Employee Medical Records, August 22, 2007.
b. Other OSHA programs and records will be reviewed, including hazard
communication, lockout/tagout, emergency evacuation and personal protective
equipment. Additional programs will be reviewed as necessary.
c. Many standard-specific directives provide additional instruction to CSHOs
requesting certain records and/or documents at the opening conference.
d. There are several types of workplace policies and practices that could discourage
employee reports of injuries and could constitute a violation of section 11(c) of
the OSH Act. These policies and practices, otherwise known as employer safety
incentive and disincentive policies and practices, may also violate OSHA’s
recordkeeping regulations. OSHA enumerated the most common potentially
discriminatory policies in the (March 12, 2012) Memorandum from OSHA

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 Deputy Asst. Sec. Richard E. Fairfax: Employer Safety Incentive and
Disincentive Policies and Practices.

VII. Walkaround Inspection.

The main purpose of the walkaround inspection is to identify potential safety and/or health
hazards in the workplace. CSHOs shall conduct the inspection in such a manner as to avoid
unnecessary personal exposure to hazards and to minimize unavoidable personal exposure to
the extent possible.
A. Walkaround Representatives.
Persons designated to accompany CSHOs during the walkaround are considered
walkaround representatives, and will generally include those designated by the employer
and employees. 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 inspection.
More than one employer and/or employee representative may accompany the CSHO
throughout or during any phase of an inspection if the CSHO determines that such
additional representatives will aid, and not interfere with, the inspection. See §1903.8(a).
The importance of worker participation to an effective workplace safety and health
inspection was clearly established in 1903.8(e) of the OSH Act which provides that
“[s]ubject to regulations issued by the Secretary, a representative of the employer and a
representative authorized by his employees shall be given an opportunity to accompany
the Secretary or his authorized representative during the physical inspection of any
workplace…for the purpose of aiding such inspection.”
However, 1903.8(c) states that “Compliance Safety and Health Officers are authorized
to deny the right of accompaniment under this section to any person whose conduct
interferes with a fair and orderly inspection,” which includes any activity not directly
related to conducting an effective and thorough physical inspection of the workplace.
1. Employees Represented by a Certified or Recognized Bargaining Agent.
During the opening conference, the highest ranking union official or union employee
representative on-site shall designate who will participate in the walkaround. OSHA
regulation §1903.8(b) gives the CSHO the authority to resolve all disputes as to
whom is the representative authorized by the employer and employees. Section
1903.8(c) states that the representative authorized by the employees shall be an
employee of the employer. If in the judgement of the CSHO, good cause has been
shown why accompaniment by a third party, who is not an employee of the employer
(such as an industrial hygienist or a safety engineer), and is reasonably necessary to
conduct an effective and thorough physical inspection of the workplace; such third
party may accompany CSHOs during the inspection. It is OSHA’s view that
representatives are “reasonably necessary”, when they make a positive contribution to
a thorough and effective inspection.
2. No Certified or Recognized Bargaining Agent.
Where employees are not represented by an authorized representative, there is no
established safety committee, or employees have not chosen or agreed to an
employee representative for OSHA inspection purposes (regardless of the existence
of a safety committee), CSHOs shall determine if other employees would suitably
represent the interests of employees on the walkaround.

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 If selection of such an employee is impractical, CSHOs shall conduct interviews
with a reasonable number of employees during the walkaround.
In some cases, workers without a certified or recognized bargaining agent may
authorize third party organizations and/or individuals to be their representatives
during an inspection. As with non-employee representatives authorized by workers
with a recognized bargaining agent, allowing this category of third party
representative to accompany OSHA compliance officers on an inspection is
appropriate if the representative will help achieve an effective and thorough health
and safety inspection. The purpose of a walkaround representative is to assist the
inspection by helping the compliance officer receive valuable health and safety
information from workers who may not be able or willing to provide such
information absent the third party participants.
3. Safety Committee or Employees at Large.
Employee members of an established workplace safety committee or employees at
large may designate an employee representative for OSHA inspection purposes.
B. Evaluation of Safety and Health Management System.
The employer’s safety and health management system shall be evaluated to determine its
good faith for the purposes of penalty calculation. See Chapter 6, Penalties and Debt
Collection.
C. Record All Facts Pertinent to a Violation.
1. Safety and health violations shall be brought to the attention of employer and
employee representatives at the time they are documented.
2. CSHOs shall record, at a minimum, the identity of the exposed employee, the hazard
to which the employee was exposed, the employee’s proximity to the hazard, the
employer’s knowledge of the condition, the manner in which important
measurements were obtained, and how long the condition has existed.
3. CSHOs will document interview statements in a thorough and accurate manner;
including names, dates, times, locations, types of materials, positions of pertinent
articles, witnesses, etc.
NOTE: If employee exposure to hazards is not observed, the CSHO shall
document facts on which the determination can be made whether an employee has
been or could be exposed. See Chapter 4, Violations and Chapter 5, Case File
Preparation and Documentation.
D. Testifying in Hearings.
CSHOs may be required to testify in hearings on OSHA’s behalf, and shall be mindful of
this fact when recording observations during inspections. The case file shall reflect
conditions observed in the workplace as accurately and detailed as possible.
E. Trade Secrets.
A trade secret, as referenced in Section 15 of the Act, includes information concerning or
related to processes, operations, style of work, or apparatus, or to the identity,
confidential statistical data, amount or source of any income, profits, losses, or
expenditures of any person, firm, partnership, corporation, or association. See 18 USC
1905.
1. Policy.
CSHOs and OSHA personnel shall preserve the confidentiality of trade secrets.
2. Restriction and Controls.
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 At the commencement of an inspection, the employer may identify areas in the
establishment which contain or which might reveal a trade secret. If the CSHO has
no clear reason to question such identification, information obtained in such areas,
including all negatives, photographs, videotapes, environmental samples and OSHA
documentation forms, shall be labeled:
“Confidential – Trade Secret”
a. Under Section 15 of the Act, all information reported to or obtained by CSHOs in
connection with any inspection or other activity that contains or that 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.
b. Title 18 USC 1905 provides criminal penalties for Federal employees who
disclose such information. These penalties include fines of up to $1,000 or
imprisonment for up to one year, or both, and removal from office or
employment.
c. 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.
3. If the employer objects to the taking of photographs and/or videotapes because trade
secrets would or may be disclosed, CSHOs should advise the employer of the
protection against such disclosure afforded by Section 15 of the Act and §1903.9. If
the employer still objects, CSHOs shall contact the Area Director or designee.
F. Collecting Samples.
1. CSHOs shall determine, early in the inspection, whether sampling (such as, but not
limited to, air sampling and surface sampling) is required by using the information
collected during the walk-around and from the pre-inspection review.
2. Summaries of sampling results shall be provided on request to the appropriate
employees (including those exposed or likely to be exposed to a hazard), to employer
representatives and to employee representatives.
G. Photographs and Videotapes.
1. Photographs and/or videotapes, shall be taken whenever CSHOs determine there is a
need.
a. Photographs that support violations shall be properly labeled, and may be
attached to the appropriate Violation (OSHA-1B).
b. CSHOs shall ensure that any photographs relating to confidential trade secret
information are identified as such and are kept separate from other evidence.
2. All film and photographs or videotape shall be retained in the case file. If lack of
storage space does not permit retaining the film, photographs or videotapes with the
file, they may be stored elsewhere with a reference to the corresponding inspection.
Videotapes shall be properly labeled. For more information regarding guidelines for
case file documentation with video, audio and digital media, see OSHA Instruction
CPL 02-00-098, Guidelines for Case File Documentation for Use with Videotapes
and Audiotapes, October 12, 1993, [and any other directives related to photograph
and videotape retention.]
H. Violations of Other Laws.

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 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.
I. Interviews of Non-Managerial Employees.
A free and open exchange of information between CSHOs and employees is essential to
an effective inspection. Interviews provide an opportunity for employees to supply
valuable factual information concerning hazardous conditions, including information on
how long workplace conditions have existed, the number and extent of employee
exposure(s) to a hazardous condition, and the actions of management regarding
correction of a hazardous condition.
1. Background.
a. Section 8(a)(2) of the Act authorizes CSHOs to question any employee privately
during regular working hours or at other reasonable times during the course of an
OSHA inspection. The purpose of such interviews is to obtain whatever informa-
tion CSHOs deem necessary or useful in carrying out inspections effectively.
The mandate to interview employees in private is OSHA’s right.
b. Employee interviews are an effective means to determine if an advance notice of
inspection has adversely affected the inspection conditions, as well as to obtain
information regarding the employer’s knowledge of the workplace conditions or
work practices in effect prior to, and at the time of, the inspection. During
interviews with employees, CSHOs should ask about these matters.
c. CSHOs should also obtain information concerning the presence and/or
implementation of a safety and health system to prevent or control workplace
hazards.
d. If an employee refuses to be interviewed, the CSHO shall use professional
judgment, in consultation with the Area Director or designee, in determining the
need for the employee’s statement.
2. Employee Right of Complaint.
CSHOs may consult with any employee who desires to discuss a potential violation.
Upon receipt of such information, CSHOs shall investigate the alleged hazard, where
possible, and record the findings.
3. Time and Location of Interviews.
CSHOs are authorized to conduct interviews during regular working hours and at
other reasonable times, and in a reasonable manner at the workplace. Interviews
often occur during the walkaround, but may be conducted at any time during an
inspection. If necessary, interviews may be conducted at locations other than the
workplace. CSHOs should consult with the Area Director if an interview is to be
conducted someplace other than the workplace. Where appropriate, OSHA has the
authority to subpoena an employee to appear at the Area Office for an interview.
4. Conducting Interviews of Non-Managerial Employees in Private.
CSHOs shall inform employers that interviews of non-managerial employees will be
conducted in private. CSHOs are entitled to question such employees in private
regardless of employer preference. If an employer interferes with a CSHOs ability to
do so, the CSHO should request that the AD consult with the RSOL to determine
appropriate legal action. Interference with a CSHOs ability to conduct private

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 interviews with non-managerial employees includes, but is not limited to, attempts by
management officials or representatives to be present during interviews.
5. Conducting Employee Interviews.
a. General Protocols.
 At the beginning of the interview CSHOs should identify themselves to the
employee by showing their credentials, and provide the employee with a
business card. This allows employees to contact CSHOs if they have further
information at a later time.
 CSHOs should explain to employees that the reason for the interview is to
gather factual information relevant to a safety and health inspection. It is not
appropriate to assume that employees already know or understand the
agency’s purpose. Particular sensitivity is required when interviewing a non-
English speaking employee. In such instances, CSHOs should initially
determine whether the employee’s comprehension of English is sufficient to
permit conducting an effective interview. If an interpreter is needed, CSHOs
should contact the General Services Administration (GSA) tele-interpreter or
use the Area Office’s protocol for interpreters.
 Every employee should be asked to provide his or her name, home address
and phone number. CSHOs should request identification and make clear the
reason for asking for this information.
 CSHOs shall inform employees that OSHA has the right to interview them in
private and of the protections afforded under Section 11(c) of the Act.
 In the event an employee requests that a representative of the union be
present, CSHOs shall make a reasonable effort to honor the request.
 If an employee requests that his/her personal attorney be present during the
interview, CSHOs should honor the request and, before continuing with the
interview, consult with the Area Director for guidance.
 Rarely, an attorney for the employer may claim that individual employees
have also authorized the attorney to represent them. Such a situation creates a
potential conflict of interest. CSHOs should ask the affected employees
whether they have agreed to be represented by the attorney. If the employees
indicate that they have, CSHOs should consult with the Area Director, who
will contact the RSOL.
b. Interview Statements.
Interview statements of employees or other persons shall be obtained whenever
CSHOs determine that such statements would be useful in documenting potential
violations. Interviews shall normally be reduced to writing and written in the first
person in the language of the individual. Employees shall be encouraged to sign
and date their statement.
 Any changes or corrections to the statement shall be initialed by the
individual. Statements shall not otherwise be changed or altered in any
manner.
 Statements shall include the words, “I request that my statement be held
confidential to the extent allowed by law” and end with the following; “I
have read the above, and it is true to the best of my knowledge.”

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  If the person making the declaration refuses to sign, the CSHO shall note
the refusal on the statement. The statement shall, nevertheless, be read
back to the person in an attempt to obtain agreement and then noted in the
case file.
 A transcription of any recorded statement shall be made when necessary
to the case.
 Upon request, if a management employee requests a copy of his/her
interview statement, one shall be given to them.
c. The Informant Privilege.
 The informant privilege allows the government to withhold the identity
of individuals who provide information about the violation of laws,
including OSHA rules and regulations. CSHOs shall inform employees
that their statements will remain confidential to the extent permitted by
law. However, each employee giving a statement should be informed that
disclosure of his or her identity may be necessary in connection with
enforcement or court actions.
NOTE: Whenever CSHOs make an assurance of confidentiality as part
of an investigation (i.e., informs the person giving the statement that their
identity will be protected), the pledge shall be reduced to writing and
included in the case file.
 The privilege also protects the contents of statements to the extent that
disclosure may reveal the witness identity. Where the contents of a
statement will not disclose the identity of the informant (i.e., do not reveal
the witness’ job title, work area, job duties, or other information that
would tend to reveal the individual’s identity), the privilege does not
apply. Interviewed employees shall be told that they are under no legal
obligation to inform anyone, including employers, that they provided
information to OSHA. Interviewed employees shall also be informed that
if they voluntarily disclose such information to others, it may impair the
agency’s ability to invoke the privilege.
J. Multi-Employer Worksites.
On multi-employer worksites (in all industry sectors), more than one employer may be
cited for a hazardous condition that violates an OSHA standard. A two-step process must
be followed to determine whether more than one employer is to be cited. See CPL 02-
00-124, Multi-Employer Citation Policy, December 10, 1999, for further guidance.
K. Administrative Subpoena.
Whenever there is a reasonable need for records, documents, testimony and/or other
supporting evidence necessary for completing an inspection scheduled in accordance with
any current and approved inspection scheduling system or an investigation of any matter
properly falling within the statutory authority of the agency, the Regional Administrator,
or authorized Area Director or designee, may issue an administrative subpoena. See
Chapter 15, Legal Issues.
L. Employer Abatement Assistance.
1. Policy.
CSHOs shall offer appropriate abatement assistance during the walkaround to explain
how workplace hazards might be eliminated. The information shall provide the

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 employee with guidance to develop acceptable abatement methods or to seek
appropriate professional assistance. CSHOs shall not imply OSHA endorsement of
any product through use of specific product names when recommending abatement
measures. The issuance of citations shall not be delayed.
2. 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, and maintaining the appropriate documentation.

VIII. Closing Conference.

A. Participants.
At the conclusion of an inspection, CSHOs shall conduct a closing conference with the
employer and the employee representatives, jointly or separately, as circumstances
dictate. The closing conference may be conducted on-site or by telephone as CSHOs
deem appropriate. If the employer refuses to allow a closing conference, the
circumstances of the refusal shall be documented in the Narrative (OSHA-1A) and the
case shall be processed as if a closing conference had been held.
NOTE: When conducting separate closing conferences for employers and labor
representatives (where the employer has declined to have a joint closing conference with
employee representatives), CSHOs shall normally hold the conference with employee
representatives first, unless the employee representative requests otherwise. This
procedure will ensure that worker input is received before employers are informed of
violations and proposed citations.
B. Discussion Items.
1. CSHOs shall discuss the apparent violations and other pertinent issues found during
the inspection and note relevant comments on the Violation (OSHA-1B), including
input for establishing correction dates.
2. CSHOs shall give employers the publication, “Employer Rights and Responsibilities
Following a Federal OSHA Inspection,” (OSHA-3000) which explains the
responsibilities and courses of action available to the employer if a citation is issued,
including their rights under the Small Business Regulatory Enforcement Fairness Act
(SBREFA). (See SBREFA on OSHA’s public webpage.) CSHOs shall then briefly
discuss the information in the booklet and answer any questions. All matters
discussed during the closing conference shall be documented in the case file,
including a note describing printed materials distributed.
3. CSHOs shall discuss the strengths and weaknesses of the employer’s occupational
safety and health system and any other applicable programs, and advise the employer
of the benefits of an effective program and provide information, such as OSHA’s
website, describing program elements.
4. Both the employer and employee representatives shall be advised of their rights to
participate in any subsequent conferences, meeting or discussions, and their contest
rights. Any unusual circumstances noted during the closing conference shall be
documented in the case file.

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 5. Since CSHOs may not have all pertinent information at the time of the first closing
conference, a second closing conference may be held by telephone or in person.
6. CSHOs shall advise employee representatives that:
a. Under 29 CFR 2200.20 of the Occupational Safety and Health Review
Commission regulations, if an employer contests a citation, the employees have a
right to elect “party status” before the Review Commission;
b. The employer should notify them if a notice of contest or a petition for
modification of abatement date is filed;
c. They have Section 11(c) rights; and
d. They have a right to contest the abatement date. Such contests must be in writing
and must be postmarked within 15 working days after receipt of the citation.
C. Advice to Attendees.
1. The CSHO shall advise those attending the closing conference that a request for an
informal conference with the OSHA Area Director is encouraged, as it provides an
opportunity to:
a. Resolve disputed citations and penalties without the need for litigation, which can
be time-consuming and costly;
b. Obtain a more complete understanding of the specific safety or health standards
that apply;
c. Discuss ways to correct the violations;
d. Discuss issues concerning proposed penalties;
e. Discuss proposed abatement dates;
f. Discuss issues regarding employee safety and health practices; and
g. Learn more about other OSHA programs and services available.
2. If a citation is issued, an informal conference or the request for one does not extend
the 15-working-day period during which the employer or employee representatives
may contest.
3. Oral disagreement or expression(s) during an informal conference, of intent to contest
a citation, penalty or abatement date does not replace the requirement that the
employer’s Notice of Contest be in writing.
4. Employee representatives have the right to participate in informal conferences or
negotiations between the Area Director and the employer in accordance with the
guidelines given in Chapter 7, Section II., Informal Conferences.
D. Penalties.
CSHOs shall explain that penalties must be paid within 15 working days after the
employer receives a Citation and Notification of Penalty (OSHA-2). If, however, an
employer contests the citation and/or the penalty, penalties need not be paid for the
contested items until the date that the citation/notification of penalty becomes a final
order.
E. Feasible Administrative, Work Practice and Engineering Controls.
Where appropriate, CSHOs will discuss control methodology with the employer during
the closing conference.
1. Definitions.

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 a. Engineering Controls: Consist of substitution, isolation, ventilation and
equipment modification.
b. Administrative Controls: Any procedure that significantly limits daily exposure
by manipulation of the work schedule or altering the organization of
accomplishing the work is considered an administrative control. The use of
personal protective equipment is not considered an administrative control.
c. Work Practice Controls: Methods such as changing work habits, improving
sanitation and hygiene practices, or making other changes in the way the
employee performs the job, in order to reduce or eliminate employee exposure to
the hazard.
d. Feasibility: Abatement measures required to correct a citation item are feasible
when they are capable of being done. The CSHO, following current directions
and guidelines, shall inform the employer, where appropriate, that a
determination will be made about whether engineering or administrative controls
are feasible.
e. Technical Feasibility: The existence of technical know-how about materials and
methods available or adaptable to specific circumstances, which can be applied to
a cited violation with a reasonable possibility that employee exposure to
occupational hazards will be reduced.
f. Economic Feasibility: This means that the employer is financially able to
undertake the measures necessary to abate the citations received.
NOTE: If an employer’s level of compliance lags significantly behind that of
its industry, an employer’s claim of economic infeasibility will not be accepted.
2. Documenting Claims of Infeasibility.
a. CSHOs shall document the underlying facts that may support an employer’s
claim of infeasibility.
b. When economic infeasibility is claimed, the CSHO shall inform the employer
that, although the cost of corrective measures to be taken will generally not be
considered as a factor in the issuance of a citation, it may be considered during an
informal conference or during settlement negotiations.
c. CSHOs should avoid discussing complex issues regarding feasibility. These
should be referred to the Area Director or designee for determination.
F. Reducing Employee Exposure.
Employers shall be advised that, whenever feasible, engineering, administrative or work
practice controls must be instituted, even if they are not sufficient to eliminate the hazard
completely (or to reduce exposure to or below the permissible exposure limit). Such
controls are required in conjunction with personal protective equipment to further reduce
exposure to the lowest practical level.
G. Abatement Verification.
During the closing conference the Compliance Officer should thoroughly explain to the
employer the abatement verification requirements. See Chapter 7, Post Inspection
Procedures and Abatement Verification.
1. Abatement Certification.
Abatement certification is required for each citation item(s) that the employer
receives, except those identified as “Corrected During Inspection.”

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 2. Corrected During Inspection (CDI).
Violations that will reflect on-site abatement and will be identified in the citations as
“Corrected During Inspection” shall be reviewed at the closing conference.
3. Abatement Documentation.
Abatement documentation, the employer’s physical proof of abatement, is required to
be submitted along with each willful, repeat and designated serious violation. To
minimize confusion, the distinction between abatement certification and abatement
documentation should be discussed.
4. Placement of Abatement Verification Tags.
The required placement on movable equipment of either abatement verification tags
or the citation must also be discussed at the closing conference, if it has not been
discussed during the walkaround portion of the inspection. See §1903.19(i).
5. Requirements for Extended Abatement Periods.
Where extended abatement periods are involved, the requirements for abatement
plans and progress reports shall be discussed.
H. Employee Discrimination.
The CSHO shall emphasize that the Act prohibits employers from discharging or
discriminating in any way against an employee who has exercised any right under the
Act, including the right to make safety or health complaints or to request an OSHA
inspection.

IX. Special Inspection Procedures.

A. Follow-up and Monitoring Inspections.
The primary purpose of a follow-up inspection is to determine if the previously cited
violations have been corrected. Monitoring inspections are conducted to ensure that
hazards are being abated and employees protected, whenever a long period of time is
needed for an establishment to come into compliance (or to verify compliance with the
terms of granted variances). Issuance of willful, repeated and high gravity serious
violations, failure to abate notifications, and/or citations related to imminent danger
situations are examples of prime candidates for follow-up or monitoring inspections.
These type of inspections will not normally be conducted when evidence of abatement is
provided by the employer or employee representative(s).
1. Failure to Abate.
a. A failure to abate exists when a previously cited violation continues unabated and
the abatement date has passed or the abatement date is covered under a settlement
agreement, or the employer has not complied with interim measures within the
allotted time specified in a long-term abatement plan.
b. If previously cited items have not been corrected, a Notice of Failure to Abate
Alleged Violation shall normally be issued. If a subsequent inspection indicates
the condition has still not been abated, the RSOL shall be consulted for further
guidance.
NOTE: If the employer has demonstrated a good faith effort to comply, a late
Petition for Modification of Abatement (PMA) may be considered in accordance
with Chapter 7, Section III, Petition for Modification of Abatement (PMA).

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 c. If an originally cited violation has at one point been abated but subsequently
recurs, a citation for a repeated violation may be appropriate.
2. Reports.
a. For any items found to be abated, a copy of the previous Violation (OSHA-1B),
Violation (OSHA-1B-IH), or citation can be noted as “corrected”, along with a
brief explanation of the abatement measures taken. This information may be
included in the narrative of the investigative file.
b. In the event that any item has not been abated, complete documentation shall be
included on a Violation (OSHA-1B).
3. Follow-up Files.
Follow-up inspection reports shall be included with the original (parent) case file.
B. Construction Inspections.
1. Standards Applicability.
The standards published as 29 CFR Part 1926 have been adopted as occupational
safety and health standards under Section 6(a) of the Act and §1910.12. They shall
apply to every employment and place of employment of every employee engaged in
construction work, including non-contract construction.
2. Definition.
The term “construction work” as defined by §1926.32(g) means work for
construction, alteration, and/or repair, including painting and decorating. These terms
are also discussed in §1926.13. If any question arises as to whether an activity is
deemed to be “construction” for purposes of the Act, the Director of the Directorate
of Construction shall be consulted.
3. Employer Worksite.
a. Inspections of employers in the construction industry are not easily separable into
distinct worksites. The worksite is generally the site where the construction is
being performed (e.g., the building site, the dam site). Where the construction
site extends over a large geographical area (e.g., road building), the entire job will
be considered a single worksite. In cases when such large geographical areas
overlap between Area Offices, generally only operations of the employer within
the jurisdiction of any Area Office will be considered as the worksite of the
employer.
b. When a construction worksite extends beyond a single Area Office and the
CSHO believes that the inspection should be extended, the affected Area
Directors shall consult with each other and take appropriate action.
4. Upon Entering the Workplace.
a. CSHOs shall ascertain whether there is a representative of a federal contracting
agency at the worksite. If so, they shall contact the representative, advise him/her
of the inspection and request that the representative attend the opening
conference.
b. If the inspection is being conducted as a result of a complaint, a copy of the
complaint should be given to the general contractor and any affected sub-
contractors.
5. Closing Conference.

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 Upon completion of the inspection, the CSHO shall confer with the general
contractor(s) and all appropriate subcontractors or their representatives, together or
separately, and advise each one of all the apparent violations disclosed by the
inspection to which each establishments employees were exposed, or violations
which the employer created or controlled. Employee representatives participating in
the inspection shall also be afforded the right to participate in the closing
conference(s).
C. Federal Agency Inspections.
Policies and procedures for Federal agencies are to be the same as those followed in the
private sector. See Chapter 13, Federal Agency Field Activities.

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 Chapter 4

VIOLATIONS

I. Basis of Violations.
A. Standards and Regulations.
1. Section 5(a)(2) of the Act states that each employer has a responsibility to comply
with occupational safety and health standards promulgated under the Act, which
includes standards incorporated by reference. For example, the American National
Standards Institute (ANSI) standard A92.2 – 1969, “Vehicle Mounted Elevating and
Rotating Work Platforms,” including appendix, is incorporated by reference as
specified in §1910.67. Only the mandatory provisions, i.e., those containing the word
“shall” or other mandatory language of standards incorporated by reference, are
adopted as standards under the Act.
2. The specific standards and regulations are found in Title 29 Code of Federal
Regulations (CFR) 1900 series. Subparts A and B of 29 CFR 1910 specifically
establish the source of all the standards, which serve as the basis for violations.
Standards are subdivided as follows as per OIS Application. For example,
1910.305(j)(6)(ii)(A)(2) would be entered as follows:

Subdivision Naming
Example
Convention
Title 29
Part 1910
Section 305
Paragraph (j)
Subparagraph (6)
Item (ii)
Sub Item (A)
Sub Item 2 (2)

NOTE: The most specific provision of a standard shall be used for citing violations.
3. Definition and Application of Vertical and Horizontal Standards.
Vertical standards are standards that apply to a particular industry or to particular
operations, practices, conditions, processes, means, methods, equipment, or
installations. Horizontal standards are other (more general) standards applicable to
multiple industries. See §1910.5(c).
4. Application of Horizontal and Vertical Standards.
If a CSHO is uncertain whether to cite under a horizontal or a vertical standard when
both may be applicable, the supervisor or the Area Director shall be consulted. The
following guidelines shall be considered:

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 a. When a hazard in a particular industry is covered by both a vertical (e.g., 29 CFR
1915) and a horizontal (e.g., 29 CFR 1910) standard, the vertical standard shall
take precedence even if the horizontal standard is more stringent.
b. In situations covered by both a horizontal (general) and a vertical (specific)
standard where the horizontal standard appears to offer greater protection, the
horizontal (general) standard may be cited only if its requirements are not
inconsistent or in conflict with the requirements of the vertical (specific)
standard. To determine whether there is a conflict or inconsistency between the
standards, an analysis of the intent of the two standards must be performed. For
the horizontal standard to apply, the analysis must show that the vertical standard
does not address the precise hazard involved, even though it may address related
or similar hazards.
EXAMPLE 4-1: When employees are connecting structural steel,
§1926.501(b)(15) may not be cited for fall hazards above 6 feet since that specific
situation is covered by §1926.760(b)(1) for fall distances of more than 30 feet.
c. If the particular industry does not have a vertical standard that covers the hazard,
then the CSHO shall use the horizontal (general industry) standard.
d. When determining whether a horizontal or a vertical standard is applicable to a
work situation, the CSHO shall focus attention on the particular activity an
employer is engaged in rather than on the nature of the employer’s general
business.
e. Hazards found in construction work that are not covered by a specific 29 CFR
1926 standard shall not normally be cited under 29 CFR 1910 unless that standard
has been identified as being applicable to construction. See Incorporation of
General Industry Safety and Health Standards Applicable to Construction Work,
58 FR 35076 (June 30, 1993).
f. If a question arises as to whether an activity is deemed “construction” for
purposes of the Act, contact the Directorate of Construction (DOC). See
§1910.12, Construction Work.
g. For the application of standards in the maritime industries (29 CFR Parts 1915,
1917, 1918, and 1919) see Chapter 10 Section III., Maritime.
5. Violation of Variances.
The employer’s requirement to comply with a standard may be modified through
granting of a variance, as outlined in Section 6(d) of the Act.
a. In the event that the employer is not in compliance with the requirements of the
variance, a violation of the controlling standard shall be cited with a reference in
the citation to the variance provision that has not been met.
b. If, during an inspection, CSHOs discover that an employer has filed a variance
application regarding a condition that is an apparent violation of a standard, the
Area Director or designee shall determine whether the variance request has been
granted. If the variance has not been granted, a citation for the violative
condition may be issued.
B. Employee Exposure.
A hazardous condition that violates an OSHA standard or the general duty clause shall be
cited only when employee exposure can be documented. The exposure(s) must have
occurred within the six months immediately preceding the issuance of the citation to

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serve as a basis for a violation, except where the employer has concealed the violative
condition or misled OSHA, in which case the citation must be issued within six months
from the date when OSHA learns, or should have known, of the condition. The RSOL
should be consulted in such cases.
1. Determination of Employer/Employee Relationship.
Whether or not workers are employees of a particular employer depends on several
factors, the most important of which is who controls the manner in which employees
perform their assigned work. The question of who pays these employees may not be
the key factor. For cases where determination of the employer/employee relationship
is complex, the Area Director shall seek the advice of the RSOL.
2. Proximity to the Hazard.
The actual and/or potential proximity of the employees to a hazard shall be
thoroughly documented (i.e., photos, measurements, and employee interviews).
3. Observed Exposure.
a. Employee exposure is established if CSHOs witness, observe, or monitor the
proximity or access of an employee to the hazard or potentially hazardous
condition.
b. The use of personal protective equipment may not, in itself, adequately prevent
employee exposures to a hazardous condition. Such exposures may be cited
where the applicable standard requires the additional use of engineering and/or
administrative (including work practice) controls, or where the personal
protective equipment used is inadequate.
4. Unobserved Exposure.
Where employee exposure is not observed, witnessed, or monitored by CSHOs,
employee exposure may be established through witness statements or other evidence
that exposure to a hazardous condition has occurred or may continue to occur.
a. Past Exposure.
In fatality/catastrophe (or other “accident/incident”) investigations, prior
employee exposure(s) may be established if CSHOs establish, through written
statements or other evidence, that exposure(s) to a hazardous condition occurred
at the time of the accident/incident. Additionally, prior exposures may serve as
the basis for a violation when:
 The hazardous condition continues to exist, or it is reasonably predictable
that the same or similar condition could recur;
 It is reasonably predictable that employee exposure to a hazardous
condition could recur when:
o The employee exposure has occurred in the previous six months;
o The hazardous condition is an integral part of an employer’s
normal operations; and
o The employer has not established a policy or program to ensure
that exposure to the hazardous condition will not recur.
b. Potential Exposure.

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 Potential exposure to a hazardous condition may be established if there is
evidence that employees have access to the hazard, and may include one or more
of the following:
 When a hazard has existed and could recur because of work patterns,
circumstances, or anticipated work requirements;
 When a hazard would pose a danger to employees simply by their
presence in an area and it is reasonably predictable that they could come
into that area during the course of the work, to rest or to eat, or to enter or
exit from an assigned work area; or
 When a hazard is associated with the use of unsafe machinery or
equipment or arises from the presence of hazardous materials and it is
reasonably predictable that an employee could again use the equipment or
be exposed to the materials in the course of work; however
 If the inspection reveals an adequately communicated and effectively
enforced safety policy or program that would prevent or minimize
employee exposure, including accidental exposure to the hazardous
condition, it would not be reasonably predictable that employee exposure
could occur. In such circumstances, no citation should be issued in
relation to the condition.
c. Documenting Employee Exposure.
CSHOs shall thoroughly document exposure, both observed and unobserved, for
each potential violation. This includes:
 Statements by the exposed employees, the employer (particularly the
immediate supervisor of the exposed employee), other witnesses (other
employees who have observed exposure to the hazardous condition),
union representatives, engineering personnel, management, or members
of the exposed employee’s family;
 Recorded statements or signed written statements;
 Photographs, videotapes, and/or measurements; and
 All relevant documents (e.g., autopsy reports, police reports, job
specifications, site plans, OSHA-300/301, equipment manuals, employer
work rules, employer sampling results, employer safety and health
programs, and employer disciplinary policies).
C. Regulatory Requirements.
Violations of 29 CFR Part 1903 and Part 1904 shall be documented and cited when an
employer does not comply with posting, recordkeeping and reporting requirements
contained in these Parts as provided by agency policy. See CPL 02-00-135,
Recordkeeping Policies and Procedures Manual (December 30, 2004). See also CPL 02-
00-111, Citation Policy for Paperwork and Written Program Requirement Violations,
dated November 27, 1995.
NOTE: If prior to the lapse of the 8-hour reporting period, the Area Director becomes
aware of an incident required to be reported under §1904.39 through means other than an
employer report, there is no violation for failure to report.
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related fatalities,
hospitalizations, amputations or losses of an eye. The new rule, which also updates the
list of employers partially exempt from OSHA record-keeping requirements, went into
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 effect on January 1, 2015, for workplaces under federal OSHA jurisdiction. (See 79 FR
56129, Occupational Injury and Illness Recording and Reporting Requirements – NAICS
Update and Reporting Revisions, September 18, 2014.)
D. Hazard Communication.
29 CFR 1910.1200 requires chemical manufacturers and importers to classify the
chemicals they produce or import, and applies to these employers even though they may
not have their own employees exposed. Violations of this standard by manufacturers or
importers shall be documented and cited, irrespective of any employee exposure at the
manufacturing or importing location. See CPL 02-02-079, Inspection Procedures for the
Hazard Communication Standard (HCS 2012), dated July 9, 2015.
E. Employer/Employee Responsibilities.
1. Employer Responsibilities.
Section 5(a) of the Act states that each employer “shall furnish to each of his
employees employment and a place of employment which are free from recognized
hazards that are causing or are likely to cause death or serious physical harm to his
employees.” This section also states that each employer “shall comply with
occupational safety and health standards promulgated under this Act.”
2. Employee Responsibilities.
a. Section 5(b) of the Act states: “Each employee shall comply with occupational
safety and health standards and all rules, regulations, and orders issued pursuant
to the Act which are applicable to his own actions and conduct.” The Act does
not provide for the issuance of citations or the proposal of penalties against
employees. Employers are responsible for employee compliance with the
standards.
b. In cases where the CSHO determines that employees are systematically refusing
to comply with a standard applicable to their own actions and conduct, the matter
shall be referred to the Area Director who shall consult with the Regional
Administrator or designee.
c. The CSHO is expected to obtain information to ascertain whether the employer is
exercising appropriate oversight of the workplace to ensure compliance with the
Act. Concerted refusals by employees to comply will not ordinarily bar the
issuance of a citation where the employer has failed to exercise its authority to
adequately supervise employees, including taking appropriate disciplinary action.
3. Affirmative Defenses.
An affirmative defense is a claim which, if established by the employer, will excuse
the employer from a violation that has otherwise been documented by the CSHO.
Although affirmative defenses must be proved by the employer at the time of the
hearing, CSHOs should preliminarily gather evidence to rebut an employer’s
potential argument supporting any such defenses. See Chapter 5, Section VI,
Affirmative Defenses, for additional information.
4. Multi-Employer Worksites.
On multi-employer worksites in all industry sectors, more than one employer may be
cited for a hazardous condition that violates an OSHA standard. For specific and
detailed guidance, see the multi-employer policy contained in CPL 02-00-124, Multi-
Employer Citation Policy, dated December 10, 1999.

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II. Serious Violations.
A. Section 17(k).
Section 17(k) of the Act provides that “a serious violation shall be deemed to exist in a
place of employment if there is a substantial probability that death or serious physical
harm could result from a condition which exists, or from one or more practices, means,
methods, operations, or processes which have been adopted or are in use, in such place of
employment unless the employer did not, and could not with the exercise of reasonable
diligence, know of the presence of the violation.”
B. Establishing Serious Violations.
1. CSHOs shall consider four factors in determining whether a violation is to be
classified as serious. The first three factors address whether there is a substantial
probability that death or serious physical harm could result from an accident/incident
or exposure relating to the violative condition. The probability that an incident or
illness will occur is not to be considered in determining whether a violation is serious,
but is considered in determining the relative gravity of the violation. The fourth
factor addresses whether the employer knew or could have known of the violative
condition.
2. The classification of a violation need not be completed for each instance. It should be
done once for each citation or, if violation items are grouped in a citation, once for
the group.
3. If the citation consists of multiple instances or grouped violations, the overall
classification shall normally be based on the most serious item.
4. The four-factor analysis outlined below shall be followed in making a determination
of whether the violation is serious. Potential violations of the general duty clause
shall also be evaluated on the basis of these steps to establish whether they may cause
death or serious physical harm.
C. Four Steps to be Documented.
1. Type of Hazardous Exposure(s).
The first step is to identify the type of potential exposures to a hazard that the violated
standard or the general duty clause is designed to prevent.
a. CSHOs need not establish the exact manner in which an exposure to a hazard
could occur. However, CSHOs shall note all facts which could affect the
probability of an injury or illness resulting from a potential accident or hazardous
exposure.
b. If more than one type of hazardous exposure exists, CSHOs shall determine
which hazard could reasonably be predicted to result in the most severe injury or
illness and shall base the classification of the violation on that hazard.
c. The following are examples of some types of hazardous exposures that a standard
is designed to prevent:
EXAMPLE 4-2: Employees are observed working at the unguarded edge of an
open-sided floor 30 feet above the ground in apparent violation of
§1926.501(b)(1). The regulation requires that employees be protected from falls
by the use of guardrail systems, safety net systems, or personal fall arrest
systems. The type of hazard the standard is designed to prevent, is a fall from the
edge of the floor to the ground below.

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 EXAMPLE 4-3: Employees are observed working in an area in which debris
is located in apparent violation of §1915.81(c)(2). The type of hazard the
standard is designed to prevent here, is employees tripping on debris.
EXAMPLE 4-4: An 8-hour time-weighted average sample reveals regular,
ongoing employee overexposure to methylene chloride at 100 ppm in apparent
violation of §1910.1052. This is 75 ppm above the PEL, mandated by the
standard.
2. The Type of Injury or Illness.
The second step is to identify the most serious injury or illness that could reasonably
be expected to result from the potential hazardous exposure identified in Step 1.
a. In making this determination, CSHOs shall consider all factors that would affect
the severity of the injury or illness that could reasonably result from the exposure
to the hazard. CSHOs shall not give consideration at this point to factors relating
to the probability that an injury or illness will occur.
b. The following are examples of types of injuries that could reasonably be
predicted to result from exposure to a particular hazard:
EXAMPLE 4-5: If an employee falls from the edge of an open-sided floor 30
feet to the ground below, the employee could die, break bones, suffer a
concussion, or experience other serious injuries that would substantially impair a
body function.
EXAMPLE 4-6: If an employee trips on debris, the trip may cause 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 is littered with
broken glass or other sharp objects, it is reasonably predictable that an employee
who tripped on debris could suffer deep cuts which could require suturing.
c. 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 that could reasonably result from the
exposure. The Chemical Sampling Information (CSI) website shall be used to
determine both toxicological properties of substances listed and a Health Code
Number. (See CPL 02-02-043, Chemical Information Manual – Refer to the
OCIS Chemical Information Database, dated July 1, 1991.)
d. To support a classification of “serious”, a determination must be made that
exposure(s) at the sampled level could lead to illness. Thus, CSHOs must
document all evidence demonstrating that the sampled exposure(s) is
representative of employee exposure(s) under normal working conditions,
including identifying and recording the frequency and duration of employee
exposure(s). Evidence to be considered includes:
 The nature of the operation from which the exposure results;
 Whether the exposure is regular and on-going or is of limited frequency
and duration;
 How long employees have worked at the operation;
 Whether employees are performing functions that can be expected to
continue; and

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  Whether work practices, engineering controls, production levels, and
other operating parameters are typical of normal operations.
e. Where such evidence is difficult to obtain or inconclusive, CSHOs shall estimate
frequency and duration of exposures from any evidence available. In general, if it
is reasonable to infer that regular, ongoing exposures could occur, CSHOs shall
consider such potential exposures in determining the types of illness that could
result from the violative condition. The following are some examples of illnesses
that could reasonably result from exposure to a health hazard:
EXAMPLE 4-7: If an employee is exposed regularly to methylene chloride
above 25 ppm, it is reasonable to predict that cancer could result.
EXAMPLE 4-8: If an employee is exposed regularly to acetic acid above 10
ppm, it is reasonable that the resulting illnesses would be irritation to eyes, nose
and throat, or occupational asthma with chronic rhinitis and sinusitis.
3. Potential for Death or Serious Physical Harm.
The third step is to determine whether the type of injury or illness identified in Step 2
could include death or a form of serious physical harm. In making this
determination, the CSHO shall utilize the following definition of “serious physical
harm.”
NOTE: Impairment 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 require treatment by a medical doctor or other licensed
health care professional.
a. Injuries that constitute serious physical harm include, but are not limited to:
 Amputations (loss of all or part of a bodily appendage);
 Concussion;
 Crushing (internal, even though skin surface may be intact);
 Fractures (simple or compound);
 Burns or scalds, including electrical and chemical burns;
 Cuts, lacerations, or punctures involving significant bleeding and/or requiring
suturing;
 Sprains and strains; and
 Musculoskeletal disorders.
b. Illnesses that constitute serious physical harm include, but are not limited to:
 Cancer;
 Respiratory illnesses (silicosis, asbestosis, byssinosis, etc.);
 Hearing impairment;
 Central nervous system impairment;
 Visual impairment; and
 Poisoning.
c. The following are examples of injuries or illnesses that could reasonably result
from an accident/incident or exposure and lead to death or serious physical harm:

4-8
 EXAMPLE 4-9: An employee falls 15 feet to the ground, suffers broken
bones or a concussion, and experiences substantial impairment of a part of the
body that requires treatment by a medical doctor. This injury would be classified
as serious.
EXAMPLE 4-10: An employee trips on debris and because of the presence of
sharp debris or equipment suffers a deep cut to the hand requiring suturing, and
the use of the hand is substantially reduced. This injury would be classified as
serious.
EXAMPLE 4-11: An employee develops chronic beryllium disease after long-
term exposure to beryllium at a concentration in air of 0.004 mg/m3, and his or
her breathing capacity is significantly reduced. This illness would constitute
serious physical harm.
NOTE: The key determination is the likelihood that death or serious harm will
result if an accident or exposure occurs. The likelihood of an accident
occurring is addressed in penalty assessments and not by the classification.
4. Knowledge of Hazardous Condition.
The fourth step is to determine whether the employer knew, or with the exercise of
reasonable diligence could have known, of the presence of the hazardous condition.
a. The knowledge requirement is met if it is established that the employer actually
knew of the hazardous condition constituting the apparent violation.
Examples include: the employer saw the condition, an employee or employee
representative reported it to the employer, or an employee was previously injured
by the condition and the employer knew of the injury. CSHOs shall record
any/all evidence that establishes employer knowledge of the condition or practice.
b. If it cannot be determined that the employer has actual knowledge of a hazardous
condition, the knowledge requirement may be established if there is evidence that
the employer could have known of it through the exercise of reasonable diligence.
CSHOs shall record any evidence that substantiates that the employer could have
known of the hazardous condition. Examples of such evidence include:
 The violation/hazard was in plain view and obvious;
 The duration of the hazardous condition was not brief;
 The employer failed to regularly inspect the workplace for readily
identifiable hazards; and
 The employer failed to train and supervise employees regarding the
particular hazard.
c. The actual or constructive knowledge of a supervisor who is aware of a violative
condition or practice can usually be imputed to the employer for purposes of
establishing knowledge. In cases where the employer contends that the
supervisor’s own conduct constituted an isolated event of employee misconduct,
the CSHO shall attempt to determine whether the supervisor violated an
established work rule, and the extent to which the supervisor was trained in the
rule and supervised regarding compliance to prevent such conduct.

III. General Duty Requirements.

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Section 5(a)(1) of the Act requires that “Each employer shall furnish to each of his
employees employment and a place of employment which are free from recognized hazards
that are causing or are likely to cause death or serious physical harm to his employees.” The
general duty requirement also exists for federal agencies. See §1960.8.
A. Evaluation of General Duty Requirements.
In general, Review Commission and court precedent have established that the following
elements are necessary to prove a violation of the general duty clause:
1. The employer failed to keep the workplace free of a hazard to which employees of
that employer were exposed;
2. The hazard was recognized;
3. The hazard was causing or was likely to cause death or serious physical harm; and
4. There was a feasible and useful method to correct the hazard.
A general duty citation must involve both the presence of a serious hazard and exposure
of the cited employer’s own employees.
B. Elements of a General Duty Requirement Violation.
1. Definition of a Hazard.
a. In a Section 5(a)(1) citation, a “hazard” is defined as a workplace condition or
practice to which employees are exposed, creating the potential for death or
serious physical harm to employees.
b. Such a condition or practice must be clearly stated in a citation so as to apprise
employers of their obligations regarding the hazard. The hazard must therefore
be defined in terms of the presence of a hazardous condition or practice that
presents a particular danger to employees. Also, the hazard must be a condition
or practice that can reasonably be abated by the employer.
2. Do Not Cite the Lack of a Particular Abatement Method.
a. General duty clause citations are not intended to allege that the violation is a
failure to implement certain precautions, corrective actions, or other abatement
measures, but rather addresses the failure to prevent or remove a particular
hazard. Section 5(a)(1) therefore does not mandate a particular abatement
measure but only requires an employer to render the workplace free of recognized
hazards by any feasible and effective means the employer wishes to use.
b. In situations where a question arises regarding distinguishing between a
hazardous workplace condition or practice and the lack of an abatement method,
the Area Director shall consult with the Regional Administrator or designee, or
RSOL for assistance in correctly identifying the hazard.
EXAMPLE 4-12: Employees are conducting sanding operations that create
sparks near magnesium dust (workplace condition or practice), exposing them to
the serious injury of burns from a fire (potential for physical harm). One
proposed method of abatement may be engineering controls such as adequate
ventilation. The “hazard” is sanding that creates sparks in the presence of
magnesium that may result in a fire capable of seriously injuring employees, not
the lack of adequate ventilation.
EXAMPLE 4-13: Employees are operating tools that generate sparks in the
presence of an ignitable gas (workplace condition) exposing them to the danger
of an explosion (physical harm). The hazard is use of tools that create sparks in a

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 volatile atmosphere that may cause an explosion capable of seriously injuring
employees, not the lack of approved equipment.
EXAMPLE 4-14: An employer has failed to abate three hazards in a specific
work area: High-pressure machinery that vents gases next to a work area,
improper installation of the equipment that is in place, and no established work
rules addressing the dangers of high-pressure gas. However, there is only one
hazard (i.e., employee exposure to the venting of high-pressure gases into the
work area that may cause serious burns from steam discharges).
3. The Hazard is Not a Particular Accident/Incident.
a. The occurrence of an accident/incident does not necessarily mean that the
employer has violated Section 5(a)(1), although the accident/incident may be
evidence of a hazard. In some cases, a Section 5(a)(1) violation may be unrelated
to the cause of the accident/incident. Although accident/incident facts may be
relevant and shall be documented, the citation shall address the hazard in the
workplace that existed prior to the accident/incident, not the particular facts
that led to the occurrence of the accident/incident.
EXAMPLE 4-15: A fire occurred in a workplace where flammable materials
were present. No one was injured by the fire but an employee, disregarding the
clear instructions of his supervisor to use an available exit, jumped out of a
window and broke a leg. The danger of fire due to the presence of flammable
materials may be a recognized hazard causing or likely to cause death or serious
physical harm, but the action of the employee may be an instance of
unpreventable employee misconduct. The citation must address the underlying
workplace fire hazard, not the accident/incident involving the employee.
4. The Hazard Must be Reasonably Foreseeable.
The hazard for which a citation is issued must be reasonably foreseeable. All the
factors that could cause a hazard need not be present in the same place or at the same
time to prove foreseeability of the hazard; e.g., an explosion need not be imminent.
EXAMPLE 4-16: If sufficient quantities of combustible gas and oxygen are
present in a confined area to cause an explosion if ignited, but no ignition source is
present or could be present, no Section 5(a)(1) violation would exist. However, if the
employer has not taken sufficient safety precautions to preclude the presence or use
of ignition sources in the confined area, then a foreseeable hazard may exist.
NOTE: It is necessary to establish the reasonable foreseeability of the workplace
hazard, rather than the particular circumstances that led to an accident/incident.
EXAMPLE 4-17: A titanium dust fire spreads from one room to another because
an open can of gasoline was in the second room. An employee who usually worked
in both rooms is burned in the second room as a result of the gasoline igniting. The
presence of gasoline in the second room may be a rare occurrence. However, it is not
necessary to demonstrate that a fire in both rooms could reasonably occur, but only
that a fire hazard, in this case due to the presence of titanium dust, was reasonably
foreseeable.
5. The Hazard Must Affect the Cited Employer’s Employees.
a. The employees exposed to the Section 5(a)(1) hazard must be the employees of
the cited employer. An employer who may have created, contributed to, and/or

4-11
 controlled the hazard normally shall not be cited for a Section 5(a)(1) violation if
his own employees are not exposed to the hazard.
b. In complex situations, such as multi-employer worksites, where it may be
difficult to identify the precise employment relationship between the employer to
be cited and the exposed employees, the Area Director shall consult with the
Regional Administrator or designee and the RSOL to determine the sufficiency of
the evidence regarding the employment relationship.
c. The fact that an employer denies that exposed workers are his/her employees,
does not necessarily determine the employment relationship issue. Whether or
not exposed persons are employees of an employer depends on several factors,
the most important of which is who controls the manner in which the employees
perform their assigned work. The question of who pays employees, by itself may
not be the determining factor to establish a relationship. (See OSHA INTRANET
Region I Legal Resources entitled, Employee Relationships and Determining an
Employment Relationship under the OSHA Act.)
6. The Hazard Must Be Recognized.
Recognition of a hazard can be established on the basis of employer recognition,
industry recognition, or “common-sense” recognition. The use of common sense as
the basis for establishing recognition shall be limited to special circumstances.
Recognition of the hazard must be supported by the following evidence and adequate
documentation in the file:
a. Employer Recognition.
 A recognized hazard can be established by evidence of actual employer
knowledge of a hazardous condition or practice. Evidence of employer
recognition may consist of written or oral statements made by the employer
or other management or supervisory personnel during or before the OSHA
inspection.
 Employer awareness of a hazard may also be demonstrated by a review of
company memorandums, safety work rules that specifically identify a hazard,
operations manuals, standard operating procedures, and collective bargaining
agreements. In addition, prior accidents/incidents, near misses known to the
employer, injury and illness reports, or workers’ compensation data may also
show employer knowledge of a hazard.
 Employer awareness of a hazard may also be demonstrated by prior Federal
OSHA or OSHA State Plan State inspection history which involved the same
hazard.
 Employee complaints or grievances and safety committee reports to
supervisory personnel may establish recognition of the hazard, but the
evidence should show that the complaints were not merely infrequent, off-
hand comments.
 An employer’s own corrective actions 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 effective protection to the employees.
NOTE: CSHOs are to gather as many of these facts as possible to support
establishing a Section 5(a)(1) violation.

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b. Industry Recognition.
 A hazard is recognized if the employer’s relevant industry is aware of its
existence. Recognition by an industry other than the industry to which the
employer belongs is generally insufficient to prove this element of a Section
5(a)(1) violation. Although evidence of recognition by an employer’s similar
operations within an industry is preferred, evidence that the employer’s
overall industry recognizes the hazard may be sufficient. The Area Director
shall consult with the Regional Administrator or designee on such an issue.
Industry recognition of a hazard can be established in several ways:
o Statements by safety or health experts who are familiar with the
relevant conditions (regardless of whether they work in the
employer’s industry);
o Evidence of implementation of abatement methods to deal with the
particular hazard by other members of the employers industry;
o Manufacturers’ warnings on equipment or in literature that are
relevant to the hazard;
o Statistical or empirical studies conducted by the employer’s industry
that demonstrate awareness of the hazard. Evidence such as studies
conducted by the employee representatives, the union or other
employees must also be considered if the employer or the industry has
been made aware of them;
o Government and insurance industry studies, if the employer or the
employer’s industry is familiar with the studies and recognizes their
validity;
o State and local laws or regulations that apply in the jurisdiction where
the violation is alleged to have occurred and which currently are
enforced against the industry in question. In such cases, however,
corroborating evidence of recognition is recommended; and/or
o If the relevant industry participated in the committees drafting
national consensus standards such as the American National
Standards Institute (ANSI), the National Fire Protection Association
(NFPA), and other private standard-setting organizations, this can
constitute industry recognition. Otherwise, such private standards
normally shall be used only as corroborating evidence of recognition.
Preambles to these standards that discuss the hazards involved may
show hazard recognition as much as, or more than, the actual
standards. However, these private standards cannot be enforced as
OSHA standards, but they may be used to provide evidence of
industry recognition, seriousness of the hazard, or feasibility of
abatement methods.
 In cases where state and local government agencies have codes or regulations
covering hazards not addressed by OSHA standards, the Area Director, upon
consultation with the Regional Administrator or designee, shall determine
whether the hazard is to be cited under Section 5(a)(1) or referred to the
appropriate local agency for enforcement.

4-13
 EXAMPLE 4-18: A safety hazard on a factory personnel elevator is
documented during an inspection. It is determined that the hazard may not be
cited under Section 5(a)(1), but there is a local code that addresses this hazard
and a local agency actively enforces the code. The situation normally shall be
referred to the local enforcement agency instead of citing Section 5(a)(1).
 References that may be used to supplement other evidence to help
demonstrate industry recognition include the following:
o NIOSH criteria documents.
o EPA publications.
o National Cancer Institute and other agency publications.
o OSHA Hazard Alerts.
o OSHA Technical Manual.
c. Common Sense Recognition.
If industry or employer recognition of the hazard cannot be established in
accordance with (a) and (b), hazard recognition can still be established if a
hazardous condition is so obvious that any reasonable person would have
recognized it. This form of recognition should only be used in flagrant or
obvious cases.
EXAMPLE 4-19: In a general industry situation, courts have held that any
reasonable person would recognize that it is hazardous to use an unenclosed chute
to dump bricks into an alleyway 26 feet below where unwarned employees
worked. In construction, Section 5(a)(1) could not be cited in this situation
because §1926.252 or §1926.852 applies. In the context of a chemical processing
plant, common sense recognition was established where hazardous substances
were being vented into a work area.
7. The Hazard Was Causing or Likely to Cause Death or Serious Physical Harm.
a. 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 Section II.C.3., of this chapter.
b. This element of a Section 5(a)(1) violation can be established by showing that:
 An actual death or serious injury resulted from the recognized hazard,
whether immediately prior to the inspection or at other times and places; or
 If an accident/incident occurred, the likely result would be death or serious
physical harm.
EXAMPLE 4-20: An employee is standing at the edge of an unguarded floor
25 feet above the ground. If a fall occurred, death or serious physical harm (e.g.,
broken bones) is likely to result.
c. In the health context, establishing serious physical harm at the cited levels may be
challenging if the potential for illness/harm requires the passage of a substantial
period of time. In such cases, expert testimony is crucial in establishing that there
is reasonable probability that long-term serious physical harm will occur. It will
be less difficult 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

4-14
 serious physical harm when such illness or death will occur only after the passage
of time:
 Regular and continuing employee exposure at the workplace to the toxic
substance at the measured levels could reasonably occur;
 An illness reasonably could result from such regular and continuing
employee exposures; and
 If illness does occur, its likely result is death or serious physical harm.
8. The Hazard May be Corrected by a Feasible and Useful Method.
a. To establish a Section 5(a)(1) violation, the agency must also identify the
existence of a measure(s) that is feasible, available, and likely to correct the
hazard. Evidence of feasible abatement measures shall indicate that the
recognized hazard, rather than a particular accident/incident, is preventable.
b. 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 will not be issued merely because the agency is
aware of an abatement method different from that of the employer, if the
proposed method would not reduce the hazard significantly more than the
employer’s method. In some cases, only a series of abatement methods will
materially reduce a hazard; all potential abatement methods shall be listed. For
example, an abatement note shall be included on the Violation (OSHA-1B and -
2), such as “Among other methods, one feasible and acceptable means of
abatement would be to ____.” (Fill in the blank with the specified abatement
recommendation.)
c. Examples of such feasible and acceptable means of abatement include, but are not
limited to:
 The employer’s own abatement method, which existed prior to the
inspection but was not implemented;
 The implementation of feasible abatement measures by the employer after
the accident/incident or inspection;
 The implementation of abatement measures by other
employers/companies; and
 Recommendations made by the manufacturer addressing safety measures
for the hazardous equipment involved, as well as suggested abatement
methods contained in trade journals, national consensus standards and
individual employer work rules. National consensus standards shall not
solely be relied on to mandate specific abatement methods.
EXAMPLE 4-21: An ANSI standard addresses the hazard of exposure to
hydrogen sulfide gas and refers to various abatement methods, such as the
prevention of the buildup of materials that create the gas and the provision(s) for
ventilation. The ANSI standard may be used as general evidence of the existence
of feasible abatement measures.
In this example, the citation shall state that the recognized hazard of exposure
to hydrogen sulfide gas was present in the workplace and that a feasible and
useful abatement method existed; e.g., preventing the buildup of gas by providing
an adequate ventilation system. It would not be correct to base the citation on the
employer’s failure to prevent the buildup of materials that could create the gas
4-15
 and to provide a ventilation system, since both of these are abatement methods,
not recognized hazards.
d. Evidence provided by expert witnesses may be used to demonstrate feasibility of
abatement methods. In addition, although it is not necessary to establish that an
industry recognizes a particular abatement measure, such evidence may be used if
available.
C. Use of the General Duty Clause.
1. The general duty clause shall be used only where there is no standard that applies to
the particular hazard and in situations where a recognized hazard is created in whole
or in part by workplace conditions or practices that are not covered by a standard.
See §1910.5(f).
EXAMPLE 4-22: A hazard covered only partially by a standard would be
construction employees exposed to a collapse hazard because of a failure to properly
install reinforcing steel. Construction standards contain requirements for reinforcing
steel in wall, piers, columns, and similar vertical structures, but do not contain
requirements for steel placement in horizontal planes, e.g., a concrete floor. A failure
to properly install reinforcing steel in a floor in accordance with industry standards
and/or structural drawings could be cited under the general duty clause.
EXAMPLE 4-23: The powered industrial truck standard at §1910.178 does not
address all potential hazards associated with forklift use. For instance, while this
standard deals with the hazards associated with a forklift operator leaving his vehicle
unattended or dismounting the vehicle and working in its vicinity, it does not contain
requirements for the use of operator restraint systems. An employer’s failure to
address the hazard of a tipover (forklifts are particularly susceptible to tipovers) by
requiring operators of powered industrial trucks equipped with restraint devices or
seat belts to use those devices could be cited under the general duty clause. See CPL
02-01-028, Compliance Assistance for the Powered Industrial Truck Operator
Training Standards, dated November 30, 2000, for additional guidance.
2. The general duty clause may also be applicable to some types of employment that are
inherently dangerous (fire brigades, emergency rescue operations, confined space
entry, etc.).
a. Employers involved in such occupations must take the necessary steps to
eliminate or minimize employee exposure to all recognized hazards that are likely
to cause death or serious physical harm. These steps include an assessment of
hazards that may be encountered, providing appropriate protective equipment,
and conducting necessary training and instruction, for all employees.
b. An employer, who has failed to take such steps and allows its employees to be
exposed to a hazard, may be cited under the general duty clause.
D. Limitations of Use of the General Duty Clause.
Section 5(a)(1) is to be used only within the guidelines given in this chapter.
1. Section 5(a)(1) Shall Not be Used When a Standard Applies to a Hazard.
As discussed above, Section 5(a)(1) may not be cited if an OSHA standard applies to
the hazardous working condition or practice. If there is a question as to whether a
standard applies, the Area Director shall consult with the Regional Administrator or
designee. The RSOL will assist the Regional Administrator or designee in
determining the applicability of a standard prior to the issuance of a citation.

4-16
 EXAMPLE 4-24: Section 5(a)(1) shall not be cited for electrical hazards since
§1910.303(b) and §1926.403(b) require that electrical equipment is to be kept free
from recognized hazards that are likely to cause death or serious physical harm to
employees.
2. Section 5(a)(1) Shall Normally Not Be Used to Impose a Stricter Requirement
than that Imposed by the OSHA Standard.
When an existing standard is inadequate to protect worker safety and health, a section
5(a)(1) citation may be considered. All of the section 5(a)(1) elements discussed
above must be satisfied, AND there must be actual employer knowledge that the
standard was inadequate to protect employees from death or serious physical harm.
See Int'l Union UAW v. Gen. Dynamics Land Sys. Div., 815 F.2d 1570 (D.C. Cir.
1987). Area Offices shall contact the RSOL early in the investigation of these
types of cases, which will also be subject to pre-citation review by DEP and
NSOL.
EXAMPLE 4-25: An OSHA standard provides for a permissible exposure limit
(PEL) of 5 ppm, and a recognized Occupational Exposure limit (OEL)—such as an
ACGIH® Threshold Limit Value (TLV®) or NIOSH Recommended Exposure Limit
(REL)—is 3 ppm. A 5(a)(1) citation may only be considered for exposures between
the OEL and the PEL if the data establishes that exposures at the measured level are
likely to cause death or serious physical harm and the employer has actual knowledge
that the PEL is inadequate to protect its employees.
3. Section 5(a)(1) Shall Normally Not be Used to Require Additional Abatement
Methods Not Set Forth in an Existing Standard.
If a toxic substance standard covers engineering control requirements but not
requirements for medical surveillance, Section 5(a)(1) shall not be cited to
additionally require medical surveillance. Area Directors shall evaluate the
circumstances of special situations in accordance with guidelines stated herein and
consult with the Regional Administrator or designee to determine whether a 5(a)(1)
citation can be issued.
4. Alternative Standards.
The following standards shall be considered carefully before issuing a Section 5(a)(1)
citation for a health hazard.
a. There are a number of standards that shall be considered rather than Section
5(a)(1) in situations where the hazard is not covered by a particular standard. If a
hazard not covered by a specific standard can be substantially corrected by
compliance with a personal protective equipment (PPE) standard, the PPE
standard shall be cited. In general industry, §1910.132(a) may be appropriate
where exposure to a hazard may be prevented by the wearing of PPE.
b. For a health hazard, the particular toxic substance standard, such as asbestos and
coke oven emissions, shall be cited where appropriate. If those particular
standards do not apply, however, other standards may be applicable; e.g., the air
contaminant levels contained in §1910.1000 in general industry and in §1926.55
for construction.
c. Another general standard is §1910.134(a), which addresses the hazards of
breathing harmful air contaminants not covered under §1910.1000 or another

4-17
 specific standard, and which may be cited for failure to use feasible engineering
controls or respirators.
d. Violations of §1910.141(g)(2) or §1915.88(h) may be cited when employees are
allowed to consume food or beverages in an area exposed to a toxic material, and
§1910.132(a) where there is a potential for toxic materials to be absorbed through
the skin.
E. Classification of Violations Cited under the General Duty Clause.
Only hazards presenting serious physical harm or death may be cited under the general
duty clause (including willful and/or repeated violations that would otherwise qualify as
serious violations). Other-than-serious citations shall not be issued for general duty
clause violations.
F. Procedures for Implementation of Section 5(a)(1) Enforcement.
To ensure that citations of the general duty clause are defensible, the following
procedures shall be followed:
1. Gathering Evidence and Preparing the File.
a. The evidence necessary to establish each element of a Section 5(a)(1) violation
shall be documented in the file. This includes all photographs, videotapes,
sampling data, witness statements, and other documentary and physical evidence
necessary to establish the violation. Additional documentation includes evidence
of specific and/or general awareness of a hazard, why it was detectable and
recognized, and any supporting statements or reference materials.
b. If copies of documents relied on to establish the various Section 5(a)(1) elements
cannot be obtained before issuing the citation, these documents shall be
accurately cited and identified in the file so they can be obtained later if
necessary.
c. If experts are necessary to establish any element(s) of a Section 5(a)(1) violation,
such experts and RSOL shall be consulted prior to the citation being issued and
their opinions noted in the file.
2. Pre-Citation Review.
The Area Director shall review and approve all proposed Section 5(a)(1) citations.
These citations shall undergo additional pre-citation review as follows:
a. The Regional Administrator or designee and RSOL shall be consulted prior to the
issuance of all Section 5(a)(1) citations where complex issues or exceptions to the
outlined procedures are involved; and
b. If a standard does not apply and all criteria for issuing a Section 5(a)(1) citation
are not met, yet the Area Director determines that the hazard warrants some type
of notification, a Hazard Alert Letter shall be sent to the employer and employee
representative describing the hazard and suggesting corrective action.

IV. Other-than-Serious Violations.

This type of violation shall be cited in situations where the accident/incident or illness that
would be most likely to result from a hazardous condition would probably not cause death or
serious physical harm, but would have a direct and immediate relationship to the safety and
health of employees.

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V. Willful Violations.
A willful violation exists under the Act where an employer has demonstrated either an
intentional disregard for the requirements of the Act or a plain indifference to employee
safety and health. Area Directors are encouraged to consult with RSOL when developing
willful citations. The following guidance and procedures apply whenever there is evidence
that a willful violation may exist:
A. Intentional Disregard of Violations.
An employer commits an intentional and knowing violation if:
1. An employer was aware of the requirements of the Act or of an applicable standard or
regulation and was also aware of a workplace condition or practice in violation of
those requirements, but did not abate the hazard; or
2. An employer was not aware of the requirements of the Act or standards, but had
knowledge of a comparable legal requirement (e.g., state or local law) and was also
aware of a workplace condition or practice in violation of that requirement.
NOTE: Good faith efforts made by the employer to minimize or abate a hazard
may sometimes preclude the issuance of a willful violation. In such cases, CSHOs
should consult the Area Director or designee if a willful classification is under
consideration.
3. A willful citation also may be issued where an employer knows that specific steps
must be taken to address a hazard, but substitutes his or her judgment for the
requirements of the standard. See the internal Memorandum on Procedures for
Significant Enforcement Cases, and CPL 02-00-080, Handling of Cases to be
Proposed for Violation-by-Violation, dated October 21, 1990.
EXAMPLE 4-26: The employer was issued repeated citations addressing the same
or similar conditions, but did not take corrective action.
B. Plain Indifference Violations.
1. An employer commits a violation with plain indifference to employee safety and
health where:
a. Management officials were aware of an OSHA requirement applicable to the
employer’s business but made little or no effort to communicate the requirement
to lower level supervisors and employees.
b. Company officials were aware of a plainly obvious hazardous condition but made
little or no effort to prevent violations from occurring.
EXAMPLE 4-27: The employer is aware of the existence of unguarded power
presses that have caused near misses, lacerations and amputations in the past and
has done nothing to abate the hazard.
c. An employer was not aware of any legal requirement, but knows that a workplace
condition or practice is a serious hazard to the safety or health of employees and
makes 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, or complaints by employees or their
representatives.
NOTE: Voluntary employer self-audits that assess workplace safety and health
conditions and practices shall not normally be used as a basis of a willful
violation. However, once an employer’s self-audit identifies a hazardous
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 workplace condition or practice, the employer must promptly take appropriate
measures to correct a violative hazard and provide interim employee protection.
See OSHA’s Policy on Voluntary Employer Safety and Health Self-Audits
(Federal Register, July 28, 2000 (65 FR 46498)).
d. Willfulness may also be established despite lack of knowledge of a legal
requirement if circumstances show that the employer would have placed no
importance on such knowledge.
EXAMPLE 4-28: An employer sends employees into a deep unprotected
excavation containing a hazardous atmosphere without ever inspecting for
potential hazards.
2. It is not necessary that the violation be committed with a bad purpose or malicious
intent to be deemed “willful.” It is sufficient that the violation was deliberate,
voluntary or intentional as distinguished from inadvertent, accidental or ordinarily
negligent.
3. CSHOs shall develop and record on the Violation (OSHA-1B) all evidence that
indicates employer knowledge of the requirements of a standard, and any reasons for
why it disregarded statutory or other legal obligations to protect employees against a
hazardous condition. Willfulness may exist if an employer is informed by employees
or employee representatives about an alleged hazardous workplace condition or
practice and does not make a reasonable effort to verify or correct the hazard.
Additional factors to consider in determining whether to characterize a violation as
willful include:
a. The nature of the employer’s business and the knowledge of safety and health
matters that could reasonably be expected in the industry;
b. Any precautions taken by the employer to limit the hazardous workplace
conditions or practices;
c. The employer’s awareness of the Act and of the responsibility to provide safe and
healthful workplace; and
d. Whether similar violations and/or hazardous workplace conditions and practices
have been brought to the attention of the employer through prior citations,
accidents, warnings from OSHA or officials from other government agencies or
an employee safety committee regarding the requirements of a standard.
NOTE: This includes prior citations or warnings from OSHA State Plan officials.
4. Also, include facts showing that even if the employer was not consciously violating
the Act, it was aware that the violative condition or practice existed and made no
reasonable effort to eliminate it.

VI. Criminal/Willful Violations.

Section 17(e) of the Act, as amended, provides that: “Any employer who willfully violates
any standard, rule or order promulgated pursuant to Section 6 of this Act, or of any
regulations prescribed pursuant to this Act, and that violation caused death to any employee,
shall, upon conviction, be punished by a fine of not more than $10,000 or by imprisonment
for not more than six months, or by both; except that if the conviction is for a violation
committed after a first conviction of such person, punishment shall be by a fine of not more
than $20,000 or by imprisonment for not more than one year, or by both”.
A. Area Director Coordination.

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 The Area Director, in coordination with the RSOL, shall carefully evaluate all willful
cases involving employee deaths to determine whether they may involve criminal
violations of Section 17(e) of the Act. Because the quality of the evidence available is of
paramount importance in these investigations, there shall be early and close discussions
among the CSHO, the Area Director, the Regional Administrator, and the RSOL to
develop all evidence when there is a potential Section 17(e) violation.
B. Criteria for Investigating Possible Criminal/Willful Violations.
The following criteria shall be considered when investigating possible criminal/willful
violations:
1. To establish a criminal/willful violation, OSHA must prove that:
a. The employer violated an OSHA standard. A criminal/willful violation cannot be
based on the general duty clause, Section 5(a)(1).
b. The violation was willful in nature.
c. The violation of the standard caused the death of an employee. To prove that the
violation caused the death of an employee, there must be evidence that clearly
demonstrates that the violation of the standard was the direct cause of, or a
contributing factor to, an employee’s death.
2. If asked during an investigation, CSHOs should inform employers that any violation
found to be willful which has caused or contributed to the death of an employee, is
evaluated for potential criminal referral to the U.S. Department of Justice.
3. Following the investigation, if the Area Director decides to recommend criminal
prosecution, a memorandum shall be forwarded promptly to the Regional
Administrator. It shall include an evaluation of the possible criminal charges, taking
into consideration the burden of proof requiring that the government’s case be proven
beyond a reasonable doubt. In addition, if correction of the hazardous condition is at
issue, this shall be noted in the transmittal memorandum, because in most cases
prosecution of a criminal/willful case stays the resolution of the civil case and its
abatement requirements.
4. The Area Director shall normally issue a civil citation in accordance with current
procedures even if the citation involves charges under consideration for criminal
prosecution. The Regional Administrator shall be notified of such cases. In addition,
the case shall be promptly forwarded to the RSOL for possible referral to the U.S.
Department of Justice.
C. Willful Violations Related to a Fatality.
Where a willful violation is related to a fatality and a decision is made not to recommend
a criminal referral, the Area Director shall ensure that the case file contains
documentation justifying that conclusion. The file documentation should indicate which
elements of a potential criminal violation make the case unsuitable for referral.

VII. Repeated Violations.

A. Federal and State Plan Violations.
1. An employer may be cited for a repeated violation if that employer has been cited
previously for the same or a substantially similar condition or hazard and the
citation has become a final order of the Occupational Safety and Health Review
Commission (hereafter,OS&H Review Commission). A citation may become a final
order by operation of law when an employer does not contest the citation, or pursuant

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 to court decision or settlement. The underlying citation which the repeated violation
will be based on must have become a final order before the occurrence or observation
of the second substantially similar violation.
2. Prior citations by State Plan States cannot be used as a basis for Federal OSHA
repeated violations. Only violations that have become final orders of the federal
OS&H Review Commission may be considered.
B. Identical Standards.
Generally, similar workplace conditions or hazards can be demonstrated by showing that
in both situations the identical standard was violated, but there are exceptions.
EXAMPLE 4-29: A citation was previously issued for a violation of §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 §1910.132(a) for not requiring the use of head
protection (hard hats). Although the same standard was involved, the hazardous
conditions in each case are not substantially similar and, therefore, a repeated citation
would not be appropriate.
C. Different Standards.
In some circumstances, similar conditions or hazards can be demonstrated even when
different standards are violated.
EXAMPLE 4-30: A citation was previously issued for a violation of §1910.28(d)(7)
for not installing standard guardrails on a tubular welded frame scaffold platform. A
recent inspection of the same employer reveals a violation of §1910.28(c)(14) for not
installing guardrails on a tube and coupler scaffold platform. Although different
standards are involved, the conditions and hazards (falls) present during both inspections
were substantially similar, and, therefore, a repeated citation would be appropriate.
NOTE: There is no requirement that the previous and current violations occur at the
same workplace or under the same supervisor.
D. Obtaining Inspection History.
For purposes of determining whether a violation is repeated, the following criteria shall
apply:
1. High-Gravity Serious Violations.
a. 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 its
identified establishments nationwide, within the same two digit Standard
Industrial Classification (SIC) or three digit North American Industry
Classification System (NAICS) code. The history of repeated violations is based
on the employer’s establishments nationwide and cannot be limited to region-
wide.
b. If these violations have been previously cited within the time limitations
(described in Section VII.E., of this chapter) and have become final orders of the
OS&H Review Commission, a repeated citation may be issued.
c. Citations from previous inspections upon which a proposed repeated citation will
be based must have become a final order before the initiation of the second
inspection.
d. Under special circumstances, the Area Director, in consultation with the RSOL,
may also issue citations for repeated violations without regard for the NAICS
code.

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 2. Violations of Lesser Gravity.
When violations are of lesser gravity than high-gravity serious, Area Directors should
obtain a national inspection history whenever the circumstances of the current
inspection would result in multiple serious, repeat, or willful citations. This is
particularly essential if the employer is known to have establishments nationwide and
has been subject to a significant case in other areas or at other mobile worksites.
E. Time Limitations.
1. Although there are no statutory limitations on the length of time that a previously
issued citation can be used as a basis for a repeated violation, the following policy
shall generally be followed.
A citation will be issued as a repeated violation if:
a. The citation is issued within five years of the final order date of the previous
citation or within five years of the final abatement date, whichever is later, or
b. The previous citation was contested within five years of the OS&H Review
Commission’s final order or the U.S. Court of Appeals, final mandate.
2. When a violation is found during an inspection and a repeated citation has previously
been issued for a substantially similar condition, the violation may be classified as a
second instance repeated violation with a corresponding increase in penalty.
EXAMPLE 4-31: An inspection is conducted in an establishment and a violation
of §1910.217(c)(1)(i) is found. That citation is not contested by the employer and
becomes a final order of the OS&H Review Commission on October 17, 2006. On
December 8, 2008, a citation for repeated violation of the same standard was issued.
The violation found during the December inspection may be treated as a second
instance repeated.
3. In cases of multiple prior repeated citations, the Regional Administrator or designee
shall be consulted for guidance.
F. Repeated v. Failure to Abate.
A failure to abate exists when a previously cited hazardous condition, practice or non-
complying equipment has not been brought into compliance since the prior inspection
(i.e., the violation is continuously present) and is discovered at a later inspection. If,
however, the violation was corrected, but later reoccurs, the subsequent occurrence is a
repeated violation.
G. Area Director Responsibilities.
After the CSHO makes a recommendation that a violation should 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 citation for the prior violation, the
Violations (OSHA-1Bs) describing the prior violation that serves as the basis for the
repeated citation, and any other supporting evidence that describes the violation. If
the prior violation citation is not available, the basis for the repeated citation shall
nevertheless, be adequately documented in the case file. The file shall also include
all documents showing that the citation is a final order and on what date it became
final, as follows: If the case was not contested, the certified mail card (final 15
working days from employer’s receipt of the citation); signed Informal Settlement
(on the date of the last signature of both parties as long as the contest period has not

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 expired); Formal Settlement Agreements and Notice of Docketing (final 30 days
after docketing date); or Judge’s Decision and Notice of Docketing (final 30 days
after docketing).
3. OIS information shall not be used as the sole means to establish that a prior violation
has been issued.
4. In circumstances when it is not clear that the violation meets the criteria outlined in
this section, consult with the Regional Administrator or designee before issuing a
repeated citation.
5. 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 by notation in the
Alleged Violation Description (AVD) portion of the citation. For example, following
the AVD state appropriate language such as:
[Employer Name or Establishment Name] was previously cited for a violation of
this Occupational Safety and Health Standard [insert previously cited standard],
which was contained in OSHA inspection number___________, citation number
______, item number ______ and was affirmed as a final order on [insert date],
with respect to a workplace located at____________________________________.
OR
[Employer Name or Establishment Name] was previously cited for a violation of an
equivalent Occupational Safety and Health Standard [insert previously cited
standard], which was contained in OSHA inspection number___________, citation
number ______, item number ______ and was affirmed as a final order on [insert
date], with respect to a workplace located at ______________________________.

VIII. De Minimis Conditions.

De minimis conditions are those where an employer has implemented a measure different
from one specified in a standard, that has 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 manner as violations.
A. Criteria.
The criteria for finding a de minimis condition are as follows:
1. An employer complies with the intent of the standard, yet deviates from its particular
requirements in a manner that has no direct or immediate impact on employee safety
or health. These deviations may involve, for example, distance specifications,
construction material requirements, use of incorrect color, minor variations from
recordkeeping, testing, or inspection regulations.
EXAMPLE 4-32: §1910.27(b)(1)(ii) allows 12 inches as the maximum distance
between ladder rungs. Where the rungs are 13 inches apart, the condition is de
minimis.
EXAMPLE 4-33: §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 OSHA 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.

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 3. An employer complies with a written interpretation issued by the OSHA National
Office or an OSHA Regional Office.
4. An employer’s workplace protections are “state of the art” and technically more
enhanced than the requirements of the applicable standard and provides equivalent or
more effective employee safety or health protection.
B. Professional Judgment.
Professional judgment should be exercised in determining whether noncompliance with a
standard constitutes a de minimis condition.
C. Area Director Responsibilities.
Area Directors shall ensure that all proposed de minimis notices meet the criteria set out
above.

IX. Citing in the Alternative.

In rare cases, the same factual situation may present a possible violation of more than one
standard.
EXAMPLE 4-34: The facts that support a violation of §1910.28(a)(1) may also support a
violation of §1910.132(a), if no scaffolding is provided and the use of safety belts is not
required by the employer.
Where it appears that more than one standard is applicable to a given factual situation and
that compliance with any of the applicable standards would effectively eliminate the hazard,
it is permissible to cite alternative standards using the words “in the alternative.” A reference
in the citation to each of the standards involved shall be accompanied by a separate Alleged
Violation Description (AVD) that clearly alleges all of the necessary elements of a violation
of that standard. Only one penalty shall be proposed for the violative condition.

X. Combining and Grouping Violations.

A. Combining.
Separate violations of a single standard, for example §1910.212(a)(3)(ii), having the same
classification found during the inspection of an establishment or worksite generally shall
be combined into one alleged citation item. Different options presented in the Standard
Alleged Violation Elements (SAVEs) of the same standard shall normally also be
combined. Each instance of the violation shall be separately noted within that item of the
citation.
NOTE: Except for standards which address multiple hazards (e.g., Tables Z-1, Z-2 and
Z-3 cited under §1910.1000 (a), (b), or (c)), the same standard may not normally be cited
more than once on a single citation. However, the same standard may be cited on
different citations based on separate classifications and facts for the same inspection.
B. Grouping.
When a source of an identified hazard involves interrelated violations of different
standards, the violations may be grouped into a single violation. The following situations
normally call for grouping violations:
1. Grouping Related Violations.
If violations classified either as serious or other-than-serious are so closely related
that they may constitute a single hazardous workplace condition or practice, such
violations shall be grouped and the overall classification shall normally be based on
the most serious item.
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 2. Grouping Other-than-Serious Violations Where Grouping Results in a Serious
Violation.
When two or more violations are found which, if considered individually, represent
other than serious violations but together create a substantial probability of death or
serious physical harm, the violations shall be grouped as a serious violation.
3. Where Grouping Results in a High-Gravity Other-than-Serious Violation.
Where the CSHO finds, during the course of the inspection, that a number of other-
than-serious violations are present, the violations shall be considered in relation to
each other to determine the overall gravity of possible injury resulting from an
accident or incident involving the hazardous condition.
4. Penalties for Grouped Violations.
If penalties are to be proposed for grouped violations, the penalty shall be written
across from the first violation item appearing on the Citation and Notification of
Penalty (OSHA-2).
C. When Not to Group or Combine.
1. Multiple Inspections.
Violations discovered during multiple inspections of a single establishment or
worksite may not be grouped. Where only one Inspection (OSHA-1) has been
completed, an inspection at the same establishment or worksite shall be considered a
single inspection even if it continues for a period of more than one day, or is
discontinued with the intention of later resuming it.
2. Separate Establishments of the Same Employer.
The employer shall be issued separate citations for each establishment or worksite
where inspections are conducted, either simultaneously or at different times. If
CSHOs conduct inspections at two establishments belonging to the same employer
and instances of the same violation are discovered during each inspection, the
violations shall not be grouped.
3. General Duty Clause.
Because a Section 5(a)(1) citation covers all aspects of a serious hazard where no
standard exists, there shall be no grouping of separate Section 5(a)(1) violations.
This policy, however, does not prohibit grouping a Section 5(a)(1) violation with a
related violation of a specific standard.
4. Egregious Violations.
Violations, which are proposed as instance-by-instance citations, shall not normally
be combined or grouped. See CPL 02-00-080, Handling of Cases to be Proposed for
Violation-by-Violation Penalties, dated October 21, 1990.

XI. Health Standard Violations.

A. Citation of Ventilation Standards.
In cases where a citation of a ventilation standard is appropriate, consideration shall be
given to standards intended to control exposure to hazardous levels of air contaminants,
prevent fire or explosions, or regulate operations that may involve confined spaces or
specific hazardous conditions. In such cases, the following guidelines shall be observed:
1. Health-Related Ventilation Standards.

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 a. Where an overexposure to an airborne contaminant is present, the appropriate air
contaminant engineering control requirement shall be cited; e.g., §1910.1000(e).
Citations under this standard shall not be issued to require specific volumes of air
to reduce such exposures.
b. 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 has been
documented, a citation shall be issued.
2. Fire and Explosion-Related Ventilation Standards.
Although not normally considered health violations, the following guidelines shall be
observed when citing fire and explosion-related ventilation standards:
a. Adequate Ventilation.
An operation is considered to have adequate ventilation when both of the
following criteria are present:
 The requirement(s) of the specific standard has been met.
 The concentration of flammable vapors is 25 percent or less of the lower
explosive limit (LEL).
EXCEPTION: Some maritime standards require that levels be kept to
below 10 percent of the LEL (e.g., §1915.36(a)).
b. Citation Policy.
If 25 percent (10 percent when specified for maritime operations) of the LEL has
been exceeded and:
 The standard’s requirements have not been met, violations of the
applicable ventilation standard normally shall be cited as serious.
 If there is no applicable ventilation standard, Section 5(a)(1) of the Act
shall be cited in accordance with the guidelines in Section III of this
chapter, General Duty Requirement.
B. Violations of the Noise Standard.
Current enforcement policy regarding §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 employees are exposed to acceptable levels. (See Tables G-
16 or G-16a of the standard).
1. Citations for violations of §1910.95(b)(1) shall be issued when technologically and
economically feasible engineering and/or administrative controls have not been
implemented; and
a. Employee exposure levels are so elevated that hearing protectors alone may not
reliably reduce noise levels received to levels specified in Tables G-16 or G-16a
of the standard. (e.g., Hearing protectors which offer the greatest attenuation may
reliably be used to protect employees when their exposure levels border on 100
dba). See CPL 02-02-035, 29 CFR 1910.95 (b)(1), Guidelines for Noise
Enforcement; Appendix A, dated December 19, 1983; or
b. The costs of engineering and/or administrative controls are less than the cost of
an effective hearing conservation program.

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2. 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, no additional controls may be necessary. In
making this assessment, factors such as exposure levels present, number of
employees tested, and duration of the testing program shall be considered.
3. When employee noise exposures are less than 100 dBA but the employer does not
have an ongoing hearing conservation program, or results of audiometric testing
indicate that the employer’s existing program is inadequate, the CSHO shall consider
whether:
a. Reliance on an effective hearing conservation program would be less costly than
engineering and/or administrative controls.
b. An effective hearing conservation program can be established or improvements
made in an existing program which could bring the employer into compliance
with Tables G-16 or G-16a.
c. Engineering and/or administrative controls are both technically and economically
feasible.
4. If noise workplace levels can be reduced to the levels specified in Tables G-16 or G-
16a by means of hearing protectors along with an effective hearing conservation
program, a citation for any missing program elements shall be issued rather than for
lack of engineering controls. If improvements in the hearing conservation program
cannot be made or, if made, cannot reasonably be expected to reduce exposures, but
feasible controls exist to address the hazard, then §1910.95(b)(1) shall be cited.
5. When hearing protection is required but not used and employee exposures exceed the
limits of Table G-16, §1910.95(i)(2)(i) shall be cited and classified as serious (see (8)
below), whether or not the employer has instituted a hearing conservation program.
§1910.95(a) shall no longer be cited except for the oil and gas drilling industry.
NOTE: Citations of §1910.95(i)(2)(ii)(b) shall also be classified as serious.
6. Where an employer has instituted a hearing conservation program and a violation of
one or more elements (other than §1910.95(i)(2)(ii)(a)), is found, citations for the
deficient elements of the noise standard shall be issued if exposures equal or exceed
an 8-hour time-weighted average of 85 dB.
7. If an employer has not instituted a hearing conservation program and employee
exposures equal or exceed an 8-hour time-weighted average of 85 dB, a citation for
§1910.95(c) only shall be issued.
8. Violations of §1910.95(i)(2)(i) may be grouped with violations of §1910.95(b)(1) and
classified as serious when employees are exposed to noise levels above the limits of
Table G-l6 and:
a. Hearing protection is not utilized or is not adequate to prevent overexposures; or
b. There is evidence of hearing loss that could reasonably be considered:
 To be work-related, and
 To have been preventable, if the employer had been in compliance with the
cited provisions.
NOTE: No citation shall be issued where, in the absence of feasible
engineering or administrative controls, employees are exposed to elevated noise

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 levels, but effective hearing protection is being provided and used, and the
employer has implemented a hearing conservation program.

XII. Violations of the Respiratory Protection Standard (§1910.134).

If an inspection reveals the presence of potential respirator violations, CPL 02-00-158,
Inspection Procedures for the Respiratory Protection Standard, dated June 26, 2014, shall be
followed.

XIII. Violations of Air Contaminant Standards (§1910.1000).

A. Requirements under the standard:
1. Section §1910.1000(a) through (d) provides ceiling values and 8-hour time-weighted
averages applicable to employee exposure to air contaminants.
2. Section §1910.1000(e) provides that to achieve compliance with exposure limits,
administrative or engineering controls shall first be identified and implemented to the
extent feasible. When such controls do not achieve full compliance, personal
protective equipment shall be used. Whenever respirators are used, their use shall
comply with §1910.134.
3. Section §1910.134(a) provides that when effective engineering controls are not
feasible, or while they are being instituted, appropriate respirators shall be used.
4. There may be cases where workplace conditions require that employers provide
engineering controls as well as administrative controls (including work practice
controls) and personal protective equipment. Section 1910.1000(e) allows employers
to implement feasible engineering controls and/or administrative and work practice
controls in any combination, provided the selected means of abatement eliminates the
overexposure.
5. Where engineering and/or administrative controls are feasible, but do not or would
not reduce air contaminant levels below applicable ceiling values or threshold limit
values, an employer must nevertheless institute such controls to reduce the exposure
levels. In cases where the implementation of all feasible engineering and
administrative controls fails to reduce the level of air contaminants below applicable
levels, employers must additionally provide personal protective equipment to reduce
exposures.
B. Classification of Violations of Air Contaminant Standards.
Where employees are 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 criteria set forth in the Chemical Sampling
Information web page and based on whether respirators are being used. Classification of
these violations is dependent upon the determination that an illness is reasonably
predictable at the measured exposure level.
1. Classification Considerations.
Exposure to regulated substances shall be characterized as serious if exposures could
cause impairment to the body as described in Section II.C.3., of this chapter.
a. In general, substances having a single health code of 13 or less shall be
considered as posing a serious health hazard at any level above the Permissible
Exposure Limit (PEL). Substances in categories 6, 8 and 12, however, are not

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 considered serious at levels where only mild, temporary effects would be
expected to occur.
b. 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.
c. For a substance having multiple health codes covering both serious and
other-than-serious effects (e.g., cyclohexanol), a classification of
other-than-serious is appropriate up to levels where a serious health effect(s)
could be expected to occur.
d. 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 may be considered under Section 5(a)(1) of the Act. Prior to
citing a Section 5(a)(1) violation under these circumstances, it is essential that
CSHOs document that a hazardous exposure is occurring or has occurred at the
workplace, not just that a recognized occupational exposure recommendation has
been exceeded. See instructions in Section III of this chapter, General Duty
Requirements.
e. 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), citations will not normally be issued. CSHOs shall advise employers that
a reduction of the PEL has been recommended.
NOTE: An exception to this may apply if it can be documented that an
employer knows that a particular safety or health standard fails to protect his/her
workers against the specific hazard it is intended to address.
f. For a substance having an 8-hour PEL with no ceiling PEL, but ACGIH or
NIOSH has recommended a ceiling value, the case shall be referred to the
Regional Administrator in accordance with Section III.D.2., of this chapter. If no
citation is issued, the CSHO shall advise the employer(s) that a ceiling value is
recommended.
2. Additive and Synergistic Effects.
a. Substances which have a known additive effect and, therefore, result in a greater
probability/severity of risk when found in combination with each other shall be
evaluated using the formula found in §1910.1000(d)(2). Use of this formula
requires that exposures have an additive effect on the same body organ or system.
b. If CSHOs suspect that synergistic effects are possible, they shall consult with
their supervisor, who shall then refer the question to the Regional Administrator.
If a synergistic effect of the cited substances is determined to be present,
violations shall be grouped to accurately reflect severity and/or penalty.

XIV. Citing Improper Personal Hygiene Practices.

The following guidelines apply when citing personal hygiene violations:
A. Ingestion Hazards.
A citation under §1910.141(g)(2) and (4) shall be issued where there is reasonable
probability that, in areas where employees consume food or beverages (including
drinking fountains), a significant quantity of a toxic material may be ingested and
subsequently absorbed.

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 1. For citations under §1910.141(g)(2) and (4), wipe sampling results shall be taken to
establish the potential for a serious hazard.
2. Where, for any substance, a serious hazard is determined to exist due to potential for
ingestion or absorption 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.
B. Absorption Hazards.
A citation for exposure to materials that may be absorbed through the skin or can cause a
skin effect (e.g., dermatitis) shall be issued where appropriate personal protective
clothing is necessary but is not provided or worn. If a serious skin absorption or
dermatitis hazard exists that cannot be eliminated with protective clothing, a Section
5(a)(1) citation may be considered. Engineering or administrative (including work
practice) controls may be required in these cases to prevent the hazard. See
§1910.132(a).
C. Wipe Sampling.
In general, wipe samples and not measurements for air concentrations, will be necessary
to establish the presence of a toxic substance posing a potential absorption or ingestion
hazard. (See TED 01-00-015, OSHA Technical Manual, dated January 20, 1999, for
sampling procedures.)
D. Citation Policy.
The following criteria should be considered prior to issuing a citation for ingestion or
absorption hazards:
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 substance that may be potentially ingested or absorbed
through the skin. (See the Chemical Sampling Information web page.)
2. The potential for employee exposure by ingestion or absorption may be established
by taking both qualitative and quantitative wipe samples. The substance must be
present on surfaces that employees contact (such as lunch tables, water fountains,
work areas, etc.) or on other surfaces, which, if contaminated, present the potential
for ingestion or absorption.
3. The sampling results must reveal that the substance has properties and exists in
quantities that pose a serious hazard.

XV. Biological Monitoring.

If an employer has been conducting biological monitoring, CSHOs shall evaluate the results
of such testing. These results may assist in determining whether a significant quantity of the
toxic substance is being ingested or absorbed through the skin.

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 Chapter 5

CASE FILE PREPARATION AND DOCUMENTATION

I. Introduction.
These instructions are provided to assist CSHOs in determining the minimum level of written
documentation necessary in preparation of an inspection case file. All necessary information
relative to documentation of violations shall be obtained during the inspection, (including but
not limited to notes, audio/videotapes, photographs, employer and employee interviews and
employer maintained records). CSHOs shall develop detailed information for the case file to
establish the specific elements of each violation.
CSHOs and Area Directors shall follow all Regional consultation procedures, including
those established by the RSOL’s Office, when an inspection involves important or novel facts
or presents potentially complex litigation issues. If consultation is necessary, it shall be
conducted at the earliest possible stage of the inspection.

II. Inspection Conducted, Citations Being Issued.

All case files must include the following forms and documents.
A. Inspection (OSHA-1).
The CSHO shall obtain available information to complete the Inspection (OSHA-1) and
other appropriate forms.
B. Narative (OSHA-1A).
The Narative (OSHA-1A) shall list the following:
1. Establishment Name;
2. Inspection Number;
3. Additional Citation Mailing Addresses;
4. Names and Addresses of all Organized Employee Groups;
5. Names, Addresses and Phone Numbers of Authorized Representatives of Employees;
6. Employer Representatives contacted and the extent of their participation in the
inspection;
7. CSHOs evaluation of the Employer’s Safety and Health System, and if applicable, a
discussion of any penalty reduction for good faith;
8. A written narrative containing accurate and concise information about the employer
and the worksite;
9. Date the closing conference(s) was held and description of any unusual circumstances
encountered;
10. Any other relevant comments/information CSHOs believe may be helpful, based on
his/her professional judgment;
11. Names, Addresses and Phone Numbers of other persons contacted during the
inspection, such as the police, coroner, attorney, etc.;

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 12. Names and Job Titles of any individuals who accompanied the CSHO on the
inspection;
13. Calculation of the DART rate (at least three full calendar years and the current year);
14. Discussion clearly addressing all items on any applicable Complaint or Referral;
15. Type of Legal Entity [Indicate whether the employer is a corporation, partnership,
sole proprietorship, etc. (Do not use the word “owner.”) If the employer named is a
subsidiary of another firm, indicate that.]; and
16. Coverage Information.
C. Violation (OSHA-1B).
1. A separate Violation (OSHA-1B) should normally be completed for each alleged
violation. Describe the observed hazardous conditions or practices, including all
relevant facts, and all information pertaining to how and/or why a standard is
violated. Specifically identify the hazard to which employees have been or could be
exposed. Describe the type of injury or illness 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 potentially exposed. If employee exposure was not actually observed during the
inspection, state the facts on which the determination was made (i.e., tools left inside
an unprotected trench) that an employee has been or could have been exposed to a
safety or health hazard.
2. The following information shall be documented:
a. Explanation of the hazard(s), hazardous workplace condition(s) or practice(s);
b. Identification of the machinery or equipment (such as equipment type,
manufacturer, model number, serial number);
c. Specific location of the hazard and employee exposure to the hazard;
d. Injury or illness likely to result from exposure to the hazard;
e. Employee proximity to the hazard and specific measurements taken, (describe
how measurements were taken, identify the measuring techniques and equipment
used, identify those who were present and observed the measurements being
made, include calibration dates of equipment used);
f. For contaminants and physical agents, any additional facts that clarify the nature
of employee exposure. A representative number of Material Safety Data Sheets
(MSDSs)/Safety Data Sheets (SDSs) should be collected for hazardous chemicals
that employees may potentially be exposed to;
g. Names, addresses, phone numbers, and job titles for exposed employees;
h. Approximate duration of time the hazard has existed and frequency of exposure
to the hazard;
i. Employer knowledge;
j. Any and all facts which establish that the employer actually knew of the
hazardous condition, or what reasonable steps the employer failed to take
(including regular inspections of the worksite) that could have revealed the
presence of the hazardous condition. The mere presence of the employer in the
workplace is not sufficient evidence of knowledge. There must be evidence that
demonstrates why the employer reasonably could have recognized the presence
of the hazardous condition. Avoid relying on conclusory statements such as

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 “reasonable diligence” to establish employer knowledge. See Chapter 4, Section
II.C.4., Knowledge of the Hazardous Condition, for additional information.
 In order to establish that a violation may be potentially classified as
willful, facts shall be documented to show either that the employer knew
of the applicable legal requirements and intentionally violated them or
that the employer showed plain indifference to employee safety or health
(See Chapter 4, Section V, Willful Violations). For example, document
facts that the employer knew that the condition existed and that the
employer was required to take additional steps to abate the hazard. Such
evidence could include prior OSHA citations, previous warnings by a
CSHO, insurance company or city/state inspector regarding the
requirements of the standard(s), the employer’s familiarity with the
standard(s), contract specifications requiring compliance with applicable
standards, or warnings by employees or employee safety representatives
of the presence of a hazardous condition or practice and what protections
are required by OSHA standards.
 Also include facts showing that even if the employer was not consciously
or intentionally violating the Act, the employer acted with such plain
indifference for employee safety that had the employer known of the
standard, it probably would not have complied anyway. This type of
evidence would include instances where an employer was aware of an
employee exposure to an obviously hazardous condition(s) or practice(s)
and made no reasonable effort to eliminate it.
 Any relevant comments made by the employer or employee during the
walkaround or closing conference, including any employer comments
regarding why it violated the standard, which may be characterized as
admissions of the specific violations described; and
 Include any other facts, which may assist in evaluating the situation or in
reconstructing the total inspection picture in preparation for testimony in
possible legal actions.
k. Appropriate and consistent abatement dates should be assigned and documented
for abatement periods longer than 30 days. The abatement period shall be the
shortest interval within which the employer can reasonably be expected to correct
the violation. An abatement period should be indicated in the citation as a
specific date, not a number of days. When abatement is witnessed by the CSHO
during an inspection, the abatement period shall be listed on the citation as
“Corrected During Inspection.”
l. The establishment of the shortest practicable abatement date requires the exercise
of professional judgment on the part of the CSHO. Abatement periods exceeding
30 days shall not normally be offered, particularly for simple safety violations.
Situations may arise, however, especially for complex health or program
violations, where abatement cannot be completed within 30 days (e.g., ventilation
equipment needs to be installed, new parts or equipment need to be ordered,
delivered and installed or a process hazard analysis needs to be performed as part
of a PSM program). When an initial abatement date is granted that is in excess of
30 calendar days, the reason should be documented in the case file.
3. Records obtained during the course of the inspection which the CSHO determines are
necessary to support the violations.

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 4. For violations classified as repeated, the file shall include a copy of the previous
citation(s) on which the repeat classification is based and documentation of the final
order date of the original citation.

III. Inspection Conducted But No Citations Issued.

For inspections that do not result in citations being issued, a lesser amount of documentation
may be included in the case file. At a minimum, the case file shall include the Inspection
(OSHA-1), the Narrative (OSHA-1A), and a general narrative/statement that at the time of the
inspection no conditions were observed in violation of any standard, and a complaint/referral
response letter, if appropriate shall clearly address all of the item(s).

IV. No Inspection.
For “No Inspections,” the CSHO shall include in the case file an Inspection (OSHA-1), which
indicates the reason why no inspection was conducted. If there was a denial of entry, the
information necessary to obtain a warrant or an explanation of why a warrant is not being
sought shall be included. The case file shall also include a complaint/referral response letter,
if appropriate, which explains why an inspection was not conducted.

V. Health Inspections.
A. Document Potential Exposure.
In addition to the documentation indicated above, CSHOs shall document all relevant
information concerning potential exposure(s) to chemical substances or physical agents
(including, as appropriate, collection and evaluation of applicable MSDSs/SDSs), such as
symptoms experienced by employees, duration and frequency of exposures to the hazard,
employee interviews, sources of potential health hazards, types of engineering or
administrative controls implemented by the employer, and personal protective equipment
being provided by the employer and used by employees.
B. Employer’s Occupational Safety and Health System.
CSHOs shall request and evaluate information on the following aspects of the employer’s
occupational safety and health system as it relates to the scope of the inspection:
1. Monitoring.
The employer’s system for monitoring safety and health hazards in the establishment
should include a program for self-inspection. CSHOs shall discuss the employer’s
maintenance schedules and inspection records. Additional information shall be
obtained concerning activities such as sampling and calibration procedures,
ventilation measurements, preventive maintenance procedures for engineering
controls, and laboratory services. Compliance with the monitoring requirements of
any applicable substance-specific health standards shall be determined.
2. Medical.
CSHOs shall determine whether the employer provides the employees with pre-
placement and periodic medical examinations. The medical examination protocol
shall be requested to determine the extent of the medical examinations and, if
applicable, compliance with the medical surveillance requirements of any applicable
substance-specific health standards.
3. Records Program.

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 CSHOs shall determine the extent of the employer’s records program, such as
whether records pertaining to employee exposure and medical records are being
maintained in accordance with §1910.1020.
4. Engineering Controls.
CSHOs shall identify any engineering controls present, including substitution,
isolation, general dilution and local exhaust ventilation, and equipment modification.
5. Work Practice and Administrative Controls.
CSHOs shall identify any control techniques, including personal hygiene,
housekeeping practices, employee job rotation, employee training and education.
Rotation of employees as an administrative control requires employer knowledge of
the extent and duration of exposure.
NOTE: Employee rotation is not permitted as a control under some standards.
6. Personal Protective Equipment.
An effective personal protective equipment program should exist for the worksite. A
detailed evaluation of the program shall be documented to determine compliance with
specific standards, such as, §1910.95, §1910.134, and §1910.132.
7. Regulated Areas.
CSHOs shall investigate compliance with the requirements for regulated areas as
specified by certain standards. Regulated areas must be clearly identified and known
to all appropriate employees. The regulated area designation must be maintained
according to the prescribed criteria of the applicable standard.
8. Emergency Action Plan.
CSHOs shall evaluate the employer’s emergency action plan when such a plan is
required by a specific standard. When standards provide that specific emergency
procedures be developed where certain hazardous substances are handled, CSHOs
evaluation shall determine if: potential emergency conditions are included in the
written plan, emergency conditions are explained to employees and there is a training
program for the protection of affected employees, including use and maintenance of
personal protective equipment.

VI. Affirmative Defenses.

An affirmative defense is a claim which, if established by the employer and found to exist by
the CSHO, will excuse the employer from a citation that has otherwise been documented.
A. Burden of Proof.
Although employers have the burden of proving any affirmative defenses at the time of a
hearing, CSHOs must anticipate when an employer is likely to raise an argument
supporting such a defense. CSHOs shall keep in mind all potential affirmative defenses
and attempt to gather contrary evidence, particularly when an employer makes an
assertion that would indicate raising a defense/excuse against the violation(s). CSHOs
shall bring all documentation of hazards and facts related to possible affirmative defenses
to the attention of the Area Director or designee.
B. Explanations.
The following are explanations of common affirmative defenses.
1. Unpreventable Employee or Supervisory Misconduct or “Isolated Event.”
a. To establish this defense in most jurisdictions, employers must show all the
following elements:
 A work rule adequate to prevent the violation;
 Effective communication of the rule to employees;

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  Methods for discovering violations of work rules; and
 Effective enforcement of rules when violations are discovered.
b. CSHOs shall document whether these elements are present, including if the work
rule at issue tracks the requirements of the standard addressing the hazardous
condition.
EXAMPLE 5-1: An unguarded table saw is observed. The saw, however, has
a guard which is reattached while the CSHO watches. Facts to be documented
include:
 Who removed the guard and why?
 Did the employer know that the guard had been removed?
 How long or how often had the saw been used without the guard?
 Were there any supervisors in the area while the saw was operated
without a guard?
 Did the employer have a work rule that the saw only be operated with the
guard on?
 How was the work rule communicated to employees?
 Did the employer monitor compliance with the rule?
 How was the work rule enforced by the employer when it found
noncompliance?
2. Impossibility/Infeasibility of Compliance.
Compliance with the requirements of a standard is impossible or would prevent
performance of required work and the employer took reasonable alternative steps
to protect employees or there are no alternative means of employee protection
available.
EXAMPLE 5-2: An unguarded table saw is observed. The employer states that a
guard would interfere with the nature of the work. Facts to be documented include:
 Would a guard make performance of the work impossible or merely more
difficult?
 Could a guard be used some of the time or for some of the operations?
 Has the employer attempted to use a guard?
 Has the employer considered any alternative means of avoiding or reducing
the hazard?
3. Greater Hazard.
Compliance with a standard would result in a greater hazard(s) to employees than
would noncompliance and the employer took reasonable alternative protective
measures, or there are no alternative means of employee protection. Additionally, an
application for a variance would be inappropriate.
EXAMPLE 5-3: The employer indicates that a saw guard had been removed
because it caused the operator to be struck in the face by particles thrown from the
saw. Facts to be documented include:
 Was the guard initially properly installed and used?
 Would a different type of guard eliminate the problem?
 How often was the operator struck by particles and what kind of injuries
resulted?
 Would personal protective equipment such as safety glasses or a face shield
worn by the employee solve the problem?
 Was the operator’s work practice causing the problem and did the employer
attempt to correct the problem?
 Was a variance requested?
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VII. Interview Statements.
A. Generally.
Interview statements of employees or other individuals shall be obtained to adequately
document a potential violation. Statements shall normally be in writing and the
individual shall be encouraged to sign and date the statement. During management
interviews, CSHOs are encouraged to take verbatim, contemporaneous notes whenever
possible as these tend to be more credible than later general recollections.
B. CSHOs shall obtain written statements when:
1. There is an actual or potential controversy as to any material facts concerning a
violation;
2. A conflict or difference among employee statements as to the facts arises;
3. There is a potential willful or repeated violation; and
4. In accident investigations, when attempting to determine if potential violations
existed at the time of the accident.
C. Language and Wording of Statement.
Interview statements shall normally be written in the first person and in the language of
the individual when feasible. (Statements taken in a language other than English shall be
subsequently translated.) The wording of the statement shall be understandable to the
individual and reflect only the information that has been brought out in the interview.
The individual shall initial any changes or corrections to the statement; otherwise, the
statement shall not be modified, added to, or altered in any way. The statement shall end
with the wording: “I have read the above, or the statement has been read to me, and it is
true to the best of my knowledge.” Where appropriate, the statement shall also include
the following: “I request that my statement be held confidential to the extent allowed by
law.” Only the individual interviewed may later waive the confidentiality of the
statement. The individual shall sign and date the interview statement and the CSHO shall
sign it as a witness.
D. Refusal to Sign Statement.
If the individual refuses to sign the statement, the CSHO shall note such refusal on the
statement. Statements shall be read to the individual and an attempt made to obtain an
agreement. A note to this effect shall be documented in the case file. Recorded
statements shall be transcribed whenever possible.
E. Video and Audiotaped Statements.
Interview statements may be videotaped or audiotaped, with the consent of the person
being interviewed. The statement shall be reduced to writing in egregious,
fatality/catastrophe, willful, repeated, failure to abate, and other significant cases, so that
it may be signed. CSHOs are encouraged to produce the written statement for correction
and signature as soon as possible, and identify the transcriber.
F. Administrative Depositions.
When necessary to document or develop investigative facts, a management official or
other individual may be administratively deposed.
NOTE: See Chapter 3, Section VII.I.4., Interviews of Non-Managerial Employees, for
additional guidance regarding interviews of non-managerial employees.

VIII. Paperwork and Written Program Requirements.

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 In certain cases, violations of standards requiring employers to have a written program to
address a hazard or make a written certification (e. g., hazard communication, personal
protective equipment, permit required confined spaces and others) are considered paperwork
deficiencies. However, in some circumstances, violations of such standards may have an
adverse impact on employee safety and health. See CPL 02-00-111, Citation Policy for
Paperwork and Written Program Requirement Violations.

IX. Guidelines for Case File Documentation for Use with Videotapes and Audiotapes.
The use of videotaping as a method of documenting violations and of gathering evidence for
inspection case files is encouraged. Certain types of inspections, such as fatalities, imminent
danger and ergonomics shall include videotaping. Other methods of documentation, such as
handwritten notes, audiotaping, and photographs, continue to be acceptable and are
encouraged to be used whenever they add to the quality of the evidence and whenever
videotaping equipment is not available. See CPL 02-00-098, Guidelines for Case File
Documentation for use with Videotapes and Audiotapes, dated October 12, 1993.

X. Case File Activity Diary Sheet.

All case files shall contain an activity diary sheet, which is designed to provide a ready
record and summary of all actions relating to a case. It will be used to document important
events or actions related to the case, especially those not noted elsewhere in the case file.
Diary entries should be clear, concise and legible and should be dated in chronological order
to reflect a timeline of the case development. Information provided should include, at a
minimum, the date of the action or event, a brief description of the action or event and the
initials of the person making the entry. When a case file is completed, the CSHO must
ensure that it is properly organized. See ADM 03-01-005, OSHA Compliance Records, dated
August 3, 1998.

XI. Citations.
Section 9 of the OSH Act addresses the form and issuance of citations.
Section 9(a) provides: “…Each citation shall be in writing and shall describe with
particularity the nature of the violation including a reference to the provision of the Act,
standard, rule, regulation, or order alleged to have been violated. In addition, the citation
shall fix a reasonable time for the abatement of the violation….”
A. Statute of Limitations.
Section 9(c) provides. “…No citation may be issued under this Section after the
expiration of six months following the occurrence of any violation.” Accordingly, a
citation shall not be issued where any alleged violation last occurred six months or more
prior to the date on which the citation is actually signed, dated and served by certified
mail as provided by Section 10(a) of the Act. Where the actions or omissions of the
employer concealed the existence of the violation, the six-month issuance limitation is
tolled until such time that OSHA learns or could have learned of the violation. The
RSOL shall be consulted in such cases. In some cases, particularly those involving
fatalities or accidents, the six-month period begins to run from the date of the incident,
not from the opening conference date.
B. Issuing Citations.
1. Citations shall be sent by certified mail. Hand delivery of citations to the employer
or an appropriate agent of the employer, or use of a mail delivery service other than

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 the United States Postal Service, may be used in addition to certified mail if it is
believed that these methods would effectively give the employer notice of the
citation. A signed receipt shall be obtained whenever possible. The circumstances of
delivery shall be documented in the diary sheet.
2. Citations shall be mailed to employee representatives after the certified mail receipt
card is received by the Area Office. Citations shall also be mailed to any employee
upon request and without the need to make a written request under the Freedom of
Information Act (FOIA). In the case of a fatality, the family of the victim shall be
provided with a copy of the citations without charge or the need to make a written
request.
C. Amending/Withdrawing Citations and Notification of Penalties.
1. Amendments/Withdrawal Justification.
Amendments to, or withdrawal of, a citation shall be made when information is
presented to the Area Director or designee, which indicates a need for such action and
may include administrative or technical errors such as:
a. Citation of an incorrect standard;
b. Incorrect or incomplete description of the alleged violation;
c. Additional facts not available to the CSHO at the time of the inspection establish
a valid affirmative defense;
d. Additional facts not available to the CSHO at the time of the inspection establish
that there was no employee exposure to the hazard; or
e. Additional facts establish a need for modification of the abatement date or the
penalty, or reclassification of citation items.
2. When Amendments/Withdrawal is not Appropriate.
Amendments to, or withdrawal of, a citation shall not be made by the Area Director
or designee for any of the following:
a. Timely Notice of Contest received;
b. The 15 working days for filing a Notice of Contest has expired and the citation
has become a Final Order; or
c. Employee representatives were not given the opportunity to present their views
(unless the revision involves only an administrative or technical error).
D. Procedures for Amending or Withdrawing Citations.
The following procedures apply whenever amending or withdrawing citations.
NOTE: The instructions contained in this section, with appropriate modifications, are
also applicable to the amendment of the Notification of Failure to Abate Alleged
Violation (OSHA-2B).
1. Withdrawal of, or modifications to the Citation and Notification of Penalty (OSHA-
2), shall normally be accomplished by means of Informal or Formal Settlement
Agreements.
2. In exceptional circumstances, the Area Director or designee may initiate a change to a
Citation and Notification of Penalty (OSHA-2) without an informal conference. If
proposed amendments to citation items (individual violations) change the original
classification of the items, such as willful to repeated, the original items shall be
withdrawn and the new, appropriate items will be issued. The amended Citation and
Notification of Penalty (OSHA-2) shall clearly indicate that the employer is obligated
under the Act to post the amendment to the citation along with the original citation,
until the amended violation has been corrected, or for three working days, whichever
is longer.

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 3. The 15 working day contest period for the amended portions of the citation will begin
on the day following the day of receipt of the amended Citation and Notification of
Penalty (OSHA-2).
4. The contest period is not extended for the un-amended portions of the original
citation. A copy of the original citation shall be attached to the amended Citation and
Notification of Penalty (OSHA-2), when the amended form is forwarded to the
employer.
5. When circumstances warrant, the Area Director or designee may withdraw a Citation
and Notification of Penalty (OSHA-2) in its entirety. Justification for the withdrawal
must be noted in the case file. A letter withdrawing the Citation and Notification of
Penalty (OSHA-2) shall be sent to the employer. The letter, signed by the Area
Director or designee, shall refer to the original Citation and Notification of Penalty
(OSHA-2), state that they are withdrawn and direct that the employer post the letter
for three working days in the same location(s) where the original citation was posted.
When applicable, a copy of the letter shall also be sent to the employee
representative(s) and/or complainant.

XII. Inspection Records.

A. Generally.
1. Inspection records are any record made by a CSHO that concern, relate to, or are part
of, any inspection, or are a part of the performance of any official duty.
2. All official forms and notes constituting the basic documentation of a case must be
part of the case file. All original field notes are part of the inspection record and shall
be maintained in the file. Inspection records also include photographs (including
digital photographs), negatives of photographs, videotapes, DVDs and audiotapes.
Inspection records are the property of the United States Government and not the
property of the CSHO, and are not to be retained or used for any private purpose.
B. Release of Inspection Information.
The information obtained during inspections is confidential, but may be disclosable or
non-disclosable based on criteria established in the Freedom of Information Act.
Requests for release of inspection information shall be directed to the Area director or
designee.
C. Classified and Trade Secret Information.
1. Any classified or trade secret information and/or personal knowledge of such
information by agency personnel shall be handled in accordance with OSHA
regulations. Trade Secrets are matters that are not of public or general knowledge. A
trade secret, as referenced in Section 15 of the Act, includes information concerning
or related to processes, operations, style of work, or apparatus, or to the identity,
confidential statistical data, amount or source of any income, profits, losses, or
expenditures of any person, firm, partnership, corporation, or association. See 18
USC 1905. The collection of such information and the number of personnel with
access to it shall be limited to the minimum necessary for the conduct of investigative
activities. CSHOs shall specifically identify any classified and trade secret
information in the case file. Title 18 USC 1905, as referenced by Section 15 of the
OSH Act, provides for criminal penalties in the event of improper disclosure.
2. It is essential to the effective enforcement of the OSH Act that CSHOs and all OSHA
personnel preserve the confidentiality of all information and investigations which
might reveal a trade secret. When the employer identifies an operation or condition

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 as a trade secret, it shall be treated as such (unless, after following proper procedures,
including consulting with the Solicitor’s Office, the agency determines that the matter
is not a trade secret). Information obtained in such areas, including all negatives,
photographs, videotapes and documentation forms shall be labeled:
“ADMINISTRATIVELY CONTROLLED INFORMATION”
“RESTRICTED TRADE INFORMATION”
3. Under Section 15 of the OSH Act, all information reported to or obtained by CSHOs
in connection with any inspection or other activity which contains or may 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 OSH Act or, when
relevant, in any proceeding under the OSH Act.
4. Title 18 USC 1905, provides criminal penalties for Federal employees who disclose
such information. These penalties include fines up to $1,000 or imprisonment up to
one year, or both, and removal from office or employment.
5. 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.
6. If the employer objects to the taking of photographs and/or videotapes because trade
secrets would or may be disclosed, CSHOs should advise employers of the protection
against such disclosure afforded by Section 15 of the OSH Act and §1903.9. If the
employer still objects, CSHOs shall contact the RSOLs office, Area Director or
designee for guidance.

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 Chapter 6

PENALTIES AND DEBT COLLECTION

I. General Penalty Policy.
The penalty structure in Section 17 of the OSH Act is designed primarily to provide an
incentive for preventing or correcting violations voluntarily, not only to the cited employer,
but to other employers. While penalties are not intended as punishment for violations,
Congress has made clear that penalty amounts should be sufficient to serve as a deterrent to
violations. Proposed penalties, therefore, serve the Act’s intent and criteria approved for
such penalties by the Assistant Secretary effectuates this purpose.
The penalty structure described in this chapter is part of OSHA’s general enforcement
policy and shall normally be applied as set forth below. An Area Director may exercise
discretion to depart from the penalty policy in cases where penalty adjustments do not
advance the deterrent goal of the Act. The exercise of such discretion means that none of the
penalty adjustments may be applied.
A decision not to apply the penalty adjustments should normally be based on consideration
of one or more of the factors listed below. However, this list is not intended to be exhaustive.
If the decision not to apply the penalty adjustments is based on a consideration other than the
factors listed below, the decision must be fully explained in the case file and approved by the
Regional Administrator or his/her designee. The factors to be considered include:
 The employer is currently on the Severe Violator Enforcement List (SVEP);
 The proposed citations meet the requirements for inclusion in SVEP;
 The proposed citations are related to a fatality/catastrophe;
 The proposed failure to abate notification is based on a previous citation for which
the employer failed to submit abatement verification;
 The employer has received a willful or repeat violation within the past five years
related to a fatality;
 The employer has been referred to debt collection for past unpaid OSHA penalties;
 The employer has numerous recordkeeping violations related to a large number or
rate of injuries and illnesses at the establishment; or
 The employer has failed to report a fatality, inpatient hospitalization, amputation, or
loss of an eye pursuant to the requirements of 29 CFR 1904.39.

II. Civil Penalties.

A. Authority for Civil Penalties.
Section 17 of the Act, as amended by the Federal Civil Penalties Inflation Adjustment
Act Improvements Act of 2015, Pub. L. 114-74, § 701 (“Inflation Adjustment Act”),
provides the Secretary with the statutory authority to propose civil penalties for
violations. Civil penalties advance the purposes of the Act by encouraging compliance
and deterring violations. Proposed penalties are the penalty amounts OSHA issues with
citation(s).

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 1. Section 17(a) of the Act provides that any employer who willfully or repeatedly
violates the Act may be assessed a civil penalty of not more than $124,709 for each
violation, but not less than $8,908 for each willful violation.
2. Section 17(b) provides that any employer who has received a citation for a serious
violation shall be assessed a civil penalty of up to $12,471 for each violation.
3. 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 $12,471 may be assessed for each
violation.
4. Section 17(d) provides that any employer who fails to correct a violation for which a
citation has been issued, may be assessed a civil penalty of not more than $12,471 for
each day during which such failure or violation continues.
5. Section 17(i) provides that, when a violation of a posting requirement is cited, a civil
penalty of up to $12,471 shall be assessed for each violation.
NOTE: While OSHA proposes penalties, the Occupational Safety and Health Review
Commission assesses penalties.
B. Appropriation Act Restrictions.
In providing funding for OSHA, Congress has placed restrictions on enforcement
activities regarding two categories of employers: small farming operations and small
employers in low-hazard industries. The Appropriations Act contains limits for OSH Act
activities on a year-by-year basis.
NOTE: See CPL 02-00-051, Enforcement Exemptions and Limitations under the
Appropriations Act, issued May 28, 1998, for additional information. Appendix A of that
directive contains the list of low-hazard industries, which is updated annually.
C. Minimum Penalties.
The following policies apply:
1. The proposed penalty for any willful violation shall not be less than $8,908. The
$8,908 penalty is a statutory minimum and not subject to administrative discretion.
This minimum penalty applies to all willful violations, whether serious or other-than-
serious.
2. When the proposed penalty for a serious violation (citation item) would amount to
less than $891, an $891 penalty shall be proposed for that violation.
3. When the proposed penalty for an other-than-serious violation (citation item), or a
regulatory violation other than a posting violation, would amount to less than $100,
no penalty shall be proposed for that violation.
4. When the proposed penalty for a posting violation (citation item) would amount to
less than $250, a $250 penalty shall be proposed for that violation, if the company
was previously provided a poster by OSHA.
D. Maximum Penalties.
The civil penalty amounts included in Section 17 are generally maximum amounts before
any permissible reductions are taken.
Table 6-1 below summarizes the maximum amounts for proposed civil penalties:

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 Table 6-1: Maximum Amounts for Civil Penalties
Type of Violation Penalty Maximum
Serious $12,471 per violation
Other-Than-Serious $12,471 per violation
Willful or Repeated $124,709 per violation
Posting Requirements $12,471 per violation
$12,471 per day unabated beyond the abatement
Failure to Abate
date [generally limited to 30 days maximum]

III. Penalty Factors.

Section 17(j) of the Act provides that penalties shall be assessed giving due consideration to
four factors:
 The gravity of the violation;
 Size of the employer’s business;
 The good faith of the employer; and
 The employer’s history of previous violations.
A. 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 serious and other-than-
serious violations. To determine the gravity of a violation, the following two assessments
shall be made:
 The severity of the injury or illness which could result from the alleged violation.
 The probability that an injury or illness could occur as a result of the alleged
violation.
1. Severity Assessment.
The first step in the classification of an alleged violation, as serious or other-than-
serious, is based on the severity of the potential injury or illness. The following
categories shall be considered in assessing the severity of potential injuries or
illnesses:
a. Serious:
 High Severity: Death from injury or illness; injuries involving permanent
disability; or chronic, irreversible illnesses.
 Medium Severity: Injuries or temporary, reversible illnesses resulting in
hospitalization for a variable but limited period of disability.
 Low Severity: Injuries or temporary, reversible illnesses not resulting in
hospitalization and requiring only minor supportive treatment.
b. For Other-Than-Serious:
 Minimal Severity: Although such violations reflect conditions which have a
direct and immediate relationship to the safety and health of employees, the
most serious injury or illness that could reasonably be expected to result from
an employee’s exposure would not be low, medium or high severity and
would not cause death or serious physical harm.

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2. Probability Assessment.
The probability that an injury or illness will result from a hazard has no role in
determining the classification of a violation, but does affect the amount of the
proposed penalty.
a. Probability shall be categorized either as greater or as lesser.
 Greater Probability: Results when the likelihood that an injury or illness will
occur is judged to be relatively high.
 Lesser Probability: Results when the likelihood that an injury or illness will
occur is judged to be relatively low.
b. How to Determine Probability.
The following factors shall be considered, as appropriate, when violations are
likely to result in injury or illness:
 Number of employees exposed;
 Frequency and duration of employee exposure to hazardous conditions,
including overexposures to contaminants;
 Employee proximity to the hazardous conditions;
 Use of appropriate personal protective equipment;
 Medical surveillance program;
 Age of employees;
 Training on the recognition and avoidance of the hazardous condition;
 Other pertinent working conditions.
EXAMPLE 6-1: Greater probability may include an employee exposed to the
identified hazard for four hours a day, five days a week. Where an employee has
performed a non-routine task with exposures one or two times a year and no
injuries or illnesses can be attributed to the hazard, a lesser probability may apply.
c. Final Probability Assessment.
All the factors outlined above shall be considered in determining a final
probability assessment.
When adherence to the probability assessment procedures would result in an
unreasonably high or low gravity, the assessment may be adjusted at the
discretion of the Area Director as appropriate. Such decisions shall be fully
explained in the case file.
3. Gravity-Based Penalty (GBP).
a. The gravity-based penalty (GBP) for each violation shall be determined by
combining the severity assessment and the final probability assessment.
b. GBP is an unreduced penalty and is calculated in accordance with the procedures
below.
4. Serious Violation & GBP.
a. The gravity of a violation is defined by the GBP:
 A high gravity violation is one with a GBP of $12,471.
 A moderate gravity violation is one with a GBP ranging from $7,126 to
$10,689.
 A low gravity violation is one with a GBP of $5,345.

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 b. The highest gravity classification (high severity and greater probability) shall
normally be reserved for the most serious violative conditions, such as those
situations involving danger of death or extremely serious injury or illness.
c. If the Area Director determines that it is appropriate to achieve the necessary
deterrent effect, a GBP of $12,471 may be proposed instead of $8,908. Such
discretion should be exercised based on the facts of the case. The reasons for this
determination shall be fully explained in the case file.
d. For serious violations, the GBP shall be assigned on the basis of the following
scale in Table 6-2:
 Severity + Probability = GBP
Table 6-2: Serious Violations
Severity Probability GBP Gravity OIS Code
High Greater $12,471 High 10
Medium Greater $10,689 Moderate 5
Low Greater $8,908 Moderate 5
High Lesser $8,908 Moderate 5
Medium Lesser $7,126 Moderate 5
Low Lesser $5,345 Low 1

5. Other-Than-Serious Violations & GBP.

a. For other-than-serious safety and health violations, there is only minimal severity.
b. If the Area Director determines that it is appropriate to achieve the necessary
deterrent effect, a GBP of $12,471 may be proposed. Such discretion should be
exercised based on the facts of the specific case. The reasons for this determination
shall be fully explained in the case file.
Table 6-3: Other-Than-Serious Violations
Severity Probability GBP
Minimal Greater $1,000 - $12,471
Minimal Lesser $0

6. Exception to GBP Calculations.

For some cases, a GBP may be assigned without using the severity and the
probability assessment procedures outlined in this section when these procedures
cannot appropriately be used. In such cases, the assessment assigned and the reasons
for doing so shall be fully explained in the case file.
7. Egregious Cases.
In egregious cases, violation-by-violation penalties are applied. Such cases shall be
handled in accordance with CPL 02-00-080, Handling of Cases to be Proposed for
Violation-By-Violation Penalties, dated October 21, 1990. Penalties calculated under
this policy shall not be proposed without the concurrence of the Assistant Secretary
and the National Office of the Solicitor (NSOL).
8. Gravity Calculations for Combined or Grouped Violations.

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 Combined or grouped violations will be considered as one violation with one GBP.
The following procedures apply to the calculation of penalties for combined and
grouped violations:
NOTE: Multiple violations of a single standard may be combined into one citation
item. When a hazard is identified which involves interrelated violations of different
standards, the violations may be grouped into a single item.
a. Combined Violations.
The severity and probability assessments for combined violations shall be based
on the instance with the highest gravity. It is not necessary to complete the
penalty calculations for each instance or sub item of a combined or grouped
violation once the instance with the highest gravity is identified.
b. Grouped Violations.
The following shall be adhered to:
 Grouped Severity Assessment.
There are two considerations for calculating the severity of grouped
violations:
o The severity assigned to the grouped violation shall be no less than the
severity of the most serious reasonably predictable injury or illness that
could result from the violation of any single item; AND
o If the injury or illness that is reasonably predictable from the grouped
items is more serious than that from any single violation item, the more
serious injury or illness shall serve as the basis for the calculation of the
severity factor.
 Grouped Probability Assessment.
There are two factors for calculating the probability of grouped violations:
o The probability assigned to the grouped violation shall be no less than the
probability of the item which is most likely to result in an injury or
illness; AND
o If the overall probability of injury or illness is greater with the grouped
violation than with any single violation item, the greater probability of
injury or illness shall serve as the basis for the calculation of the
probability assessment.
B. Penalty Adjustment Factors.
1. General.
a. Penalty adjustments will vary depending upon the employer’s “size” (maximum
number of employees), “good faith,” and “history of previous violations.”
 A 10 percent reduction may be given for history.
 A maximum of 25 percent reduction is permitted for good faith; and
 A maximum of 70 percent reduction is permitted for size;
b. Since these reduction factors are based on the general character of an employer’s
safety and health performance, they shall be calculated once for each employer.
c. After the classification (as serious or other-than-serious) and the gravity-based
penalty have been determined for each violation, the penalty reduction factors
(for size, good faith, history) shall be applied subject to the following limitations:

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  Penalties proposed for violations classified as repeated shall be reduced only
for size.
 Penalties proposed for violations classified as willful, shall be reduced only
for size and history.
 Penalties proposed for serious violations classified as high severity/greater
probability shall be reduced only for size and history.
2. History Adjustment.
a. Allowable Percent Reduction.
A reduction of 10 percent shall be given to employers who have been inspected
by OSHA nationwide, or by any State Plan State in the previous five years, and
the employers were found to be in compliance or were not issued serious
violations.
b. Allowable Percent Increase.
An increase of 10 percent shall be applied to employers who have been issued
citations that have become a final order within the past five years. The penalty
shall not exceed the statutory maximum.
c. No Reduction or Increase.
 To employers being cited under abatement verification for any §1903.19
violations.
 To employers who have not been inspected by Federal OSHA nationwide or
by any State Plan State within the last five years.
 To employers who have been issued citations that have become a final order
for serious violations within the last five years that were not classified as high
gravity.
NOTE: In summary, an employer who has been inspected by OSHA within the
previous five years and has no serious, willful, repeat, or failure-to-abate
violations will receive a 10% reduction for history.
d. Time Limitation and Final Order.
The five-year history of no prior citations (both Federal and state) shall be
calculated from the opening conference date of the current inspection. Only
citations that have become a final order of the Commission or final order of the
state’s adjudicative body within the five years before the opening conference date
shall be considered.
3. Good Faith Reduction.
a. No Allowable reduction for good faith. The following considerations apply to
situations in which no reductions for good faith should be applied:
 No reduction shall be given for high gravity serious violations.
 No reduction shall be given if a willful violation is found. Additionally,
where a willful violation has been documented, no reduction for good faith
can be applied to any of the violations found during the same inspection.
 No reduction shall be given for repeated violations. If a repeated violation is
found, no reduction for good faith can be applied to any of the violations
found during the same inspection.

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  No reduction shall be given if a failure to abate (FTA) violation is found
during an inspection. No good faith reduction shall be given for any violation
in the same inspection in which FTA was found.
 No reduction shall be given to employers being cited under abatement
verification for any §1903.19 violations.
 No reduction shall be given if the employer has no safety and health
management system, or if there are major deficiencies in the program.
 No reduction shall be given if the employer has failed to report a fatality,
inpatient hospitalization, amputation, or loss of an eye pursuant to the
requirements of 29 CFR 1904.39.
b. Allowable reductions for good faith. A penalty reduction is permitted in
recognition of an employer’s effort to implement an effective safety and health
management system in the workplace. The following apply to reductions for
good faith:
 Twenty-Five Percent Reduction.
A 25 percent reduction for “good faith” normally requires a written safety and
health management system. In exceptional cases, CSHOs may recommend a
full 25 percent reduction for employers with 1-25 employees who have
implemented an effective safety and health management system, but have not
documented it in writing.
To qualify for this reduction, the employer’s safety and health management
system must provide for:
 Appropriate management commitment and employee involvement;
 Worksite analysis for the purpose of hazard identification;
 Hazard prevention and control measures;
 Safety and health training; and
 Where young persons (i.e., less than 18 years old) are employed, the
CSHOs evaluation must consider whether the employer’s safety and
health management system appropriately addresses the particular needs of
such employees, relative to the types of work they perform and the
potential hazards to which they may be exposed.
 Where persons who speak limited or no English are employed, the
CSHOs evaluation must consider whether the employer’s safety and
health management system appropriately addresses the particular needs of
such employees, relative to the types of work they perform and the
potential hazards to which they may be exposed.
NOTE: An example of an effective safety and health management system
is given in Safety and Health Program Management Guidelines; Issuance of
Voluntary Guidelines (Federal Register, January 16, 1989 (54 FR 3904)).
 Fifteen Percent Reduction.
A 15 percent reduction for good faith shall normally be given if the employer
has a documented and effective safety and health management system, with
only incidental deficiencies.
EXAMPLE 6-2: An acceptable program should include minutes of
employee safety and health meetings, documented employee safety and

6-8
 health training sessions, or any other evidence of measures advancing safety
and health in the workplace.
4. Size Reduction.
a. A maximum penalty reduction of 70 percent is permitted for small employers.
“Size” of an employer shall be calculated on the basis of the maximum number of
employees for an employer at all workplaces nationwide, including State Plan
States, at any one time during the previous 12 months.
b. The rates of reduction to be applied are as follows.
Table 6-4: Size Reduction
Employees Percent Reduction
1-10 70
11-25 60
26-100 30
101-250 10
251 or more None

c. When an employer with 1-10 and 11-25 employees has one or more serious
violations of high gravity or a number of serious violations of moderate gravity
that demonstrates a lack of concern for, or indifference to, employee safety and
health, the CSHO may recommend that only a partial reduction in penalty shall
be permitted for size. If the Area Director approves the partial reduction, the
justification is to be fully explained in the case file.
NOTE: For violations that are not serious willful, use Table 6-4.
5. Penalty Adjustment Application.
The penalty adjustment shall be applied serially for each factor as follows: History,
Good Faith, Quick Fix and Size. The penalty adjustment factors will be applied
serially to the GBP (e.g., 10%, then 20%, etc., instead of 30%). The OSHA
Information System (OIS) will process the calculations automatically upon entering
the adjustment factors.
Table 6-5: Sample of Moderate Gravity Penalty Comparison
Summed versus Serial Calculation
Sample Data Summed Serially*
High/Lesser $8,908 $8,908
History (10%) $8,908 – 10% = $8,017
Good Faith (20%) $8,017 – 20% = $6,414
Quick Fix (15%) $6,414 – 15% = $5,452
Size (30%) 10% + 20% + 15% + 30% = 75% $5,452 – 30% = $3,816
Result $2,227 $3,816

IV. Effect on Penalties if Employer Immediately Corrects.

Appropriate penalties will be proposed for an alleged violation even though, after being
informed of the violation by the CSHO, the employer immediately corrects or initiates steps
to abate the hazard. In limited circumstances, this prompt abatement of a hazardous
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condition may be taken into account in determining the amount of the proposed penalties
under the Quick-Fix penalty reduction.
A. Quick-Fix Penalty Reduction.
Quick-Fix is an abatement incentive program, meant to encourage employers to
immediately abate hazards found during an OSHA inspection and quickly to prevent
potential employee injury, illness, and death. Quick-Fix does not apply to all violations.
B. Quick-Fix Reduction Shall Apply to:
1. All general industry, construction, maritime and agriculture employers.
2. All sizes of employers in all Standard Industrial Classification (SIC) codes and North
American Industry Classification System (NAICS) codes.
3. Both safety and health violations, provided that the hazards are immediately abated
during the inspection (e.g., on the day the CSHO pointed out the hazard to the
employer, or within 24 hours of being discovered by the CSHO).
4. Violations classified as “other-than-serious”, “low gravity serious” or “moderate
gravity serious.”
5. Individual violations, i.e., not to the citation or penalty as a whole.
6. Corrective actions that are permanent and substantial, not temporary or cosmetic
(e.g., installing a guard on a machine rather than removing an employee from the
zone of danger).
C. Quick-Fix Reductions Shall Not Apply to:
1. Violations classified as “high gravity serious,” “willful,” “repeated,” or “failure-to-
abate.”
2. Violations related either to a fatal injury or illness, or to any incidents resulting in
serious injuries to employees.
3. Blatant violations that are easily corrected (e.g., turning on a ventilation system to
reduce employee exposure to a hazardous atmosphere, or putting on hard hats that are
readily available at the workplace).
D. Reduction Amount.
1. The adjustments to an individual violation’s GBP for history, good faith, quick fix
and size, will be applied, respectively. Table 6-6, below, provides an overview of the
program.
2. A Quick-Fix penalty reduction of 15 percent shall be applied after the adjustments for
history and good faith.

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 Table 6-6: Quick-Fix Penalty Reduction Factor
Reduction
Restrictions Application Percent Reduction Comments
Factor
Quick-Fix No Reduction  All general After the GBP has been No penalty
Factor for: industry, calculated the for a serious
 Violations construction, adjustments are made violation shall
classified as: maritime & for history, good faith, be less than
agriculture quick- fix and size. $891
- High gravity
employers The 15% Quick-Fix
serious
 All sizes of reduction is applied
- Willful after the adjustment
employers in
- Repeated all SIC/NAICS for history and good
- Failure to codes faith.
Abate penalty  Safety & health
 Violations violations,
related to a provided
fatal injury or hazards are
illness, or a immediately
serious incident abated during
resulting in the inspection
serious injuries  Violations
 Blatant classified as:
violations that - Other-than-
are easily serious
corrected
- Low gravity
serious
- Moderate
gravity
serious
 Only to
individual
violations
 Only to a
corrective
action that is
permanent and
substantial

V. Repeated Violations.
A. General.
1. Each repeated violation shall be evaluated as serious or other-than-serious, based on
current workplace conditions, and not on hazards found in the prior case.
2. A Gravity-Based Penalty (GBP) shall be calculated for repeated violations based on
facts noted during the current inspection.

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 3. Only the reduction factor for size, appropriate to the facts at the time of the re-
inspection, shall be applied.
NOTE: Section 17(a) of the Act provides that an employer who repeatedly violates
the Act may be assessed a civil penalty of not more than $124,709 for each violation.
B. Penalty Increase Factors for Repeated Violations.
The amount of any increase to a proposed penalty for repeated violations shall be
determined by the employer’s number of employees.
1. Small Employers.
For employers with 250 or fewer employees nationwide, the GBP shall be multiplied
by a factor of 2 for the first repeated violation and multiplied by 5 for the second
repeated violation. The GBP may be multiplied by 10 in cases where the Area
Director determines that it is necessary to achieve the deterrent effect. The reasons
for imposing a high multiplier factor shall be explained in the file.
2. Large Employers.
For employers with more than 250 employees nationwide, the GBP shall be
multiplied by a factor of 5 for the first repeated violation and, by 10 for the second
repeated violation.
C. Other-than-Serious, No Initial Penalty.
For a repeated other-than-serious violation that otherwise would have no initial penalty, a
GBP penalty of $356 shall be proposed for the first repeated violation, $891 for the
second repeated violation, and $1,782 for a third repetition.
NOTE: These penalties shall not be subject to the Penalty Increase factors as discussed
in Section V.B. of this chapter.
D. Regulatory Violations.
1. For calculating the GBP for regulatory violations, see Section III.A.5. and Section X.
2. For repeated instances of regulatory violations, the initial penalty (for the current
inspection) shall be multiplied by 2 for the first repeated violation and multiplied by 5
for the second repeated violation. If the Area Director determines that it is necessary
to achieve the proper deterrent effect, the initial penalty may be multiplied by 10.

VI. 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 $124,709 for each violation, but not less than $8,908
for each violation. See Minimum Penalties at Section II.C., of this chapter.
A. General.
1. Each willful violation shall be classified as serious or other-than-serious.
2. There shall be no reduction for good faith.
3. In no case shall the proposed penalty for a willful violation (serious or other-than-
serious) after reductions be less than $8,908.
B. Serious Willful Penalty Reductions.
The reduction factors for size for serious willful violations shall be applied as shown in
the following chart. This chart helps minimize the impact of large penalties for small
employers with 50 or fewer employees. However, in no case shall the proposed penalty
be less than the statutory minimum, i.e., $8,908 for these employers.
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 NOTE: For violations that are not serious willful, use Table 6-4.
Table 6-7: Serious Willful Penalty Reductions
Employees Percent reduction
10 or fewer 80
11-20 60
21-30 50
31-40 40
41-50 30
51-100 20
101-250 10
251 or more 0

 The reduction factor for history shall be applied.

 The proposed penalty shall then be determined from Table 6-8.

Table 6-8: Penalties to be Proposed for Serious Willful Violations

Total percent
Moderate
reduction for size High Gravity Low Gravity
Gravity
and/or history
0% $124,709 $106,890 $89,080
10% $112,238 $96,201 $80,172
20% $99,767 $85,512 $71,264
30% $87,296 $74,823 $62,356
40% $74,825 $64,134 $53,448
50% $62,355 $53,445 $44,540
60% $49,884 $42,756 $35,632
70% $37,413 $32,067 $26,724
80% $24,942 $21,378 $17,816
90% $12,471 $10,689 $8,908

C. Willful Regulatory Violations.

1. For calculating the GBP for regulatory violations, see Section III.A.5. and Section X.
for other-than-serious violations.
2. In the case of regulatory violations that are determined to be willful, the GBP penalty
shall be multiplied by 10. In no event shall the penalty, after reduction for size and
history, be less than $8,908.

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VII. Penalties for Failure to Abate.
A. General.
1. Failure to Abate penalties shall be proposed when:
a. A previous citation issued to an employer has become a final order of the
Commission; and
b. The condition, hazard or practice found upon re-inspection is the same for which
the employer was originally cited and has never been corrected by the employer
(i.e., the violation was continuous).
2. The citation must have become a final order of the Review Commission. Citations
become a final order of the Review Commission when the abatement date for that
item passes, provided that the employer has not filed a notice of contest prior to that
abatement date.
3. See Chapter 15, Legal Issues, for information on determining final order dates of
uncontested citations, settlements and Review Commission decisions.
B. Calculation of Additional Penalties.
1. Unabated Violations.
A GBP for unabated violations is to be calculated for failure to abate a serious or
other-than-serious violation on the basis of the facts noted upon re-inspection. This
recalculated GBP, however, shall not be less than that proposed for the item when
originally cited.
a. EXCEPTION: When the CSHO believes and documents in the case file that the
employer has made a good faith effort to correct the violation and had an
objective, reasonable belief that it was fully abated, the Area Director may reduce
or eliminate the daily proposed penalty.
b. For egregious cases see CPL 02-00-080, Handling of Cases to be Proposed for
Violation-By-Violation Penalties, dated October 21, 1990.
2. No Initial Proposed Penalty.
In instances where no penalty was initially proposed, an appropriate penalty shall be
determined after consulting with the Area Director. In no case shall the GBP be less
than $1,000 per day.
3. Size Only Permissible Reduction Factor.
Only the reduction factor for size based upon the circumstances noted during the re-
inspection shall be applied to arrive at the daily proposed penalty.
4. Daily Penalty Multiplier.
The daily proposed penalty shall be multiplied by the number of calendar days that
the violation has continued unabated, except as provided below:
a. The number of days unabated shall be counted from the day following the
abatement date specified in the citation or the final order. It will include all
calendar days between that date and the date of re-inspection, excluding the date
of re-inspection.
b. Normally the maximum total proposed penalty for failure to abate a particular
violation shall not exceed 30 times the amount of the daily proposed penalty.

6-14
 c. At the discretion of the Area Director, a lesser penalty may be proposed. The
reasoning for the lesser penalty shall be fully explained in the case file (e.g.,
achievement of an appropriate deterrent effect).
d. If a penalty in excess of the normal maximum amount of 30 times the amount of
the daily proposed penalty is deemed necessary by the Area Director to deter
continued non-abatement, the case shall be treated pursuant to the violation-by-
violation (egregious) penalty procedures established in CPL 02-00-080, Handling
of Cases to be Proposed for Violation-By-Violation Penalties, dated October 21,
1990.
C. Partial Abatement.
1. When a citation has been partially abated, the Area Director may authorize a
reduction of 25 to 75 percent of the proposed penalty calculated as outlined above.
2. When a violation consists of a number of instances and the follow-up inspection
reveals that only some instances of the violation have been corrected, the additional
daily proposed penalty shall take into consideration the extent of the abatement
efforts.
EXAMPLE 6-3: Where three out of five instances have been corrected, the daily
proposed penalty (calculated as outlined above, without regard to any partial
abatement) may be reduced by 60 percent.

VIII. Violation-by-Violation (Egregious) Penalty Policy.

A. Penalty Procedure.
Each instance of noncompliance shall be considered a separate violation with individual
proposed penalties for each violation. This procedure is known as the egregious or
violation-by-violation penalty procedure.
B. Case Handling.
Such cases shall be handled in accordance with CPL02-00-080, Handling of Cases to be
Proposed for Violation-By-Violation Penalties, dated October 21, 1990.
C. Calculation of Penalties.
Penalties calculated using the violation-by-violation policy shall not be proposed without
the concurrence of the Assistant Secretary.

IX. Significant Enforcement Actions.

A. Definition.
A significant enforcement action (a.k.a. significant case) is one that results from an
investigation in which the total proposed penalty is greater than or equal to $180,000 or
involves novel enforcement issues, including novel Federal Agency cases, regardless of
penalty. (See Memorandum on Novel Cases: Cancellation of December 20, 2012
Memorandum entitled “Clarification of September 27, 2012 Memo on Significant Case
Procedures,” dated September 4, 2013.) (Also, see Memorandum on Revised
Procedures for Significant and Novel Enforcement Cases, dated December 24, 2014.)
B. Multi-employer Worksites.
Several related inspections involving the same employer, or involving more than one
employer in the same location (such as multi-employer worksites) and submitted

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 together, may also be considered a significant enforcement action if the total aggregate
penalty is $180,000 or more.
C. Federal Agency Significant Cases.
For Federal Agencies, the action is considered significant if penalties of $180,000 or
more would have been applied if the agency were a private sector employer.
1. Significant Federal Agency cases shall be developed, documented, and reviewed with
the same rigor required for private sector cases.
2. In addition, Notices of Unsafe or Unhealthful Working Conditions in Federal Agency
cases shall be issued no later than six months from the date of the opening
conference, thereby, paralleling the six-month statutory limit in private sector cases
set by the OSH Act.
D. Assistant Secretary Concurrence.
The Assistant Secretary’s concurrence is normally required prior to issuing citations
related to significant enforcement cases resulting in penalties greater than $360,000 and
novel cases, including novel Federal Agency cases, of any amount. (See Memorandum
on Novel Cases: Cancellation of December 20, 2012 Memorandum entitled
“Clarification of September 27, 2012 Memo on Significant Case Procedures,” dated
September 4, 2013.) (Also, see Memorandum on Revised Procedures for Significant and
Novel Enforcement Cases, dated December 24, 2014.)

X. Penalty and Citation Policy for Parts 1903 and 1904 Regulatory Requirements.
Section 17(i) of the Act provides that any employer who violates any of the posting
requirements shall be assessed a civil penalty of up to $12,471 for each violation (this
includes recordkeeping violations). The following policy and procedure document must also
be consulted for an in-depth review of these policies: CPL 02-00-111, Citation Policy for
Paperwork and Written Program Requirement Violations, issued November 27, 1995.
Gravity-Based Penalties (GBPs) for regulatory violations, including posting requirements,
shall be reduced for size and history (excluding willful violations, see Chapter 4, Section V,
Willful Violations).
A. Posting Requirements Under Part 1903.
Penalties for violation of posting requirements shall be proposed as follows:
1. Failure to Post the OSHA Notice (Poster) – §1903.2(a).
A citation for failure to post the OSHA Notice is warranted if:
a. The pattern of violative conditions for a particular establishment demonstrates a
consistent disregard for the employer’s responsibilities under the Occupational
Safety and Health Act of 1970 (OSH Act); AND
b. Interviews show that employees are unaware of their rights under the OSH Act;
OR
c. The employer has been previously cited or advised by OSHA of the posting
requirement.
If the criteria above are met and the employer has not displayed (posted) the notice
furnished by OSHA as prescribed in §1903.2(a), an other-than-serious citation shall
normally be issued. The GBP for this alleged violation shall be $1,000.
2. Failure to Post a Citation – §1903.16.

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 a. If an employer received a citation that was not posted as prescribed in §1903.16,
an other-than-serious citation shall normally be issued. The GBP shall be $5,345.
b. For information regarding the OSHA-300A form, see CPL 02-00-135,
Recordkeeping Policies and Procedures Manual, December 30, 2004.
B. Advance Notice of Inspection – §1903.6.
When an employer has received advance notice of an inspection and fails to notify the
authorized employee representative as required by §1903.6, an other-than-serious citation
shall be issued. The violation shall have a GBP of $3,563.
C. Abatement Verification Regulation Violations – §1903.19.
1. General.
a. The penalty provisions of Section 9 and Section 17 of the OSH Act apply to all
citations issued under this regulation.
b. No “Good Faith” or “History” reduction shall be given to employers when
proposing penalties for any §1903.19 violations. Only the reduction factor for
“Size” shall apply.
c. See Chapter 7, Post-Citation Inspection Procedures and Abatement Verification,
for detailed guidance.
2. Penalty for Failing to Certify Abatement.
a. A penalty for failing to submit abatement certification documents,
§1903.19(c)(1), shall be $1,000, reduced only for size.
b. A penalty for failure to submit abatement verification documents will not exceed
the penalty for the entire original citation.
3. Penalty for Failing to Notify and Tag.
Penalties for not notifying employees and not tagging movable equipment §1903.19
[paragraphs (g)(1), (g)(2), (g)(4), (i)(1), (i)(2), (i)(3), (i)(5) and (i)(6)] will follow the
same penalty structure (GBP of $3,000) as for Failure to Post a Citation.
D. Injury and Illness Records and Reporting under Part 1904.
1. Part 1904 violations are always other-than-serious.
2. Repeated and Willful penalty policies in Sections V.D. and VI.C., respectively, of
this Chapter, may be applied to recordkeeping violations.
3. OSHA’s egregious penalty policy may be applied to recordkeeping violations. See
CPL 02-00-080, Handling of Cases to be Proposed for Violation-By-Violation
Penalties, October 21, 1990.
4. See CPL 02-00-135, Recordkeeping Policies and Procedures Manual, dated
December 30, 2004; specifically Chapter 2, Section II, Inspection and Citation
Procedures.
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related fatalities,
hospitalizations, amputations or losses of an eye. The new rule, which also updates the
list of employers partially exempt from OSHA record-keeping requirements, went into
effect on January 1, 2015, for workplaces under Federal OSHA jurisdiction. (See 79 FR
56129, Occupational Injury and Illness Recording and Reporting Requirements – NAICS
Update and Reporting Revisions, September 18, 2014.)

XI. Failure to Provide Access to Medical and Exposure Records – §1910.1020.

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 A. Proposed Penalties.
If an employer is cited for failing to provide access to records as required under
§1910.1020 for inspection and copying by any employee, former employee, or authorized
representative of employees, a GBP of $1,782 shall normally be proposed for each record
(i.e., either medical record or exposure record, on an individual employee basis). A
maximum GBP of $12,471 may be proposed for such violations. See CPL 02-02-072,
Rules of Agency Practice and Procedure Concerning OSHA Access to Employee Medical
Records, dated August 22, 2007.
EXAMPLE 6-4: If the evidence demonstrates that an authorized employee
representative requests both exposure and medical records for three employees and the
request was denied by the employer, a citation would be issued for six instances (i.e., one
medical record and one exposure record (total two) for each of three employees) of a
violation of §1910.1020, with a GBP of $10,692.
B. Use of Violation-by-Violation Penalties.
The above policy does not in any manner preclude the use of violation-by-violation or per
employee penalties where higher penalties are appropriate. See CPL 02-00-080,
Handling of Cases to be Proposed for Violation-By-Violation Penalties, October 21,
1990.

XII. Criminal Penalties.

A. OSH Act and U.S. Code.
The Act and the U.S. Code provide for criminal penalties in the following cases:
1. Willful violation of an OSHA standard, rule, or order causing the death of an
employee; Section 17(e);
2. Giving unauthorized advance notice; Section 17(f);
3. Knowingly giving false information; Section 17(g); and
4. Killing of a CSHO while engaged in the performance of investigative, inspection or
law enforcement functions; Section 17(h)(2).
B. Courts.
After trials, criminal penalties are imposed by the courts and not by OSHA or by the
Occupational Safety and Health Review Commission.

XIII. Handling Monies Received from Employers.

A. Responsibility of the Area Director.
Pursuant to its statutory authority, it is OSHA policy to collect all penalties owed to the
government. The Area Director is responsible for:
1. Informing employers of OSHA’s debt collection procedures;
2. Collecting assessed penalties from employers;
3. Reporting penalty amounts collected and those due;
4. Calculating interest and other charges on overdue penalty amounts;
5. Referring cases with uncollected penalties to the Office of Financial Management
Debt Collection Accountability Team (DCAT);
6. Transferring selected cases to the RSOL for legal action and subsequently tracking
such cases;

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 7. Mailing collected monies in accordance with the procedures set forth in this chapter
and in other OSHA Instructions; and
8. Reviewing the DOL bankruptcy logs emailed by DCAT.
B. Receiving Payments.
The Area Director shall be guided by the following concerning penalty payments:
1. 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 DOL-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.
2. Identifying Payment.
The Reporting I.D. of the Area Office, along with the Inspection Number(s), MUST
BE PLACED in the upper left or lower left hand corner of the face of the payment
instrument. The date of receipt MUST BE STAMPED on the face of the check and
in the upper right corner if possible.
3. Adjustment to Payments.
The following adjustments shall be made prior to transmitting the payment
instrument to the Lockbox Depository. See Section XIII.B.6. of this chapter,
Depositing Payments.
a. If the payment instrument is not dated, the date received shall be entered as the
date of payment.
b. If the written amount is obviously incorrect or differs from the amount referenced
in the accompanying correspondence, the payment instrument shall be returned to
the employer with a request for a new check. Before returning the check, void
the existing check, by crossing through it. If feasible, contact the employer by
email or phone prior to sending.
c. If the payment instrument does not include the establishment name, the name
shall be inserted on the face of the payment instrument.
d. If the payment instrument includes the notation, "Payment in Full," whether or
not the notation is incorrect, the payment shall be deposited.
e. If the payment instrument is unsigned, the payment shall be deposited.
f. If an employer mistakenly makes the payment payable to an official of OSHA by
name, it shall be endorsed as follows:
 Postal Money Orders – follow instruction on reverse of the money order.
 All others – enter on reverse:
Pay to the order of the U.S. Department of Labor – OSHA
(Signature)
(Typewritten name of payee)
4. Incorrect, Unhonored, or Foreign Payments.
a. Incorrectly dated payments shall be handled as follows:
 If the payment instrument is dated 10 days or more after the date of receipt, it
is to be returned to the employer.

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  If the payment instrument is dated less than 10 but more than 3 days after the
date of receipt, it is to be held for deposit on the day it is dated.
 Payment instruments dated 3 or fewer days after the date of receipt are to be
mailed to the Lockbox.
 If the payment instrument is dated more than six months prior to the current
date, it is to be returned to the employer via certified mail.
b. Payment instruments which have been returned to the Office of Financial
Management (OFM) without payment due to insufficient funds, shall be
forwarded to the Area Office for return to the employer via certified mail.
c. Payments drawn on non-U.S. banks MUST BE SENT directly to OFM (without
using the "Lockbox" procedures described in Section XIII.B.6. of this chapter,
Depositing Payments) at the following address:

Office of Financial Management

U.S. Department of Labor – OSHA
Post Office Box 2422
Washington, D.C. 20013

5. Endorsing Payments.
All payment instruments shall be endorsed as follows:
16-01-2012
Payment FRB or BR Credit
Treasury U.S. Payment on an
Obligation to U.S. and must be
paid at Par DO NOT WIRE NON
PAYMENT
U.S. DEPT. OF LABOR
Occupational Safety and Health Administration
DOL OSHA Washington, DC

6. Depositing Payments.
All payments shall be kept in a safe place and, unless otherwise indicated, transmitted
daily in accordance with current OIS procedures to the Lockbox Depository. For the
current Lockbox address, please contact the Debt Collection Accountability Team
(DCAT) in the National Office.
7. Records.
A copy of the penalty payment instrument shall be included in the case file.
Additional accounting records shall also be included in the case file in accordance
with current procedures.
C. Refunds.
In cases of later penalty modifications by OSHA or by the Commission or a court,
refunds to the employer shall be made by the Department of Labor through DCAT. The
Area Director shall notify DCAT in accordance with current instructions.

XIV. Debt Collection Procedures.

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A. Policy.
The Debt Collection Improvement Act of 1996 (DCIA) provides for the assessment of
interest, administrative charges, and additional costs for nonpayment of debts arising
under the OSHA program. Under the DCIA regulations implemented by the Department
of Labor, penalties assessed by OSHA are considered debts. It is OSHA policy to
exercise the authority provided under the DCIA to assess additional charges on
delinquent debts. It is also OSHA policy to forbear collection of penalties until the
employer has exhausted its right to challenge them administratively, as well as in all legal
forums.
B. Time Allowed for Payment of Penalties.
The date when penalties become due and payable, depends on whether or not the
employer contests.
1. Uncontested Penalties.
When citations and/or proposed penalties are uncontested, the penalties are due and
payable 15 working days following the employer’s receipt of the Citation and
Notification of Penalty (OSHA-2) or, in the case of Informal Settlement Agreements,
15 working days after the date of the last signature unless a later due date for payment
of penalties is agreed upon in the settlement.
2. Contested Penalties.
When citations and/or proposed penalties are contested, the date that penalties are due
and payable will depend upon whether the case is resolved by a settlement agreement,
an administrative law judge decision, a Commission decision, or a court judgment.
See Chapter 15, Section XIII, Citation Final Order Dates, for additional information.
NOTE: The Area Director shall forward the notice of contest and the case file to
the RSOL with a transmittal letter informing the Solicitor that any resulting penalty
must be directed to the Area Office for payment.
3. Partially Contested Penalties.
When only part of a citation and/or a proposed penalty is contested, the due date for
payment as stated in Section XIV.B.1., Uncontested Penalties, shall be used for the
uncontested items and the due date stated in Section XIV.B.2., Contested Penalties,
for the contested items.
NOTE: This provision notwithstanding, formal debt collection procedures will not
be initiated in partially contested cases until a final order for the outstanding citation
item(s) has been issued.
C. Notification Procedures.
It is OSHA policy to notify employers (the "Notice") that debts are payable and due, and
to inform them of OSHA’s debt collection procedures prior to assessing any applicable
delinquent charges. A copy of the "Notice" stating OSHA’s debt collection policy,
including assessment of interest, additional charges for nonpayment and administrative
costs, shall be included with each Citation and Notification of Penalty (OSHA-2) and sent
to employers. Interest rates and administrative costs are published annually and may be
revised quarterly by the Secretary of the Treasury. DCAT shall advise Area Directors of
any changes in the interest rate as they occur. A copy of the notice shall be retained in
the case file.
D. Notification of Overdue Debt.

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 The Area Director shall send a demand letter to the employer when the debt has become
delinquent and shall retain a copy of the demand letter in the case file. A debt becomes
delinquent 30 calendar days after the due date, which is the same as the final order
date as stated in Chapter 15, Section XIII, Citation Final Order Dates.
1. Uncontested Case with Penalties.
If payment of any applicable penalty is not received within 30 calendar days after the
date of the expiration of the 15-working-day contest period, or after the date of the
last signature (unless a later due date for payment of penalties is agreed upon in the
settlement) if an Informal Settlement Agreement has been signed, a demand letter
shall be mailed.
2. Contested Case with Penalties.
If payment of any applicable penalty is not received within 30 calendar days after the
Review Commission’s Order approving a Formal Settlement Agreement, 60
calendar days after the Notice of Docketing, 90 calendar days after the Notice of
Commission Decision, or 120 calendar days after date of the judgment of a U.S.
Court of Appeals, and no appeal of the case has been filed by either OSHA or the
employer, the Area Director shall either send a demand letter or a letter notifying the
employer that the OSHA fine is past due (without assessing late fees and updating the
OIS as if a default letter had been sent).
3. Exceptions to Sending the Demand Letter.
The demand letter will not be sent in the following circumstances:
a. The employer is currently making payments under an approved installment plan
or other satisfactory payment arrangement. Such plan or arrangement shall be set
forth in writing and signed by the employer and the Area Director.
NOTE: If the employer enters into a written plan establishing a set payment
schedule within one calendar month of the due date, but subsequently fails to
make a payment within one calendar month of its scheduled due date, a payment
default letter shall be sent to the employer. If the employer fails to respond
satisfactorily to that letter within one month, the unpaid portion of the debt shall
be handled in accordance with Section XIV.F., Assessment Procedures.
b. The employer has partially contested the case (even if the penalty has not been
contested). In such circumstances a demand letter shall not be sent until a final
order has been issued.
E. Assessment of Additional Charges.
Additional charges shall be assessed in accordance with the Debt Collection Improvement
Act (31 USC 3717) and Department of Labor Regulations (29 CFR 20).
1. Interest.
Interest on the unpaid principal amount shall be assessed on a monthly basis at the
current annual rate if the debt has not been paid within one calendar month of the date
on which the debt (penalty) became due and payable (i.e., the date of the final order).
Interest is not assessed if an acceptable repayment schedule has been established in a
written plan by the due date.
NOTE: Interest and delinquent charges are not compounded; only the unpaid
balance of the penalty amount is used to calculate these additional charges.
2. Delinquent Charges.

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 Delinquent charges shall be assessed on a monthly basis if the debt has not been paid
within 3 calendar months of the delinquent date (which is one calendar month after
the due date). Debts paid in full within 3 calendar months of the delinquent date shall
not be assessed a delinquent charge. Delinquent charges accrue at the annual rate of
6 percent (0.5 percent per month).
NOTE: Although the delinquent charge is not initially assessed until 3 calendar
months after the debt became delinquent (4 calendar months after the due date), it is
nevertheless calculated from the delinquent date. Thus, the first assessment of a
delinquent charge will amount to a 3-month charge or 1.5 percent of the outstanding
principal amount. Each month after that, the additional delinquent charge will be 0.5
percent of the unpaid principal.
3. Administrative Costs.
Administrative costs shall be assessed for each demand letter sent in an attempt to
collect the unpaid debt. Costs are not assessed for payment default letters.
F. Assessment Procedures.
If the penalty has not been paid by the delinquent date (i.e., within one calendar month of
the due date), the Area Director shall implement the following procedures:
1. Interest shall be assessed at the current interest rate on the unpaid balance of the debt.
The rate of interest shall remain fixed for the duration of the debt.
NOTE: Interest is to be calculated for one month and shall be assessed on the date
on which such charges become payable. Any later additional charges will not be
assessed until the first of the month following the date on which the charge becomes
payable. For example, if interest becomes payable on the twentieth of the month and
the second demand letter is not sent out until the eighth of the following month, only
one month’s interest is assessed.
2. The demand letter shall be sent to the employer requesting immediate payment of the
debt. The demand letter shall show the total amount of the debt, including the unpaid
penalty amount, interest and administrative costs.
3. Employers may respond to the demand letter in several ways:
a. The entire debt may be paid. In such cases no further collection action is
necessary.
b. A repayment plan may be submitted or offered; after a set payment schedule has
been approved by the Area Director, no additional charges shall be levied against
the debt as long as payments are timely made in accordance with the approved
schedule. See note under Section XIV.D.3., of this chapter, Exceptions to
Sending Demand Letter. If payments are not made on schedule, the unpaid
portion of the debt shall be treated in accordance with Section XIV.F.
c. A partial payment may be made; the unpaid portion of the debt shall be treated in
accordance with Section XIV.F., of this chapter.
4. If any portion of the debt remains unpaid after one calendar month from the time the
demand letter was sent to the employer, the Area Director shall institute one of the
following:
a. Outstanding debts less than $100 may be written off.
b. If the employer made a payment after receiving the demand letter, the area office
may:

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  Send a receipt letter or contact the employer to request the balance due on
the debt.
 Refer the case to DCAT.
c. Outstanding debts with a current debt of $100 or more shall be referred to DCAT.
5. After a case has been referred to DCAT for collection, the Area Director has no
further responsibilities for penalty collection related to that case.
6. If, after a case has been referred to DCAT, the employer mistakenly sends a payment
to the Area Office, the case is subsequently contested or new information regarding
the debt or employer is obtained, the Area Director shall contact DCAT immediately.
7. DCAT shall update the host database to reflect all penalty collection actions taken by
the National Office. Detailed information on subsequent debt collection activity on
each case is available on the OSHA Intranet website. A written communication
outlining collection actions taken for each case referred to DCAT shall be sent to the
Area Office upon completion of National Office and Treasury debt collection
procedures for that case.
8. The responsibility for closing the case remains with the Area Director. Once final
collection action has been completed, the case may be closed whenever appropriate.
G. Application of Payments.
Payments that are for less than the full amount of the debt shall be applied to satisfy the
following categories in order of priority:
1. Administrative charges;
2. Delinquent charges;
3. Interest;
4. Outstanding principal.
H. Uncollectible Penalties.
There may be cases where a penalty cannot be collected, regardless of any action that has
been or may be undertaken. Examples might be when a demand letter is not deliverable,
a company is no longer in business and has no successor, or the employer is bankrupt. In
such cases, the Area Director shall notify DCAT by phone or email prior to referring the
case to the National Office. DCAT will then advise what further collection action is
appropriate. The database shall be updated following current OIS procedures to reflect
the most recent action. In bankruptcy cases, the Area Director may also seek the advice
of the RSOL to determine whether to file as a creditor under the Bankruptcy Act.
I. National Office Debt Collection Procedures.
Upon receipt of a case from an Area Director, DCAT shall verify the amount of the
outstanding debt and proceed to implement National Office debt collection procedures.
1. Demand Letter.
In accordance with the Debt Collection Improvement Act of 1996 (DCIA), unless a
debt meets certain exemption criteria, it must be referred to the Department of
Treasury within 120 days after the debt becomes delinquent. The DCIA also requires
that the debtor be notified that the debt may be referred to Treasury and what debt
collection actions Treasury may take regarding the debt. This information is included
in the demand letter DCAT sends to the employer, notifying him/her of the overdue
debt and requesting immediate payment to DCAT.
2. Exemption Criteria for Referral to Treasury.

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 Debts may be exempt from the DCIA requirement if the case is in litigation by the
Solicitor, in bankruptcy, in contest or on appeal.
3. Referral to the Department of Treasury.
In accordance with the DCIA, if the debt remains uncollected sixty days from the
date the DCAT demand letter was sent, the case may be referred to the Department of
Treasury. Treasury actions include: referral to private debt collection firms;
reporting to commercial credit reporting agencies; referral to the Internal Revenue
Service for collection by offset; referral to the Department of Treasury Offset
Program where collection is done by offset from payments due the debtor by any
federal agency; and/or litigation. In addition, Treasury will add its collection fees to
the debt.
a. Any penalty settlement offer received by Treasury shall be referred to the Area
Director for approval.
b. All penalty amounts collected by Treasury beyond their collection fees will be
applied to the employer’s penalty account.
c. Any disputes received by Treasury will be forwarded to DCAT and may be sent
to the Area Director for response.
4. Updating the Database.
DCAT shall update the database to reflect all specific debt collection actions taken
since referral to the National Office and indicate if the case has been returned to the
Area Office.
5. Compromise of Debts over $100,000.
Debts of $100,000 or more, exclusive of interest, delinquent charges, and
administrative costs, cannot be waived by OSHA without Justice or Treasury
approval. DCAT will obtain this approval before returning the debt to the Area
Office.
6. Return to the Area Office.
Once it has been decided to return the collection action, DCAT shall return the case
to the Area Office using one of the following:
a. Penalties paid in full: If an OSHA penalty is paid in full, DCAT will notify the
Area Director by email or by other electronic means with instructions on how
OIS is to be updated. Copies of paid checks are maintained on the U.S. Treasury
Electronic Check Processing System and will not be returned. The copies can be
referenced for a period established by Federal Guidelines. Data related to
employer payments made through the Treasury Debt Management Service are
available on its internal web site for a period established by Federal Guidelines.
b. Penalties Remaining Unpaid or only Partially Paid after Treasury Collection
Process: Once it has been decided to return an unpaid or partially paid collection
action to the Area Office, DCAT shall prepare a written transmittal memorandum
to the Area Director stating the final status of the debt and what actions should be
taken. Included with the memo will be copies of the DCAT case documents other
than the National Office Letter and any DCAT correspondence with the
Employer. Copies of employer checks will not be returned but remain available
on the Treasury website.

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c. Uncollectible Penalties Returned from the Treasury without any National Office
Contact: If an OSHA collection action is returned as uncollectible from the
Treasury Financial Management Service without any DCAT activity, DCAT will
notify the Area Director by email or other electronic means with instructions on
how OIS should be updated. Electronic files related to Treasury collection
activity remain available on the Financial Management Service website, which
can be accessed from DCAT.
d. Maintenance of Electronic Copies of Debt Collection Documents: Electronic
copies of each National Office letter are maintained by DCAT for eight years.
Overall information on each closed case is available on the OSHA Intranet
website. Information about Treasury Debt Management Service activity on
closed cases returned from the Treasury is also available electronically from the
Treasury Debt Management Service through DCAT.

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6-27
6-28
 Chapter 7

POST-CITATION PROCEDURES AND

ABATEMENT VERIFICATION
I. Contesting Citations, Notifications of Penalty and Abatement Dates.
CSHOs shall advise the employer that the citation, the penalty and/or the abatement date may
be contested in cases where the employer does not agree to the citation, penalty or abatement
date or any combination of these.
A. Notice of Contest.
CSHOs shall inform employers that if they intend to contest, the Area Director must be
notified in writing and such notification must be postmarked no later than the 15th
working day after receipt of the Citation and Notification of Penalty (OSHA-2), (working
days are Monday through Friday, excluding Federal holidays), otherwise the citation
becomes a final order of the Commission. See §1903.17. The agency has no authority to
modify the contest period. Employers may also be apprised that their notice of contest
can be sent electronically via email to the Area Director within the 15 working day period
and provide employers the email address(es). It shall be emphasized that oral notices of
contest do not satisfy the requirement to give written notification.
NOTE: Upon receipt of all electronic notices of contest, the Assistant Area Director or
Area Director shall print copies of the email notice and include it in the documents
and files to be transmitted to the Review Commission and the RSOL’s office.
Contest emails are not to be electronically forwarded to the Commission or RSOL.
Area Offices are encouraged to establish procedures to ensure ready access to email
accounts designated to receive notices of contest to ensure the timely transmission of
copies to the Commission and RSOL. OSHA’s acceptance of notices of contest via email
shall not be interpreted to mean that the agency has consented to, or accepted, the
electronic service of documents in litigation pursuant to Commission Rule §2200.7.
1. An employer’s Notice of Intent to Contest must clearly state what is
specifically being contested. It must identify which item(s) of the citation,
penalty, the abatement date, or any combination of these is being objected to.
CSHOs shall ask the employer to read the OSHA-3000 pamphlet (Employer
Rights and Responsibilities Following a Federal OSHA Inspection)
accompanying the citation for additional details.
a. If the employer only requests a later abatement date and there are valid grounds
to consider the request, the Area Director should be contacted. The Area Director
may issue an amended citation changing an abatement date prior to the expiration
of the 15 working day period.
b. If the employer contests only the penalty or some of the citation items, all
uncontested items must still be abated by the dates indicated on the citation and
the corresponding penalties paid within 15 days of notification.
2. CSHOs shall inform the employer that the Act provides that employees or their
authorized representative(s) have the right to contest in writing any or all of the
abatement dates set for a violation if they believe the date(s) to be unreasonable.
B. Contest Process.

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 The CSHO shall explain that when a Notice of Intent to Contest is properly filed (i.e.,
received in the Area Office and postmarked as described in the note to A.1. of this
chapter), the Area Director is required to forward the case to an independent adjudicatory
agency, (OSHA Review Commission) at which time the case is considered to be in
litigation.
1. OSHA will normally cease all investigatory activities once an employer has filed a
notice of contest. Any action relating to a contested case must first have the
concurrence of the RSOL.
2. Upon receipt of the Notice of Intent to Contest, the Review Commission assigns the
case to an administrative law judge, who will schedule a public hearing in close
proximity to the workplace.

II. Informal Conferences.

A. General.
1. Pursuant to §1903.20, the employer, any affected employee, or the employee
representative may request an informal conference for the purpose of discussing any
issues raised by an inspection, citation, notice of proposed penalty, or notice of
intention to contest.
2. The informal conference will be conducted within the 15 working day contest period.
The conference or any request for such a conference shall not operate as a stay of the
15 working day contest period.
3. If the employer’s intent to contest is not clear, the Area Director or designated
representative will make an effort to contact the employer for clarification.
4. Informal conferences may be held by any means practical, but meeting in person is
preferred.
B. Assistance of Counsel.
In the event that an employer is bringing its attorney to an informal conference, the Area
Director or his or her designee may contact the RSOL’s Office and ask for the assistance
of counsel.
C. Opportunity to Participate.
1. If an informal conference is requested by the employer, an affected employee or his
representative shall be afforded the opportunity to participate. If the conference is
requested by an employee or an employee representative, the employer shall be
afforded an opportunity to participate.
2. If the affected employee or employee representative chooses not to participate in the
informal conference, an attempt will be made to contact that party and to solicit their
input prior to the informal conference. Attempts to contact the party should be noted
in the case file.
NOTE: In the event of a settlement, it is not necessary to have the employee
representative sign the informal settlement agreement.
3. If any party objects to the attendance of another party or the Area Director believes
that a joint informal conference would not be productive, separate informal
conferences may be held.
4. During the conduct of a joint informal conference, separate or private discussions will
be permitted if either party so requests.
D. Notice of Informal Conferences.

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 The Area Director shall document in the case file, notification to the parties of the date,
time and location of the informal conference. In addition, the Case File Diary Sheet shall
indicate the date of the informal conference.
E. Posting Requirement.
1. The Area Director will ask the employer at the beginning of the informal conference
whether the form in the citation package indicating the date, time, and location of the
conference has been posted as required.
2. If the employer has not posted the form, the Area Director may postpone the informal
conference until such action is taken.
F. Conduct of the Informal Conference.
The informal conference will be conducted in accordance with the following guidelines:
1. Conference Subjects.
a. Purpose of the informal conference;
b. Rights of participants;
c. Contest rights and time constraints;
d. Limitations, if any;
e. Potential for settlement of citation(s); and
f. Other relevant information (e.g., if no employee or employee representative has
responded, whether the employer has posted the notification form regarding the
informal conference, etc.).
2. Subjects Not to be Addressed.
a. No opinions regarding the legal merits of an employer’s case shall be expressed
during the informal conference.
b. There should be no discussion with employers or employee representatives
concerning the potential for referral of fatality inspections to the Department of
Justice for criminal prosecution under the Act.
3. Closing Remarks.
a. At the conclusion of the conference, all main issues and potential courses of
action will be summarized and documented.
b. A copy of the summary, together with any other relevant notes of the discussion
made by the Area Director, will be placed in the case file.

III. Petition for Modification of Abatement Date (PMA).

An employer may file a petition for modification of abatement date when it has made a good
faith effort to comply with abatement requirements, but such abatement has not been
completed due to circumstances beyond its control. See §1903.14a. 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.
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 requirements below for late filing of
the petition.

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 2. A late petition may be accepted only if accompanied by the employer’s statement of
exceptional circumstances explaining the delay.
B. Where Filing Requirements Are Not Met.
If the employer’s written PMA does not meet all the requirements of §1903.14a(b)(1)-(5),
the employer shall be contacted within 10 working days and notified of the missing
elements. A reasonable amount of time for the employer to respond shall be specified
during this contact.
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
that if it fails to respond in a timely or adequate manner, the PMA will not be granted
and the employer may be found to not have abated.
2. If the employer responds satisfactorily by telephone and the Area Director determines
that the requirements for a PMA have been met, that finding shall be documented in
the case file.
3. Although OSHA policy is to handle PMAs as expeditiously as possible, there may be
cases where the Area Director’s decision may be delayed because of deficiencies in
the PMA, the need to conduct a monitoring inspection and/or a request for Regional
Office or National Office involvement. Requests for additional time (e.g., 45 days)
for the Area Director to reach a decision shall be sent to the Review Commission
through the RSOL. A letter conveying this request shall be simultaneously sent to the
employer and the employee representatives.
C. Approval of PMA.
After the expiration of 15 working days following the posting of a PMA, the Area
Director shall agree with or object to the request within 10 working days, if additional
time has not been requested from the Review Commission. In the absence of a timely
objection, the PMA shall be deemed granted even if not explicitly approved. The
following action shall be taken:
1. If the PMA requests an abatement date that is two years 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 that is more than two years from the issuance
date of the citation requires the approval of the Regional Administrator as well as the
Area Director.
3. If the PMA is approved, the Area Director shall notify the employer and the
employee representatives by letter.
4. The Area Director or Regional Administrator (as appropriate) after consultation with
the RSOL, shall object to a PMA where the evidence supports non-approval (e.g.,
employer has taken no meaningful abatement action at all or has otherwise exhibited
bad faith). In such cases, all relevant documentation shall be sent to the Review
Commission in accordance with §1903.14a(d). Both the employer and the employee
representatives shall be notified of this action by letter, with return receipt requested.
a. Letters notifying the employer or employee representative 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 RSOL, a failure to abate
notification may be issued in conjunction with the objection to the PMA.
D. Objection to PMA.
Affected employees or their representatives may file a written objection 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.
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 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 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.
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.

IV. OSHA’s Abatement Verification Regulation, §1903.19.

A. Important Terms and Concepts.
1. Abatement.
a. Abatement means action by an employer to comply with a cited standard or
regulation or to eliminate a recognized hazard identified by OSHA during an
inspection.
b. For each inspection, except follow-up inspections, OSHA shall open an
employer-specific case file. The case file remains open throughout the inspection
process and is not closed until the Agency is satisfied that abatement has
occurred. If abatement was not completed, annotate the circumstances or reasons
in the case file and enter the proper code in the OIS.
c. Employers are required to verify in writing that they have abated cited conditions,
in accordance with §1903.19.
2. Abatement Verification.
Abatement verification includes abatement certification, documents, plans, and
progress reports.
3. Abatement Certification.
Employers must certify that abatement is complete for each cited violation. The
written certification must include: the employer’s name and address; the inspection
number; the citation and item numbers; a statement that the information submitted is
accurate; signature of the employer or employer’s authorized representative; the date
and method of abatement for each cited violation; and a statement that affected
employees and their representatives have been informed of the abatement.
4. Abatement Documents.
Documentation submitted must establish that abatement has been completed, and
include evidence such as the purchase or repair of equipment, photographic or video
evidence of abatement or other written records verifying correction of the violative
condition.
5. Affected Employee.
Affected employee means those employees who are exposed to the hazards(s)
identified as violations(s) in a citation.
6. Final Order Dates.
a. Uncontested Citation Item.
For an uncontested citation item, the final order date is the day following the
fifteenth working day after the employer’s receipt of the citation.
b. Contested Citation Item.
For a contested citation item, the final order date is as follows:

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  The thirtieth day after the date on which a decision or order of a Review
Commission administrative law judge has been docketed with the
Commission, unless a member of the Commission has directed review; or
 Where review has been directed, the thirtieth day after the date on which
the Commission issues its decision or order disposing of all or the
pertinent part of a case; or
 The date on which a federal appeals court issues a decision affirming the
violation in a case in which a final order of Review Commission has been
stayed.
c. Informal Settlement Dates.
The final order date is when, within the 15 working days to contest a citation, the
ISA is signed by both parties. See also Chapter 15, Section XIII, Citation Final
Order Dates.
7. Abatement Dates.
a. Uncontested Citations.
For uncontested citations, the abatement date is the later of the following dates:
 The abatement date identified in the citation;
 The extended date established as a result of an employer’s filing for a
Petition for Modification of Abatement (PMA) (see Review Commission
Rule 37, §2200.37);
 The abatement date has been extended due to an amended citation; or
 The date established by an informal settlement agreement.
b. Contested Citations.
For contested citations for which the Review Commission has issued a final
order, the abatement date is the later of the following dates:
 The date identified in the final order for abatement;
 Where there has been a contest of a violation or abatement date (not
penalty), the date computed by adding the period allowed in the citation
for abatement to the final order date; or
 The date established by a formal settlement agreement.
c. Contested Penalty Only.
Where an employer has contested only the proposed penalty, the abatement
period continues to run unaffected by the contest. The abatement period is
subject to the time periods set forth above.
8. Movable Equipment.
a. Movable equipment means a hand-held or non-hand-held machine or device,
powered or non-powered, that is used to do work and is moved within or between
worksites.
b. Hand-held equipment is equipment that is hand-held when operated and can
generally be picked up and operated with one or two hands, such as a hand
grinder, skill saw, portable electric drill, nail gun, etc.
9. Worksite.
a. For the purpose of enforcing the Abatement Verification regulation, the worksite
is the physical location specified within the “Alleged Violation Description” of
the citation.
b. If no location is specified, the worksite shall be the inspection site where the cited
violation occurred.
B. Written Certification.

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 The Abatement Verification Regulation, §1903.19, requires those employers who have
received a citation(s) for violation(s) of the Act to certify in writing that they have abated
the hazardous condition for which they were cited and to inform affected employees of
their abatement actions.
C. Verification Procedures.
The verification procedures to be followed by an employer depend on the nature of the
violation(s) identified and the employer’s abatement actions. The abatement verification
regulation establishes requirements for the following:
1. Abatement Certification
2. Abatement Documentation
3. Abatement Plans
4. Progress Reports
5. Tagging for Movable Equipment
D. Supplemental Procedures.
Where necessary, OSHA supplements these procedures with follow-up inspections and
onsite monitoring inspections. For additional information see Section XII, of this
chapter, OnSite Visits: Procedures for Abatement Verification and Monitoring.
E. Requirements.
Except for the application of warning tags or citations on movable equipment
(§1903.19(i)), the abatement verification regulation does not impose any requirements on
the employer until a citation item has become a final order of the Review Commission.
For moveable hand-held equipment, the warning tag or citation must be attached
immediately after the employer receives the citation. For other moveable equipment, the
warning tag or citation must be attached prior to moving the equipment within or between
worksites.

V. Abatement Certification.
A. Minimum Level.
Abatement certification is the minimum level of abatement verification and is required
for all violations once they become Review Commission final orders. An exception
exists where the CSHO observed abatement during the onsite portion of the inspection
and the violation is listed on the citation as “Corrected During Inspection (CDI)” or
“Quick-Fix.” See Section VI.D., of this chapter, CSHO Observed Abatement.
B. Certification Requirements.
The employer’s written certification that abatement is complete must include the
following information for each cited violation:
1. The date and method of abatement and a statement that affected employees and their
representatives have been informed of the abatement;
2. The employer’s name and address;
3. The inspection number to which the submission relates;
4. The citation and item numbers to which the submission relates;
5. A statement that the information submitted is accurate; and
6. The signature of the employer or the employer’s authorized representative.
A non-mandatory example of an abatement certification letter is available in Appendix
A of the Abatement Verification Regulation (§1903.19).
C. Certification Timeframe.

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 1. All citation items which have become final orders, regardless of their
characterizations, require written abatement certification within 10 calendar days of
the abatement date.
2. A PMA received and processed in accordance with the guidance of the FOM will
suspend the 10-day time period for receipt of the abatement certification for the item
for which the PMA is requested.
a. Thus, no citation will be issued for failure to submit the certification within 10
days of the abatement date.
b. If the PMA is denied, the 10-day time period for submission to OSHA begins on
the day the employer receives notice of the denial.

VI. Abatement Documentation.

More extensive documentation of abatement is required for the most serious violations.
When a violation requires abatement documentation, in addition to certifying abatement, the
employer must submit documents demonstrating that abatement is complete.
A. Required Abatement Documentation.
Pursuant to §1903.19, documentation of abatement is required for the following:
1. Willful violations;
2. Repeat violations; and
3. Serious violations where OSHA determines that such documentation is necessary as
indicated on the citation. For further information see Section VI.C., of this chapter,
Abatement Documentation for Serious Violations.
B. Adequacy of Abatement Documentation.
1. Abatement documentation must be accurate and describe or portray the abated
condition adequately. It may be submitted in electronic form, if approved by the
Area Director.
2. The abatement regulation does not mandate a particular type of documentary
evidence for any specific cited conditions.
3. The adequacy of the abatement documentation submitted by the employer will be
assessed by OSHA using the information available in the citation and the Agency’s
knowledge of the employer’s workplace and history.
4. Examples of documents that demonstrate that abatement is complete include, but are
not limited to:
a. Photographic or video evidence of abatement;
b. Evidence of the purchase or repair of equipment;
c. Evidence of actions taken to abate;
d. Bills from repair services;
e. Reports or evaluations by safety and health professionals describing the
abatement of the hazard or a report of analytical testing;
f. Documentation from the manufacturer that the article repaired is within the
manufacturer’s specifications;
g. Records of training completed by employees, if the citation is related to
inadequate employee training; and
h. A copy of program documents, if the citation was related to a missing or
inadequate program, such as a deficiency in the employer’s respirator or hazard
communication program.

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 5. Abatement documentation (photos, employer programs, etc.) shall be retained in
accordance with ADM 03-01-005, OSHA Compliance Records, dated August 3,
1998.
C. Abatement Documentation for Serious Violations.
1. High Gravity Serious Violations.
a. OSHA policy is generally that all high gravity serious violations will require
abatement documentation.
b. Where, in the opinion of the Area Director, abatement documentation is not
required for a high gravity serious violation, the reasons for this must be set forth
in the case file.
2. Moderate or Low Gravity Serious Violations.
Moderate or low gravity serious violations should not normally require abatement
documentation, except that the Area Director will require evidence of abatement for
moderate and low gravity serious violations under the following circumstances:
a. If the establishment has been issued a citation for a willful violation or a failure-
to-abate notice for any standard which has become final order in the previous
three years; or
b. If the employer has any history of a violation that resulted in a fatality or an
OSHA-300 Log entry indicating serious physical harm to an employee in the past
three years. The standard being cited must be similar to the standard cited in
connection with the fatality or serious injury or illness.
D. CSHO Observed Abatement.
1. Employers are not required to certify abatement for violations which they promptly
abate during the onsite portion of the inspection and observed by the CSHO.
a. Area Directors may use their discretion in extending the “24 hour” time limit to
document abated conditions during the inspection.
b. Observed abatement will be documented on the Violation (OSHA-1B and/or
OSHA-1B(IH)), for each violation and must include the date and method of
abatement.
2. If the observed abatement is for a violation that would normally require abatement
documentation by the employer, the documentation in the case file must also indicate
that abatement is complete. Where suitable, the CSHO may use photographs or video
evidence. For additional information regarding adequacy of abatement
documentation, see Section VI.B., of this chapter, Adequacy of Abatement
Documentation.
3. When the abatement has been witnessed and documented by the CSHO, a notation
reading “Corrected During Inspection” shall be made on the citation. Immediate
abatement of some violations may qualify for penalty reductions under OSHA’s
“Quick-Fix” incentive program. These incentives are discussed with the employer
during the opening conference. See Chapter 6, Section IV.A., Quick-Fix Penalty
Adjustment.
4. Notations stating “Corrected during inspection” or “Employer has abated all hazards”
shall not be made on the citation in cases where there is evidence of a continuing
violative practice by an employer that may be subject to a summary enforcement
order under Section 11(b) of the Act (i.e., failure to provide fall protection is a
recurring condition based on citation history or other indications suggesting
widespread violations of the same or similar standards at other establishments or
construction worksites).

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VII. Monitoring Information for Abatement Periods Greater than 90 Days.
A. Abatement Periods Greater than 90 Days.
For abatement periods greater than 90 calendar days, the regulation allows the Area
Director flexibility in either requiring or not requiring monitoring information.
1. The requirement for abatement plans and progress reports must be specifically
associated to the citation item to which they relate.
2. Progress reports may not be required unless abatement plans are specifically required.
3. Note that Paragraphs (e) and (f) of §1903.19 have limits: the Area Director is not
allowed to require an abatement plan for abatement periods less than 91 days or for
citations classified as other-than-serious.
4. The regulation places an obligation on employers, where necessary, to identify how
employees are to be protected from exposure to the violative condition during the
abatement period. One way of ensuring that interim protection is included in the
abatement plan is to note this requirement on the citation. See §1903.19, Non-
Mandatory Appendix B, for a sample of an Abatement Plan and Progress Report.
B. Abatement Plans.
1. The Area Director may require an employer to submit an abatement plan for each
qualifying cited violation.
a. The requirement for an abatement plan must be indicated in the citation.
b. The citation may also call for the abatement plan to include interim measures.
2. Within 25 calendar days from the final order date, the employer must submit an
abatement plan for each violation that identifies the violation and the steps to be taken
to achieve abatement. The abatement plan must include a schedule for completing
the abatement and, where necessary, the methods for protecting employees from
exposure to the hazardous conditions in the interim until the abatement is complete
(§1903.19(e)(2)).
3. In cases where the employer cannot prepare an abatement plan within the allotted
time, a PMA must be submitted by the employer to amend the abatement date.
C. Progress Reports.
1. An employer that is required to submit an abatement plan may also be required to
submit periodic progress reports for each cited violation. In such cases, the citation
must indicate:
a. That periodic progress reports are required and the citation items for which they
are required;
b. The date on which an initial progress report must be submitted, which may be no
sooner than 30 calendar days after the due date of an abatement plan;
c. Whether additional progress reports are required; and
d. The date(s) on which additional progress reports must be submitted.
2. For each violation the progress report must identify, in a single sentence if possible,
the action taken to achieve abatement and the date the action was taken. There is
nothing in this policy or the regulation prohibiting progress reports as a result of
settlement agreements.
D. Special Requirements for Long-Term Abatement.
1. Long-term abatement is abatement which will be completed more than one year from
the citation issuance date.
2. The Area Director must require the employer to submit an abatement plan for every
violation with an abatement date in excess of one year.

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 3. Progress reports are mandatory and must be required at a minimum every six months.
More frequent reporting may be required at the discretion of the area director.

VIII. Employer Failure to Submit Required Abatement Certification.

A. Actions Preceding Citation for Failure to Certify Abatement.
1. If abatement certification, or any required documentation, is not received within 13
calendar days after the abatement date (the regulation requires filing within 10
calendar days after the abatement date; and another 3 calendar days is added for
mailing), the following procedures should be followed:
a. Remind the employer by telephone of the requirement to submit the material and
tell the employer that a citation will be issued if the required documents are not
received within 7 calendar days after the telephone call.
b. During the conversation with the employer, determine why the employer has not
complied and document all communication efforts in the case file. Discuss
OSHA’s PMA policy and explain that a late petition to modify the abatement date
can be accepted only if accompanied by the employer’s statement of exceptional
circumstances explaining the delay.
c. Issue a follow-up letter to the employer the same day as the telephone call.
d. The employer may be allowed to respond via fax or email where appropriate.
2. If the certification and/or documentation are not received within the next 7 calendar
days, a single other-than-serious citation will be issued.
3. Normally citations for failure to submit abatement certification for violations of
§1903.19(c) shall not be issued until the above procedures have been followed and
the employer has been provided additional opportunity to comply. These pre-citation
procedures also apply when abatement plans or progress reports are not received
within 13 days of the due date.
B. Citation for Failure to Certify.
1. Citations for failure to submit abatement verification (certification, documentation,
abatement plans or progress reports) can be issued without formal follow-up activities
by following the procedures identified below.
2. A single other-than-serious citation will be issued combining all the individual
instances where the employer has not submitted abatement certification and/or
abatement documentation.
a. This “other” citation will be issued under the same inspection number which
contained the original violations cited.
b. The abatement date for this citation shall be set 30 days from the date of issuance.
NOTE: Each violation of §1903.19(c), (d), (e), or (f) with respect to each original
citation item is a separate item.
3. For those situations where the abatement date falls within the 15 day informal
conference time period, and an informal conference request is likely, enforcement
activities should be delayed for these citations until it is known if the citation’s
classification or abatement period is to be modified.
4. For those rare instances where the reminder letter is returned to the Area Office by
the Post Office as undeliverable and telephone contact efforts fail, the Area Director
has the discretion to stop further efforts to locate the employer and document in the
case file the reason for no abatement certification.
C. Certification Omissions.

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 1. An initial minor or non-substantive omission in an abatement certification (e.g., lack
of a definitive statement that the information being submitted is accurate) should be
considered a de minimis condition of the regulation.
2. If there are minor deficiencies, such as omitting the inspection number, signature or
date, the employer should be contacted by telephone to verify that the documents
received were the ones they intended to submit. If so, the date stamp of the Area
Office can serve as the date on the document.
3. A certification with an omitted signature should be returned to the employer to be
signed.
D. Penalty Assessment for Failure to Certify.
The penalty provisions of Sections 9 and 17 of the OSH Act apply to all citations issued
under this regulation. See Chapter 6, Penalties and Debt Collection, for additional
information.

IX. Tagging for Movable Equipment.

A. Tag-Related Citations.
Tag-related citations must be observed by CSHOs prior to the issuance of a citation for
failure to initially tag cited movable equipment.
1. See §1903.19, Non-mandatory Appendix C, for a sample warning tag. OSHA must
be able to prove the employer’s initial failure to act (tag the movable equipment upon
receipt of the citation).
2. Where there is insufficient evidence to support a violation of the employer’s initial
failure to tag or post the citation on the cited movable equipment, a citation may be
issued for failure to maintain the tag or copy of the citation using §1903.19(i)(6).
B. Equipment Which is Moved.
Tags are intended to provide an interim form of protection to employees through
notification for those who may not know of the citation or the hazardous condition.
1. For non-hand-held equipment, CSHOs should make every effort to be as detailed as
possible when documenting the initial location where the violation occurred. This
documentation is critical to the enforcement of the tagging requirement (§1903.19(i))
because the tagging provision is triggered upon movement of the equipment.
2. For hand-held equipment, employers must attach a warning tag or copy of the citation
immediately after the employer’s receipt of the citation. The attachment of the tag is
not dependent on any subsequent movement of the equipment.

X. Failure to Notify Employees by Posting.

A. Evidence.
Like tag-related citations, CSHOs shall investigate an employer’s failure to notify
employees by posting.
B. Location of Posting.
Where an employer claims that posting at the location where the violation occurred
would ineffectively inform employees (§1903.19(g)(2)) the employer may post the
document or a summary of the document in a location where it will be readily observable
by affected employees and their representatives. Employers may also communicate by
other means with affected employees and their representatives regarding abatement
activities.
C. Other Communication.

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 The CSHO must determine not only whether the documents or summaries were
appropriately posted, but also whether, as an alternative, other communication methods,
such as meetings or employee publications, were used.

XI. Abatement Verification for Special Enforcement Situations.

A. Construction Activity Considerations.
1. Construction activities pose situations requiring special consideration.
a. Construction site closure or hazard removal due to completing of the structure or
project will only be accepted as abatement without certification where the area
office CSHO verifies the site closure/completion and where closure/completion
effectively abates the condition cited.
b. In all other circumstances, the employer must certify to OSHA that the hazards
have been abated by the submission of an abatement certification. In rare cases
the verification may have to cease and the abatement action closed through
cessation of work or verification with the general contractor of the site to verify
abatement.
2. Equipment-related and all program-related (e.g., crane inspection, hazard
communication, respirator, training, competent person, qualified persons, etc.)
violations will always require employer certification of abatement regardless of
construction site closure.
3. Where the violation specified in a citation is the employer’s general practice of
failing to comply with a requirement (e.g., the employer routinely fails to provide fall
protection at its worksites), closure/completion of the individual worksite will not be
accepted as abatement.
4. For situations where the main office of the employer being cited is physically located
in another Regional jurisdiction, the Area Director having the jurisdiction over the
worksite will proceed as if the employer’s main office were in the Area Director’s
own jurisdiction, and notify the affected Regional Office of the communication with
the employer.
5. Where a follow-up inspection to verify abatement is deemed necessary, the affected
Regions and Area Offices will determine the most efficient and mutually beneficial
approach to conducting the inspection.
B. Field Sanitation and Temporary Labor Camps.
Under Secretary’s Order 3-2000, the authority to conduct inspections and issue citations
for field sanitation and most temporary labor camps in agricultural employment has been
delegated to the Employment Standards Administration (ESA).
1. An employer’s obligation under the abatement verification regulation still applies.
However, OSHA’s delegation of authority to ESA does not extend to other OSHA
regulations or standards, including §1903.19.
2. In situations where ESA determines employers are in violation of §1903.19, the
following procedures are to be followed:
a. Wage and Hour District Directors, after following the procedures outlined in
Section VIII., of this chapter, Employer Failure to Submit Required Abatement
Certification, will send a copy of the inspection case file or a summary
memorandum to the OSHA Regional Administrator’s Office for referral
following established practice.
b. The OSHA Regional Office shall forward appropriate case files to the Area
Office having jurisdiction to open a NEW inspection (coded as a Referral) and

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 process citation(s) for failure to comply with §1903.19. Upon receipt of the
abatement verification documents related to the ESA inspection, OSHA will fax
them to ESA.
NOTE: All field sanitation and temporary labor camp cases will automatically
comply with the Appropriations Act rider because the field sanitation standard
does not apply to employers with 10 or fewer employees and the rider does not
apply to temporary labor camps.
c. Penalties will be collected and processed following normal procedures. Upon
receipt of penalties for the OSHA-issued §1903.19 citations, OSHA’s case file
will be closed.
d. In situations where an employer does not respond to OSHA’s issuance of
violations of §1903.19 and dunning efforts fail, ESA shall be informed through
memorandum and the OSHA case file closed with the penalties referred for debt
collection.
NOTE: See also Chapter 10, Industry Sectors, and Chapter 12, Specialized
Inspection Procedures, for additional information.
C. Follow-Up Policy for Employer Failure to Verify Abatement under §1903.19.
Follow-up or monitoring inspections would not normally be conducted when evidence of
abatement is provided by the employer or employee representatives. For further
information on exceptions for Enhanced Enforcement Program (EEP) cases, see CPL 02-
00-145, Enhanced Enforcement Program (EEP) Directive, dated January 1, 2008.
NOTE: For further information on extended abatement periods, see Section VII,
Monitoring Information for Abatement Periods Greater than 90 Days, and Section XIII,
Monitoring Inspections, both of this chapter.
1. Where the employer has not submitted the required abatement certification or
documentation within the time permitted by the regulation, the Area Director has
discretion to conduct a follow-up inspection.
2. Submission of inadequate documents may also be the basis for a follow-up
inspection.
3. This inspection should not generally occur before the end of the original 15 day
contest period except in unusual circumstances.

XII. OnSite Visits: Procedures for Abatement Verification and Monitoring.

A. Follow-Up Inspections.
The primary purpose of a follow-up inspection is to determine if the previously cited
violations have been corrected.
B. Severe Violator Enforcement Program (SVEP) Follow-Up.
1. For any inspection issued on or after June 18, 2010, which results in an SVEP case,
an enhanced follow-up inspection will normally be conducted even if abatement of
the cited violations has been verified. The primary purpose of follow-up inspections
is to assess both whether the cited violation(s) were abated and whether the employer
is committing similar violations.
2. If there is a compelling reason not to conduct a follow-up inspection, the reason must
be documented in the file. The Region shall also report these cases to the Director of
Enforcement Programs, along with the reason why a follow-up was not initiated.
3. Grouped and combined violations from the original inspection will be counted as one
violation for SVEP purposes.

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 4. For further information on exceptions for Severe Violator Enforcement Program
(SVEP) cases, see OSHA Instruction CPL 02-00-149, Severe Violator Enforcement
Program (SVEP), June 18, 2010.
NOTE: See Memorandum entitled, “Inclusion of Upstream Oil and Gas Hazards
to the High-Emphasis Hazards in the Severe Violator Enforcement Program
(SVEP)”, dated February 11, 2015, for policy relating to the addition of upstream oil
and gas hazards to the list of High-Emphasis Hazards in the Severe Violator
Enforcement Program (SVEP).
C. Initial Follow-Up.
1. The initial follow-up is the first follow-up inspection after issuance of the citation.
2. 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.
3. Failure to comply with enforceable interim abatement dates involving multi-step
abatement shall be subject to a Notification of Failure to Abate Alleged Violation.
4. Where the employer has implemented some controls, but the control measures were
inadequate during follow-up monitoring, and other technology was available which
would have brought the process into compliance, 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.
5. 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.
D. Second Follow-Up.
1. Any subsequent follow-up after the initial follow-up inspection dealing with the same
violations is considered a second follow-up.
a. 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 follow-up. The employer must ensure that employees are
adequately protected by other means until the violations are corrected.
b. If the employer contests the proposed additional daily penalties, a follow-up
inspection shall still be scheduled to ensure correction of the original violation.
2. If a second follow-up 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 RSOL, believes it to be appropriate.
3. If a Notification of Failure to Abate Alleged Violation and additional daily penalties
are not to be proposed because of an employer’s flagrant disregard of a citation or an
item on a citation, the Area Director shall immediately contact the Regional
Administrator, in writing, detailing the circumstances so the matter can be referred to
the RSOL for action, as appropriate, in the U.S. Court of Appeals in accordance with
Section 11(b) of the Act.
E. OSH Act Section 11(b).
There may be times during the initial follow-up when, because of an employer’s flagrant
disregard of a citation or other factors, it will be apparent that traditional enforcement
actions would be inappropriate or ineffective. In such cases, a summary enforcement
action shall be initiated under Section 11(b) of the Act in the U.S. Court of Appeals. The

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 Area Director shall notify the Regional Administrator, in writing, of all the particular
circumstances of the case for referral to the RSOL.
F. Follow-Up Inspection Reports.
1. Follow-up inspection reports shall be included with the original initial inspection case
file. The applicable identification and description sections of the Violation (OSHA-
1B/1B(IH)) shall be used for documenting correction of willful, repeated, and serious
violations and failure to abate items during follow-up inspections.
2. If Serious, Willful, or Repeat violation items were appropriately grouped in the
Violation (OSHA-1B/1B(IH)) in the original case file, they may be grouped on the
follow-up Violation (OSHA-1B); otherwise, individual Violation (OSHA-1B/1B(IH))
shall be used for each item. The correction of other-than-serious violations may be
documented in the narrative portion of the case file.
3. Documentation of Hazard Abatement by Employer.
a. The hazard abatement observed by the CSHO shall be specifically described in
the Violation (OSHA-1B/1B(IH)), including any applicable dimensions, materials,
specifications, personal protective equipment, engineering controls,
measurements or readings, or other conditions.
b. Brief terms such as “corrected” or “in compliance” will not be accepted as proper
documentation for violations having been corrected.
c. When appropriate, this written description shall be supplemented by a photograph
and/or a videotape to illustrate correction circumstances.
d. Only the item description and identification blocks need to be completed on the
follow-up Violation (OSHA-1B/1B(IH)) with an occasional inclusion of an
applicable employer statement concerning correction under the employer
knowledge section, if appropriate.
4. Sampling.
a. CSHOs conducting a follow-up inspection to determine abatement of violations
of air contaminant or noise standards, shall decide whether sampling is necessary
and if so, what kind (i.e., spot sampling, short-term sampling, or full-shift
sampling).
b. If there is reasonable probability that a Notification of Failure to Abate Alleged
Violation will be issued, full-shift sampling is required to verify exposure limits
based on an 8-hour time-weighted average.
5. Narrative.
The CSHO must include in the narrative the findings pursuant to the inspection,
along with recommendations for action. In order to make a valid recommendation, it
is important to have all pertinent factors available in an organized manner.
6. Failure to Abate.
In the event that any item has not been abated, complete documentation shall be
included on an Violation (OSHA-1B).

XIII. Monitoring Inspections.

A. General.
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:
 Abatement dates in excess of one year.

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  A petition for modification of abatement date (PMA).
 A Corporate Wide Settlement Agreement. See CPL 02-00-152, Guidelines for
Administration of Corporate-Wide Settlement Agreements, dated June 22, 2011.
 To ensure that terms of a permanent variance are being carried out.
 At the request of an employer requesting technical assistance granted by the Area
director.
B. Conduct of Monitoring Inspection (PMAs and Long-Term Abatement).
Monitoring inspections shall be conducted in the same manner as follow-up inspections.
An inspection shall be classified as a monitoring inspection when a safety/health
inspection is conducted for one or more of the following purposes:
 Determine the progress an employer is making toward final correction.
 Ensure that the target dates of a multi-step abatement plan are being met.
 Ensure that an employer’s petition for the modification of abatement dates is
made in good faith and that the employer has attempted to implement necessary
controls as expeditiously as possible.
 Ensure that the employees are being properly protected until final controls are
implemented.
 Ensure that the terms of a permanent variance are being carried out.
 Provide abatement assistance for items under citation.
C. Abatement Dates in Excess of One Year.
1. Monitoring visits shall be scheduled to check on progress made whenever abatement
dates extend beyond one year from the issuance date of the citation.
2. These inspections shall be conducted approximately every six months, counted from
the citation date, until final abatement has been achieved for all cited violations.
a. If the case has been contested, the final order date shall be used as a starting
point, instead of the citation date.
b. A settlement agreement may specify an alternative monitoring schedule.
3. 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 provide adequate interim protection for
employees, a monitoring inspection may be conducted every twelve months.
4. 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.
D. Monitoring Abatement Efforts.
1. 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.
2. 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.
3. 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.
4. 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.
5. CSHOs 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.

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 6. CSHOs 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 relevant factors available in an organized manner. The factors to be
considered may include, but are not limited to the following:
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.
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 exposures and specific calendar dates.
f. Personal protective equipment.
g. Medical programs.
h. Emergency action plans.
E. Monitoring Corporate-Wide Settlement Agreements.
Corporate-wide Settlement Agreements (CSA) extend abatement requirements to all
covered locations of the company. These agreements may require baseline, periodic and
follow-up monitoring. Additional information regarding abatement related to CSA may
be found in CPL 02-00-152, Guidelines for Administrating of Corporate-Wide Settlement
Agreements, dated June 22, 2011.

XIV. Notification of Failure to Abatement.

A. Violation.
A Notification of Failure to Abate Alleged Violation (OSHA-2B) shall be issued in cases
where violations have not been corrected as required, as verified by an onsite inspection
or follow-up inspection.
B. Penalties.
Failure to abate penalties shall be applied when an employer has not corrected a
previously cited violation which is a final order of the Commission.
C. Calculation of Additional Penalties.
1. A Gravity Based Penalty (GBP) for unabated violations is to be calculated for failure
to abate a serious or other-than-serious violation on the basis of the facts noted upon
re-inspection.
2. Detailed information on calculating failure to abate (FTA) penalties is included in
Chapter 6, Penalties and Debt Collection.

XV. Case File Management.

A. Closing of Case File Without Abatement Certification.
The closing of a case file without abatement certification(s) must be justified through a
statement in the case file by the Area Director or his/her designee, addressing the reason
for accepting each uncertified violation as an abated citation.
B. Review of Employer-Submitted Abatement.

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 Area Offices are encouraged to review employer-submitted abatement verification
materials as soon as possible but no later than 30 days after receipt. If the review will be
delayed, notify the employer that the material will be reviewed by a certain date, and that
the case will be closed if appropriate, after that time.
C. Whether to Keep Abatement Documentation.
Abatement documentation (photos, employer programs, etc.) shall be retained in
accordance with OSHA Instruction ADM 03-01-005, OSHA Compliance Records, dated
August 3, 1998.

XVI. Abatement 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 and provide incentives for immediate onsite
abatement of certain types of violations. For further information see Chapter 6, Section IV,
Effect on Penalties if Employer Immediately Corrects.

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 Chapter 8

SETTLEMENTS
I. Settlement of Cases by Area Directors.
Area Directors are granted settlement authority and shall follow these instructions when
negotiating settlement agreements.
A. General.
1. Except for egregious cases, or cases that affect other jurisdictions, Area Directors
may enter into Informal Settlement Agreements with employers prior to the employer
filing a written notice of contest.
NOTE: After the employer has filed a written notice of contest, the Area Director
may proceed toward a Formal Settlement Agreement with the concurrence and
participation of the RSOL.
2. Area Directors may amend abatement dates, reclassify violations (e.g., willful to
serious, serious to other-than-serious), and modify or withdraw a penalty, a citation,
or a citation item, where evidence establishes during the informal conference that the
changes are justified.
3. Area Directors may negotiate the amount of proposed penalties, depending on the
circumstances of the case and the particular improvements in employee safety and
health that can be obtained.
4. Employers shall be informed that they are required by §1903.19 to post copies of all
amendments or changes to citations resulting from informal conferences. Employee
representatives must also be provided with copies of any agreements.
5. Cases or issues relating to potential Section 17 settlements shall be handled in
accordance with established agency procedures, including approval by the National
Office.
B. Pre-Contest Settlement (Informal Settlement Agreement).
Pre-contest settlement discussions will generally occur during or immediately following
the information conference and prior to the expiration of the 15 working day contest
period.
1. In the event that an employer is bringing an attorney to an informal conference, Area
Directors or their designees are encouraged to contact the RSOL and ask for the
assistance of counsel.
2. If a settlement is reached during the informal conference, an Informal Settlement
Agreement (ISA) shall be prepared and the employer will be asked to sign it. It will
be effective upon signature of both the employer and the Area Director (who shall
sign last), provided the contest period has not expired. Both parties will date the
documents on the day of actual signature.
3. If the employer is not present to sign the ISA, the Area Director shall send the
agreement to the employer for signature. After signing, the employer must return the
agreement to the Area Director by hand delivery or via facsimile within the 15
working day contest period.
a. In every case, Area Directors shall give employers notice in writing that the
citation will become final and unreviewable at the end of the contest period,
unless the employer signs the proposed agreement or files a written notice of
contest.

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 b. If an employer wishes to make any changes to the text of the agreement, the Area
Director must agree to and authorize the proposed changes prior to the expiration
of the contest period.
 If the changes proposed by the employer are acceptable to the Area
Director, the exact language written into the agreement shall be mutually
agreed upon. Employers shall be instructed to incorporate the agreed-
upon language into the agreement, sign it, and return to the Area Office
by hand delivery or via facsimile.
 Annotations incorporating the exact language of any changes authorized
shall be made to the retained copy of the agreement and signed and dated
by the Area Director.
c. Upon receipt of the ISA signed by the employer, the Area Director will ensure,
prior to his/her signature that any modifications to the agreement are consistent
with the notations made in the case file.
 In these cases, the citation record will then be updated in OIS in
accordance with current procedures.
 If an employer’s changes substantially alter the original terms, the
agreement signed by the employer will be treated as a notice of contest
and handled accordingly. The employer will be informed of this as soon
as possible.
d. A reasonable time will be allowed for return of the agreement from the employer.
 If an agreement is not received within the 15 working day contest period,
the Area Director will presume the employer did not sign the agreement,
and the citation will be treated as a final order.
 The employer will be required to certify that the informal settlement
agreement was signed prior to the expiration of the contest period.
4. If settlement efforts are unsuccessful and the employer contests the citation, the Area
Director will state the terms of the final settlement offer in the case file.
5. Please see Informal Conference Guidance Memorandum, dated September 18, 2013,
for more information. The following paragraphs were taken from the Informal
Conference Guidance Memo:
a. Provide the attendee information regarding the purpose of an informal
conference. This will include the following:
 Why the inspection was conducted. Explicitly, the difference between a
programmed and un-programmed inspection. For example, “OSHA
conducted an un-programmed inspection of your facility because one of
your employees filed a formal complaint alleging blocked exit routes.”
 The rights of the employer(s). Specifically, the AD will inform the
employer(s) of their contest rights. The AD will provide the employer(s)
an overview of OSHA’s contest procedures. Furthermore, the AD
should indicate that if the employer(s) decide to contest the citation(s),
any past settlement offer made during the informal conference will no
longer be available to the employer(s) at the area office level. Once a
case is contested, the AD’s should explain that the case is transferred to
the Regional Solicitor’s office.
 The AD should inform the employer that (for settlement purposes) he/she
has the authority to change the citation’s classification and adjust the
total proposed penalty. However, the AD should clarify that this can
only be accomplished if employers show that they have developed or will
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 continue to improve on a safety and health program and have, or are in
the process of, abating all cited violations. Examples of proactive
initiatives should include, but are not limited to, hiring a safety and
health consultant or using OSHA’s consultation services. A reduction in
classification or penalty can only be given if proof of correct abatement
has been received or if the employer has committed to correct the
violations by the abatement due dates.
 Potential for settlement of citation(s). The AD should inform the
employer that if an agreement is reached, the Informal Settlement
Agreement (ISA) must be signed by both parties. Additionally, the AD
will inform the employer(s) that by signing the ISA, the employer(s)
forfeit their right to contest the citation(s).
b. Once the employers understand why the inspection was conducted and the
procedures of the informal conference are explained, the AD should start a
discussion regarding the citations.
c. As the citation(s) are discussed, the AD must thoroughly document what was
stated by all parties (employers, employee representatives, and AD).
Furthermore, if the alleged violation was not corrected during the inspection,
the AD should ask for both the signed abatement certification and abatement
documentation (if required). For example, the employer(s) should provide
abatement verification that clearly proves the facilities’ exit routes are
unobstructed. Abatement verification can include photographs (time/date
stamped) of the corrected violative condition. This process should be
followed for any additional items and/or citations arising from the inspection.
d. Once the discussion of the citation(s) is concluded, the AD should determine
what are the expectations of the employer(s), (if any). Usually, the
employer(s) will ask for penalty reductions, citation reclassification, both
penalty reduction and reclassification, or possibly vacating the citation(s).
Depending upon the extent of safety and health efforts by the employer(s),
and any other pertinent information established during the course of the
settlement proceedings, the AD should use his/her professional judgment in
evaluating a settlement offer.
e. The AD will abide by OSHA policy and procedures and may grant a penalty
reduction and/or citation reclassification to settle the case.
f. There will be occasions where employers will ask for a payment plan. The
AD shall follow the guidelines in the FOM, Chapter 6, pertaining to
collecting payments.
g. Employers may ask for a petition to modify abatement (PMA). The AD will
follow procedures outlined in the FOM to ensure PMAs do not adversely
affect the safety and health of employees. The AD may amend abatement
dates, reclassify violations (e.g., willful to serious, serious to other-than-
serious), or modify or withdraw a penalty, a citation, or a citation item, where
the evidence establishes that the changes are justified.
h. Enforceability of ISA. If settlement negotiations change or in any way amend
the original citation(s), the agreement shall include language that states: “the
parties agree that the underlying citations are amended to include as
abatement the full terms of this agreement.”
i. The AD will advise the employer of OSHA’s Whistleblower protections
programs, which ensures that workers are free to participate in safety and
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 health activities. Section 11(c) of the OSH Act prohibits any person from
discharging or in any manner retaliating or discriminating against any worker
for exercising rights under the Act.
C. Procedures for Preparing the Informal Settlement Agreement.
The ISA shall be prepared and processed in accordance with current OSHA policies and
practices. For guidance in determining final dates of settlement agreements and Review
Commission orders, see Chapter 15, Section XIII, Citation Final Order Dates.
D. Post-Contest Settlement (Formal Settlement Agreement).
Post-contest settlements will normally occur before the complaint is filed with the
Review Commission.
1. Following the filing of a notice of contest, the Area Director shall (unless other
procedures have been agreed upon) notify the RSOL when it appears that
negotiations with the employer may produce a settlement. This notification shall
occur at the time the notice of contest transmittal memorandum is sent to the RSOL.
2. If a settlement is later requested by the employer, the Area Director will communicate
the proposed terms to the RSOL, who will then draft and execute the agreement.
E. Corporate-Wide Settlement Agreement.
Corporate-wide Settlement Agreements (CSAs) may be entered into under special
circumstances to obtain formal recognition by the employer of cited hazards and formal
acceptance of the obligation to seek out and abate those hazards throughout all
workplaces under its control. See CPL 02-00-152, Guidelines for Administering
Corporate-Wide Settlement Agreements, dated June 22, 2011, for additional information.

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 Chapter 9

COMPLAINT AND REFERRAL PROCESSING

I. Safety and Health Complaints and Referrals.
A. Definitions.
1. Complaint.
Notice of an alleged safety or health hazard (over which OSHA has jurisdiction), or a
violation of the Act. There are two types; formal and non-formal.
a. Formal Complaint.
Complaint made by a current employee or a representative of employees that
meets all of the following requirements:
 Asserts that an imminent danger, a violation of the Act, or a violation of
an OSHA standard exposes employees to a potential physical or health
harm in the workplace;
 Is reduced to writing or submitted on a Complaint (OSHA-7); and
 Is signed by at least one current employee or employee representative.
b. Non-formal Complaint.
Any complaint alleging a safety or health violation(s) that does not meet all of the
requirements of a formal complaint identified above and does not come from one
of the sources identified under the definition of Referral, below.
2. Inspection.
An onsite examination of an employer’s worksite conducted by an OSHA compliance
officer, initiated as the result of a complaint or referral, and meeting at least one of
the criteria identified in Section C, Criteria Warranting an Inspection, below.
3. Inquiry.
A process conducted in response to a complaint or a referral that does not meet one of
the identified inspection criteria as listed in Section C. It does not involve an onsite
inspection of the workplace, but rather the employer is notified of the alleged
hazard(s) or violation(s) by telephone, fax, email, or by letter if necessary. The
employer is then requested to provide a response, and OSHA will notify the
complainant of that response via appropriate means.
4. Electronic Complaint.
A complaint submitted via OSHA’s public website. All complaints submitted via
OSHA’s public website are initially considered non-formal. See Chapter 9 Section
I.E.5., to determine when electronic complaints are to be considered formal.
5. Permanently Disabling Injury or Illness.
An injury or illness that has resulted in permanent disability or an illness that is
chronic or irreversible. Permanently disabling injuries or illnesses include, but are
not limited to: amputation, blindness, a standard threshold shift in hearing, lead or
mercury poisoning, paralysis or third-degree burns.
6. Referral.
An allegation of a potential workplace hazard or violation received from one of the
sources listed below.
a. CSHO referral – information based on the direct observation of a CSHO.

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 b. Safety and health agency referral – from sources including, but not limited to:
NIOSH, state programs, consultation, and state or local health departments, as
well as safety and/or health professionals in other Federal agencies.
c. Descrimination complaint referral – made by a whistleblower investigator when
an employee alleges that he or she was retaliated against for complaining about
safety or health conditions in the workplace, refusing to do an allegedly
imminently dangerous task, or engaging in other activities related to occupational
safety or health.
d. Other government agency referral – made by other Federal, State, or local
government agencies or their employees, including local police and fire
departments.
e. Media report – either news items reported in the media or information reported
directly to OSHA by a media source.
f. Employer/Employer Representative report – of accidents other than fatalities and
catastrophes.
7. Representative of Employees.
Any of the following:
a. An authorized representative of the employee bargaining unit, such as a certified
or recognized labor organization.
b. An attorney acting for an employee.
c. Any other person acting in a bona fide representative capacity, including, but not
limited to, 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.
NOTE: The representative 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, the filing of the complaint on
his or her behalf.
B. Classifying as a Complaint or a Referral.
Whether the information received is classified as a complaint or a referral, an inspection
of a workplace is normally warranted if at least one of the conditions in Section C,
Criteria Warranting an Inspection is met.
C. Criteria Warranting an Inspection.
An inspection is normally warranted if at least one of the conditions below is met (but
see also Section I.D., of this chapter, Scheduling an Inspection of an Employer in an
Exempt Industry):
1. A valid formal complaint is submitted. Specifically, the complaint must be reduced
to writing or submitted on a Complaint (OSHA-7), 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 received in a signed, written complaint from a current employee or
employee representative that alleges a recordkeeping deficiency that indicates the
existence of a potentially serious safety or health violation.
3. The information alleges that a permanently disabling injury or illness 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.
9-2
 4. The information alleges that an imminent danger situation exists.
5. The information concerns an establishment and an alleged hazard covered by a local,
regional, or national emphasis program (such as the Site-Specific Targeting Plan).
6. 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). The evidence must be
descriptive of current, on-going or recurring hazardous conditions.
7. The establishment that is the subject of the information has a history of egregious,
willful, failure-to-abate, or repeated citations within the Area Office’s jurisdiction
during the past three years, or is an establishment or related establishment in the
Severe Violator Enforcement Program. However, if the employer has previously
submitted adequate documentation for these violations demonstrating that they were
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.
8. A whistleblower 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, refusing to perform an allegedly dangerous job or task, or engaging in
other activities related to occupational safety or health.
9. 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 receive a
written response addressing the complaint items.
10. If the information gives reasonable grounds to believe that an employee under 18
years of age is exposed to a serious violation of a safety or health standard or a
serious hazard, an onsite inspection will be initiated if the information relates to
construction, manufacturing, maritime, 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 CPL 02-00-051, Enforcement
Exemptions and Limitations under the Appropriations Act, dated May 28, 1998. A
referral to Wage and Hour should also be initiated.
NOTE: The information does not need to allege that a child labor law has been
violated.
D. Scheduling an Inspection of an Employer in an Exempt Industry.
In order to schedule an inspection of an employer in an exempt industry classification as
specified by Appropriations Act provisions (See CPL 02-00-051, Enforcement
Exemptions and Limitations under the Appropriations Act, dated May 28, 1998):
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 Section I.A.7., of this chapter, Representative of
Employees), with the employee’s knowledge of the representative’s intended action.
E. Electronic Complaints Received via the OSHA Public Website.
1. Electronic complaints submitted via the OSHA public website are automatically
forwarded via email to a designated Area Office in the appropriate state. That Office
then forwards the electronic complaints to the appropriate Area Office in the state.
2. Each Area Office manages a “Complaints” mailbox and processes electronic
complaints according to internal complaint processing procedures. The complaints
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 mailbox is monitored daily and every incoming complaint is reviewed for
jurisdiction.
a. If the complaint falls within the jurisdiction of the Area Office, the complaint is
entered into OIS and processed as usual.
b. If the complaint falls within the jurisdiction of another Area Office, the complaint
is forwarded appropriately.
3. Area Offices will coordinate with State Plan States to establish procedures to process
electronic complaints. The State establishes its own internal procedures for
responding to such complaints. These procedures may be the State’s usual
procedures for handling unsigned complaints or they may include some further
coordination with the complainant prior to action. In State Plan States, the Federal
Monitoring office will screen the complaints unless there is another arrangement. If
the complaint falls within the individual State Plan’s jurisdiction, the Screening
Office will follow the procedures developed with the State Plan for processing the
complaint.
4. Complete a Complaint (OSHA-7) for all complaint information received. In order to
facilitate the tracking of electronic complaints, enter the following code in the
Optional Information field:
N-11-LOGXXXXXX
 Where N-11 indicates that the complaint was filed electronically; and
 The digits following LOG are the unique complaint 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.
5. Electronic complaints where a current employee has provided their name and
checked the “This constitutes my electronic signature” box shall be considered as a
formal complaint and processed accordingly.
6. All complaint-related material received electronically should be printed and date
stamped with the date the material was submitted and received. When these dates are
not the same, the Area Director will determine the appropriate date for the incoming
material.
F. Information Received by Telephone.
1. While speaking with the caller, OSHA personnel will attempt to obtain the following
information:
a. Whether the caller is a current employee or an employee representative.
b. The exact nature of the alleged hazard(s) and the basis of the caller’s knowledge.
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.
c. The employer’s name, address, email address, telephone and fax numbers, as well
as the name of a contact person at the worksite.
d. The name, address, telephone number, and email address of any union and/or
employee representative at the worksite.
2. As appropriate, OSHA will provide the caller with the following information:
a. Describe the complaint process, and if appropriate, the concepts of “inquiry” and
“inspection,” as well as the relative advantages of each.

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 b. 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 onsite 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. Information received by telephone from a current employee is considered a non-
formal complaint until that individual provides a signed copy of the information. The
employee can mail, email or fax a signed copy of the information, request that a
Complaint (OSHA-7) be sent, or sign the information in person at the Area Office.
Normally a complainant has five working days to formalize an electronic complaint.
4. 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
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.
5. 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, §1960.46 and the Whistleblowers Protection Act of 1989 to Federal
employees. See Chapter 13, Section III.E., for reports of reprisal or discrimination
from Federal employees.
G. Procedures for Handling Complaints Filed in Multiple Area Offices or Regions.
1. When a Regional Office determines that multiple offices within the Region have
received the same complaint or, if the Regional Office suspects the same complaint
has been filed in multiple Regions, the Regional Office should contact the Director or
Deputy Director of the Directorate of Enforcement Programs (DEP).
2. DEP will query all 10 Regions and coordinate with the Directorate of Cooperative
and State Programs to query the State Plan States in order to determine whether
similar complaints were filed in multiple offices.
a. If multiple Regions have received the same complaint, the National Office will
address the complaint with the employer.
b. Area Offices should indicate in OIS that these complaints have been transferred
to the National Office.
H. Procedures for an Inspection.
1. Upon receipt of a complaint or referral, the Area Director (or his or her designee) will
evaluate all available information to determine whether there are reasonable grounds
to believe that a violation or hazard exists.
a. 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 the Complaint Questionnaire beginning
on page 9-13.
b. The Area Director may determine not to inspect a facility if he/she has a
substantial reason to believe that the condition complained of is being or has been
abated.

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 2. Despite the existence of a complaint, if the Area Director believes there is no
reasonable grounds that a violation or hazard exists, no inspection or inquiry will be
conducted.
a. 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 right to have the determination reviewed under §1903.12.
The justification for not inspecting will be noted in the case file.
b. In the event of a non-formal complaint or referral, 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 or
conducting an inquiry will be noted in the case file.
3. If the information contained in the complaint or referral meets at least one of the
inspection criteria listed in Section I.C., of this chapter, Criteria Warranting an
Inspection, and there are reasonable grounds to believe that a violation or hazard
exists, the Area Office is authorized to conduct an inspection.
a. 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.
b. 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.
4. If an inspection is warranted, it will be initiated as soon as resources permit.
Inspections resulting from formal complaints of serious hazards will normally be
initiated within five working days of formalizing.
I. Procedures for an Inquiry.
1. If the complaint or referral does not meet the criteria for initiating an onsite
inspection, an inquiry will be conducted. OSHA will promptly contact the employer
to provide notification of the complaint or referral and its allegation(s), and fax or
email a confirming letter.
2. If a non-formal complaint is submitted by a current employee or a representative of
employees that does not meet any of the inspection criteria, the complainant may be
given five working days to make the complaint formal.
a. The complainant may come into the Area Office and sign the complaint, or mail,
email, or fax a signed complaint letter to OSHA. Additionally, a Complaint
(OSHA-7) can be mailed or faxed to the complainant, if appropriate.
b. If the complaint is not made formal after five working days, after making a
reasonable attempt to inform the complainant of the decision, OSHA will proceed
with the inquiry process.
3. The employer will be advised of what information is needed to answer the inquiry
and encouraged to respond by fax or email. See Chapter 13, Federal Agency Field
Activities, for differing Federal Agency procedures. Employers are encouraged to do
the following:
a. Immediately investigate and determine whether the complaint or referral
information is valid and make any necessary corrections or modifications.
b. Advise the Area Director either in writing via email or fax within five working
days of the results of the investigation into the alleged complaint or referral
information. At the discretion of the Area Director, the response time may be
longer or shorter than five working days, depending on the circumstances.
Additionally, although the employer is requested to respond within the above
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 time frame, the employer may not be able to complete abatement action during
that time, but is encouraged to do so.
c. 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.
d. Post a copy of the letter from OSHA where it is readily accessible for review by
all employees.
e. Return a copy of the signed Certificate of Posting to the Area Office.
f. If there is a recognized employee union or safety and health committee in the
facility, provide them with a copy of OSHA’s letter and the employer’s response.
4. As soon as possible after contacting the employer, a notification letter will be faxed
to the employer, or mailed where no fax is available. Sample letters to complainants
and employers are provided on the NCR. Note that some of these letters are for
private sector use and some are for Federal Agency use. If email is an acceptable
means of responding, this should be indicated in the notification letter and the proper
email address should be provided.
5. If no employer response or an inadequate employer response is received after the
allotted five working days, additional contact with the employer may be made before
an inspection is scheduled. If the employer provides no response or an inadequate
response, or if OSHA determines from other information that the condition has not
been or is not being corrected, an inspection will be scheduled.
6. The complainant will be advised of the employer’s response, as well as the
complainant’s rights to dispute that response, and if the alleged hazard persists, of the
right to request an inspection. When OSHA receives an adequate response from the
employer and the complainant does not dispute or object to the response, an onsite
inspection normally will not be conducted.
7. 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.
a. If the employee disagreement takes the form of a written and signed formal
complaint, then see Section I.H., of this chapter, Procedures for an Inspection.
b. If the employee disagreement does not take the form of a written and signed
formal complaint, some discretion is allowed in situations where the information
does not justify an onsite 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 thoroughly documented in the case
file.
8. If a signed complaint is received after the complaint inquiry process has begun, the
Area Director will determine whether the alleged hazard is likely to exist based on the
employer’s response and by contacting the complainant. The complainant will be
informed that the inquiry has begun and that the complainant retains the right to
request an onsite inspection if he/she disputes the results and believes the hazard still
exists.
9. The complaint must not be closed until OSHA verifies that the hazard has been
abated.
10. The justification for not conducting an inquiry will be noted in the case file.
J. Complainant Protection.
9-7
 1. Identity of the Complainant.
Upon request of the complainant, his or her identity will be withheld from the
employer in accordance with Section 8(f)(1) of the Act. No information will be given
to the employer that would allow the employer to identify the complainant.
2. Whistleblower Protection.
a. 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 or health. Any employee who believes
that he or she has been discharged or otherwise retaliated against by any person
as a result of engaging in such activities may file a whistleblower complaint. The
complaint must be filed within thirty days of the discharge or other retaliation.
b. Complainants should always be advised of their Section 11(c) rights and
protections upon initial contact with OSHA and whenever appropriate in
subsequent communications.
K. Recording in OIS.
Information about complaint and referral inspections or inquiries must be recorded in OIS
following the current instructions outlined in the FOM. Referrals reported by the
employer will be recorded in OIS following the guidance provided in the Memorandum
entitled, “Interim Enforcement Procedures for New Reporting Requirements under 29
C.F.R. 1904.39”, dated December 24, 2014, or unless superseded by future agency-
approved correspondence.

II. Whistleblower Complaints.

A. OSHA enforces the whistleblower or anti-retaliation provisions of the OSH Act and
sixteen other federal statutes. A desk reference summarizing these statutes can be found
in the Whistleblower Investigations Manual on OSHA’s Web site. These statutes
generally provide that employers may not discharge or otherwise retaliate against an
employee because the employee has reported an alleged violation related to the statute to
an employer or a government agency, or otherwise exercised any rights provided to
employees by the various statutes.
B. When a retaliation complaint is made under any of the sixteen federal whistleblower
statutes enforced by OSHA other than the OSH Act, the complainant should be referred
promptly to the Regional Supervisory Investigator or Team Leader because the
requirements for filing complaints under those statutes vary from those of the OSH Act.
They should also be advised that there are statutory deadlines for filing these complaints.
C. In the context of an OSHA enforcement action or a consultation activity, the complainant
will be advised of the protection against retaliation afforded by Section 11(c) of the Act.
A Section 11(c) complaint may be in any form, including an oral complaint made to a
CSHO. Thus, if a person alleges that he has suffered an adverse action because of
activity protected under Section 11(c), CSHOs will record that person’s identifying
information and the date and time of this initial contact on an OSHA-87 form and
forward it to the Regional Supervisory Investigator or Team Leader for processing.
D. In State Plan States, employees may file occupational safety and health retaliation
complaints with Federal OSHA, the State, or both. Federal OSHA normally refers such
complaints to the State Plan States for investigation. OSHA’s Whistleblower Manual
outlines the Agency’s referral/deferral policies for such complaints.

III. Decision Trees.

9-8
A. See tree on page 9-10 for OSHA enforcement action or consultation activity when
information is obtained in writing.
B. See tree on page 9-12 for OSHA enforcement action or consultation activity when
information is obtained orally.

9-9
9-10
9-11
9-12
 Complaint Questionnaire

Obtain information from the caller by asking the following questions, where relevant.

For All Complaints:

1. What is the specific safety or health hazard?

2. Has the hazardous condition been brought to the employer’s attention? If so, when? How?

3. How are employees exposed to this hazard? Describe the unsafe or unhealthful working
conditions; identify the location.

4. What work is done in the unsafe/unhealthful area? Identify, as well as possible, the type and
condition of equipment in use, the materials (e.g., chemicals) being used, the process/operation
involved, and the kinds of work being done near the hazardous area. Have there been any recent
chemical spills, releases, or accidents?

5. With what frequency are employees doing the task that leads to the exposure? Continuously?
Every day? Every week? Rarely? For how long at one time? How long has the condition
existed (so far as can be determined)? Has it been brought to the employer’s attention? Have
any attempts been made to correct the condition, and, if so, who took these actions? What were
the results?

6. How many shifts are there? What time do they start? On which shift does the hazardous
condition exist?

9-13
7. What personal protective equipment (e.g., hearing protection, gloves or respirators) is required by
the employer relevant to the alleged exposure? Is it used by employees? Include all PPE and
describe it as specifically as possible. Include the manufacturer’s name and any identifying
numbers.

8. How many people work in the establishment? How many are exposed to the hazardous
conditions? How near do they get to the hazard?

9. Is there an employee representative or a union in the establishment? Include the name, address,
and telephone number of the union and/or the employee representative(s).

For Health Hazards

10. Has the employer administered any tests to determine employee exposure levels to the hazardous
conditions or substance? Describe these tests. Can the employees get the results (as required by
the standard)? What were the results?

11. What engineering controls are in place in the area(s) in which the exposed employees work? For
instance, are there any fans or acoustical insulation in the area which may reduce exposure to the
hazard?

12. What administrative or work practice controls has the employer put in place?

9-14
13. Do any employees have any symptoms that may have been caused by exposure to hazardous
substances? Have any employees ever been treated by a physician for a work-related disease or
condition? What was it?

14. Have there been any “near-miss” incidents?

15. Are respirators worn to protect against health hazards? If so, what kind? What exposures are
they protecting against?

16. If the complaint is related to noise, what, if any, hearing protection is provided and worn by the
employees?

17. Do employees receive audiograms on a regular basis?

For Safety Hazards:

18. Under what adverse or hazardous conditions are employees required to work? This should
include conditions contributing to stress and “other” probability factors.

19. Have any employees been injured as a result of this hazardous condition? Have there been any
“near-miss” incidents?

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 Chapter 10

INDUSTRY SECTORS
I. Agriculture.
A. Introduction.
Special situations arising in the agriculture industry, which is regulated under 29 CFR
Part 1928 and the General Duty Clause, are discussed in this section. Part 1928 covers
“agricultural operations,” which include, but are not limited to, egg farms, poultry farms,
livestock grain and feed lot operations, dairy farms, horse farms, hog farms, fish farms,
and fur-bearing animal farms. OSHA has very few standards that are applicable to this
industry. Part 1928 sets forth a few standards in full and lists particular Part 1910
standards which apply to agricultural operations. Part 1910 standards not listed do not
apply. The General Duty Clause may be used to address hazards not covered by these
standards.
B. Definitions.
1. Agricultural Operations.
This term is not defined in 29 CFR Part 1928. Generally, agricultural operations
would include any activities involved in the growing and harvesting of crops, plants,
vines, fruit trees, nut trees, ornamental plants, egg production, the raising of livestock
(including poultry and fish), as well as livestock products. The Occupational Safety
and Health Review Commission has ruled that activities integrally related to these
core “agricultural operations” are also included within that term. Darragh Company,
9 BNA OSHC 1205, (Nos. 77-2555, 77-3074, and 77-3075, 1980) (delivery of feed
to chicken farmer by integrator of poultry products is agricultural operation); Marion
Stevens dba Chapman & Stephens Company, 5 BNA OSHC 1395 (No.13535, 1977)
(removal of pipe to maintain irrigation system in citrus grove is agricultural
operation). Post-harvest activities not on a farm, such as receiving, cleaning, sorting,
sizing, weighing, inspecting, stacking, packaging and shipping produce, are not
“agricultural operations.” J. C. Watson Company, 22 BNA OSHC 1235 (Nos. 05-
0175 and 05-0176, 2008) (employer’s onion packing shed was not an agricultural
operation); J.C. Watson Company v. Solis, DC Cir. 08-1230 (April 17, 2009).
2. Agricultural Employee.
OSHA regulation §1975.4(b)(2) states that members of the immediate family of the
farm employer are not regarded as employees.
3. Farming Operation.
This term is used in OSHA’s Appropriations Act, and has been defined in CPL 02-
00-051, Enforcement Exemptions and Limitations under the Appropriations Act,
dated May 28, 1998, to mean any operation involved in the growing or harvesting of
crops, the raising of livestock or poultry, or related activities conducted by a farmer
on-sites such as farms, ranches, orchards, dairy farms or similar farming operations.
These are employers engaged in businesses that have a two digit Standard
Industrial Classification (SIC) of 01 and three digit North American Industry
Classification System (NAICS) of 111 (Agricultural Production - Crops); SIC 02 and
NAICS 112 (Agricultural Production - Livestock and Animal Specialties); four digit
SIC 0711 and six digit NAICS 115112 (Soil Preparation Services); SIC 0721 and
NAICS 115112 (Crop Planting, Cultivating, and Protecting); SIC 0722 and NAICS

10-1
 115113 (Crop Harvesting, Primarily by Machine); SIC 0761 and NAICS 115115
(Farm Labor Contractors and Crew Leaders); and SIC 0762 and NAICS 115116
(Farm Management Services).
4. Post-Harvesting Processing.
This is a term that is used in CPL 02-00-051, Enforcement Exemptions and
Limitations under the Appropriations Act, dated May 28, 1998, in discussing
enforcement guidance for small farming operations. Generally, post-harvest
processing can be thought of as changing the character of the product (canning,
making cider or sauces, etc.) or a higher degree of packaging versus field sorting in a
shed for size.
C. Appropriations Act Exemptions for Farming Operations.
1. Exempt Farming Operations.
OSHA is limited by provisions in its Appropriations Act as to which employers it
may inspect. Some of the Appropriations Act exemptions and limitations apply to
small farming operations. Specifically, OSHA shall not inspect farming operations
that have 10 or fewer employees and have had no temporary labor camp (TLC)
activity within the prior 12 months.
2. Non-Exempt Farming Operations.
A farming operation with 10 or fewer employees that maintains a temporary labor
camp or has maintained a temporary labor camp within the last twelve months is not
exempt from inspection.
3. State Plans States.
States with OSHA-approved State Plans may enforce on small farms and provide
consultation or training, provided that 100% state funds are used and the state has an
accounting system in place to assure that no federal or matching state funds are
expended on these activities.
4. Enforcement Guidance for Small Farming Operations.
OSHA’s Appropriations Act exempts qualifying small farming operations from
enforcement or administration of all rules, regulations, standards or orders under the
Occupational Safety and Health Act, including rules affecting consultation and
technical assistance or education and training services.
Table 10-1, below, provides an at-a-glance reference to OSHA activities under its
funding legislation.

10-2
 Table 10-1: OSHA’s Appropriation Act Exemptions for Farming Operations
Farming operations with Farming operations with
10 or fewer employees more than 10 EEs or a
OSHA Activity (EEs) and no TLC farming operation with
activity within 12 an active TLC within 12
months. months.
Programmed Safety Inspections Not Permitted Permitted

Programmed Health Inspections Not Permitted Permitted

Employee Complaint Not Permitted Permitted

Fatality and/or two or more

Not Permitted Permitted
Hospitalizations (Reporting Note)

Imminent Danger Not Permitted Permitted

11(c) (whistleblower investigation) Not Permitted Permitted

Consultation & Technical Assistance Not Permitted Permitted

Education & Training Not Permitted Permitted

Conduct Surveys & Studies Not Permitted Permitted

NOTE: See CPL 02-00-051, Enforcement Exemptions and Limitations under the Appropriations
Act, May 28, 1998, for additional information.
D. Standards Applicable to Agriculture.
OSHA has very few standards that apply to employers engaged in agricultural operations.
Activities that take place after harvesting are considered general industry operations and
are covered by OSHA’s general industry standards.
1. Agricultural Standards (Part 1928).
a. Roll-over Protective Structures (ROPS) for Tractors (§1928.51, 1928.52, and
1928.53).
b. Guarding of Moving Machinery Parts of Farm Field Equipment, Farmstead
Equipment, and Cotton Gins (§1928.57).
c. Field Sanitation (§1928.110). See Section I.F., of this chapter, Wage &
Hour/OSHA Shared Authority under Secretary’s Order, regarding Wage & Hour
authority. OSHA has no authority to issue any citations under this standard.
2. General Industry Standards (Part 1910).
a. Temporary Labor Camps (§1910.142). See Chapter 12, Section II, Temporary
Labor Camps.
b. Storage and Handling of Anhydrous Ammonia (§1910.111(a) and (b)).
c. Logging Operations (§1910.266).
d. Specifications for Accident Prevention Signs and Tags – Slow-Moving Vehicle
Emblem (§1910.145(d)(10)).
e. Hazard Communication (§1910.1200).
f. Cadmium (§1910.1027).

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 g. Retention of Department of Transportation Markings, Placards and Labels
(§1910.1201).
Except to the extent specified above, the standards contained in subparts B
through T and subpart Z of Part 1910 of Title 29 do not apply to agricultural
operations.
3. General Duty Clause.
As in any situation where no standard is applicable, Section 5(a)(1) of the OSH Act
may be used; all the elements for a Section 5(a)(1) citation must be met. See Chapter
4, Section III, General Duty Clause.
E. Pesticides.
1. Coverage.
a. Pursuant to the Federal Insecticide, Fungicide and Rodenticide Act (FIFRA), the
Environmental Protection Agency (EPA) has jurisdiction over employee
protection relating to pesticides (which also includes herbicides, fungicides and
rodenticides). The EPA Worker Protection Standard (WPS) protects employees
on farms, forests, nurseries, and greenhouses from occupational exposure to
agricultural pesticides. The WPS includes provisions for personal protective
equipment, labeling, employee notification, safety training, safety posters, decon-
tamination supplies, emergency assistance, and restricted field entry. See 40 CFR
Part 170, Worker Protection Standard.
b. The regulation covers two types of employees:
 Pesticide Handlers. Those who mix, load, or apply agricultural
pesticides; clean or repair pesticide application equipment; or assist with
the application of pesticides in any way.
 Agricultural Workers. Those who perform tasks related to the cultivation
and harvesting of plants on farms or in greenhouses, nurseries, or forests
– such as carrying nursery stock, repotting plants, or watering – related to
the production of agricultural plants on an agricultural establishment.
c. For all pesticide use, including uses not covered by 40 CFR Part 170, it is a
violation of FIFRA to use a registered pesticide in a manner inconsistent with its
labeling. Thus, OSHA has no authority to issue any citations related to pesticide
exposures, pursuant to Section 4(b)(1) of the OSH Act. In the event that a CSHO
should encounter any cases of pesticide exposure or the lack of an appropriate
pesticide label on containers, a referral shall be made to the local EPA office or to
state agencies administering pesticide laws.
d. EPA also has jurisdiction in non-agriculture situations where pesticides are being
applied by pest control companies. This would include, but not be limited to,
applications in and around factories, warehouses, office buildings, and personal
residences. OSHA may not cite its Hazard Communication standard in such
situations.
2. OSHA’s Hazard Communication Standard.
Although OSHA will not cite employers covered under EPA’s WPS with regard to
hazard communication requirements for pesticides, agricultural employers otherwise
covered by OSHA are still responsible for having a hazard communication program
for all hazardous chemicals that are not considered pesticides.
F. Wage & Hour/OSHA Shared Authority under Secretary’s Order.
Since 1997, the Wage & Hour Division (WHD) of the Employment Standards
Administration (ESA) has had shared authority with OSHA over two standards: the Field
Sanitation standard (1928.110), and the Temporary Labor Camp standard (1910.142).
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 See Delegation of Authorities and Assignment of Responsibilities to the Assistant
Secretary for Employment Standards and Other Officials in the Employment Standards
Administration (Federal Register, January 2, 1997 (62 FR 107)) and Secretary’s Order 5-
2002: Delegation of Authority and Assignment of Responsibility to the Assistant
Secretary for Occupational Safety and Health, Federal Register, October 22, 2002 (67 FR
65007).
1. Field Sanitation Standard.
a. The WHD has sole federal enforcement authority for this standard, including the
issuing of citations.
b. OSHA, therefore, shall not issue citations under this standard.
c. The provisions of the Field Sanitation standard are also applicable to reforestation
activities involving “hand-labor operations” as defined by the standard. This
position regarding reforestation activities was developed through extensive intra-
agency discussions and was intended to provide, in the absence of a clear and
unambiguous exemption of this activity from the provisions of the standard, the
broadest possible coverage for these employees.
2. Temporary Labor Camp (TLC) Standard.
Under the Secretary’s Order, enforcement authority for the TLC standard is split
between the WHD and OSHA. See Chapter 12, Section II, Temporary Labor Camps,
for a detailed discussion on Temporary Labor Camps.
3. Compliance Interpretation Authority.
WHD has sole interpretation authority for both the Field Sanitation and the
Temporary Labor Camp standards, even over those temporary labor camp areas for
which OSHA has enforcement authority.
4. Standard Revision and Variance Authority.
OSHA retains all authority for revisions of the Field Sanitation and the Temporary
Labor Camp standards, as well as the evaluation and granting of temporary and
permanent variances.
5. State Plan States.
a. Eight of the twenty-two jurisdictions (21 states and Puerto Rico) that have
OSHA-approved State Plans covering private sector employment elected not to
enforce the Field Sanitation standard in agriculture and the Temporary Labor
Camp standard, except with respect to egg, poultry, red meat production, and
post-harvesting processing of agricultural and horticultural commodities. Thus,
WHD enforces these standards, except as noted above, in the following states:
Alaska, Indiana, Iowa, Kentucky, Minnesota, South Carolina, Utah and
Wyoming.
b. The 14 other jurisdictions with OSHA-approved State Plans covering private
sector employment have retained enforcement authority for the Field Sanitation
and Temporary Labor Camp standards in agriculture. They are Arizona,
California, Hawaii, Maryland, Michigan, Nevada, New Mexico, North Carolina,
Oregon, Puerto Rico, Tennessee, Vermont, Virginia and Washington.

II. Construction [Reserved].

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III. Maritime.
The maritime industry includes shipyard employment (shipbuilding, ship repair,
shipbreaking, and related employments), marine cargo handling (longshoring and marine
terminals), and other marine activities.

A. MARITIME INDUSTRY PRIMARY RESOURCES .................................. 10-5

1. DIRECTIVES.................................................................................................. 10-5
2. STANDARDS ................................................................................................. 10-5
3. GUIDANCE PRODUCTS .................................................................................. 10-5
4. OSHA AGREEMENTS WITH OTHER AGENCIES AND ORGANIZATIONS ............ 10-7
5. ETOOLS, EXPERT ADVISORS, EMATRIX ........................................................ 10-7
6. PUBLIC MARITIME WEBPAGE ....................................................................... 10-8
7. CSHO MARITIME WEBPAGE ........................................................................ 10-8
B. SHIPYARD EMPLOYMENT (PART 1915) ................................................ 10-9
1. COVERAGE ................................................................................................... 10-9
2. SHIPYARD AUTHORITY ................................................................................. 10-9
3. SHIPYARD INSPECTIONS ............................................................................. 10-10
4. APPLICABLE STANDARDS ........................................................................... 10-14
5. SHIPYARD REFERENCES ............................................................................ 10- 15
C. MARINE CARGO HANDLING INDUSTRY (PARTS 1917 & 1918) ..... 10-16
1. COVERAGE ................................................................................................. 10-16
2. MARINE CARGO HANDLING AUTHORITY.................................................... 10-16
3. MARINE CARGO HANDLING INSPECTIONS .................................................. 10-17
4. APPLICABLE STANDARDS ........................................................................... 10-21
5. MARINE CARGO HANDLING REFERENCES .................................................. 10-22
D. OTHER MARINE ACTIVITIES................................................................. 10-23
1. COMMERCIAL DIVING – 29 CFR PART 1910, SUBPART T ........................... 10-23
2. COMMERCIAL FISHING – 29 CFR PART 1910 ............................................. 10-23
3. MARINE CONSTRUCTION – 29 CFR PART 1926 .......................................... 10-23
4. TOWBOATS/TUGBOATS – 29 CFR PART 1910 ............................................ 10-23
5. TRAINING MARINE OIL SPILL RESPONSE WORKERS ................................... 10-24
6. OTHER REGULATORY AGENCIES ................................................................ 10-24
E. SECURITY PROCEDURES ........................................................................ 10-24
1. TRANSPORTATION WORKER IDENTIFICATION CARD (TWIC) ..................... 10-24
2. PHOTOGRAPHY AND SECURITY AT U.S. NAVY WORKSITES ........................ 10-25

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A. Maritime Industry Primary Resources.
1. Directives.
a. CPL 02-00-157, Shipyard Employment “Tool Bag” Directive, April 1, 2014.
b. CPL 02-01-055, Maritime Cargo Gear Standards and 29 CFR 1919 Certification,
September 30, 2013.
c. CPL 02-00-154, Longshoring and Marine Terminals “Tool Shed” Directive, July
31, 2012.
d. CPL 02-00-151, 29 CFR Part 1910, Subpart T – Commercial Diving Operations,
June 13, 2011.
e. CPL 02-01-042, 29 CFR Part 1915, Subpart B, Confined and Enclosed Spaces
and Other Dangerous Atmospheres in Shipyard Employment, May 20, 2011.
f. CPL 03-00-012, OSHA’s National Emphasis Program (NEP) on Shipbreaking,
November 4, 2010.
g. CPL 02-01-049, 29 CFR Part 1915, Subpart I, Enforcement Guidance for
Personal Protective Equipment (PPE) in Shipyard Employment, November 4,
2010.
h. CPL 02-01-047, OSHA Authority Over Vessels and Facilities on or Adjacent to
U.S. Navigable Waters and the Outer Continental Shelf (OCS), February 22,
2010.
2. Standards.
a. 29 CFR Part 1915 – Shipyard Employment. Including the Shipyard Industry
Standards “Brown Book,” OSHA Publication 2268-03R (2009).
b. 29 CFR Part 1917 – Marine Terminals. Including the Longshoring Industry
“Green Book,” OSHA Publication 2232 (2001).
c. 29 CFR Part 1918 – Longshoring. Including the Longshoring Industry “Green
Book,” OSHA Publication 2232 (2001).
d. 29 CFR Part 1919 – Gear Certification. (See also 1915.115(a), 1917.50, 1918.11,
and 1918.66(a)(1)).
3. Guidance Products.
a. Shipyard Employment Industry.
 Guidance Documents.
o Safe Work Practices for Marine Hanging Staging. OSHA Guidance
Document (April 2005); also available as a PDF.
o Safe Work Practices for Shipbreaking. OSHA Publication 3375 (March
2010).
o Abrasive Blasting Hazards in Shipyard Employment. OSHA Guidance
Document (December 2006).
o Ventilation in Shipyard Employment. OSHA Publication 3639-04
(2013).
 Safety and Health Injury Prevention Sheets (SHIPS)
o Control of Hazardous Energy Lockout/Tags-Plus. (April 2014)
o Shipboard Electrical. (December 2013).
o Rigging. (April 2011).
o Shipfitting. (August 2008).
o Hot Work – Welding, Cutting and Brazing. OSHA Safety and Health
Injury Prevention Sheets.

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  Fact Sheets.
o Safe Lighting Practices in the Shipyard Industry. OSHA Publication FS
3677 (November 2013).
o Shipbreaking. OSHA Fact Sheet (2001). English PDF. Spanish PDF.
o Guidelines for Safely Entering and Cleaning Vessel Sewage Tanks.
OSHA Publication FS 3587 (March 2013).
o Safely Performing Hot Work on Hollow or Enclosed Structures in
Shipyards. OSHA Publication FS 3586 (March 2013).
o General Working Conditions in Shipyard Employment: Motor-Vehicle
Safety Equipment, Operation and Maintenance.
o General Working Conditions in Shipyard Employment: Sanitation.
o General Working Conditions in Shipyard Employment: Lockout/Tags-
plus Coordination.
o Spud Barge Safety. OSHA Publication FS 3358 (January 2009).
o Eye Protection against Radiant Energy during Welding and Cutting in
Shipyard Employment. OSHA Publication FS 3499 (January 2012).
English PDF. Spanish PDF.
o Safety While Working Alone in Shipyards. OSHA Publication FS 3591
(March 2013).
 Quick Cards.
o Fire Watch Safety during Hot Work in Shipyards. OSHA Publication
3494.
o Hot Work Safety on Hollow or Enclosed Structures in Shipyards. OSHA
Publication 3585 (March 2013).
o Aerial Lift Fall Protection Over Water. OSHA Publication 3452
(September 2011). English PDF. Spanish PDF.
 Additional Guidance.
o Deck Barge Safety. OSHA Publication 3358 (January 2009).
o Ergonomics for the Prevention of Musculoskeletal Disorders: Guidelines
for Shipyards. OSHA Publication 3341 (March 2008).
o Shipyard Fire Protection Frequently Asked Questions (FAQs). OSHA
(March 2006); also available as a PDF.
o Hanging Staging (Marine). OSHA eTool.
o Fire Protection in Shipyard Employment. OSHA Slide Presentation
(March 2005).
b. Marine Cargo Handling Industry.
 Fact Sheets.
o Working Safely While Repairing Intermodal Containers in Marine
Terminals. OSHA Publication FS 3626 (April 2013).
o Freeing Inoperable Semi-Automatic Twist Locks (SATLs) in
Longshoring. OSHA Publication FS 3583 (December 2012).
o Traffic Lanes and Personnel Safety Zones. OSHA Publication FS 3540
(May 2012).
o Radio Communication Can Assist Container Gantry Crane Operators in
Marine Terminals. OSHA Publication FS 3267 (June 2007); also
available as a PDF.
o Marine Terminal Fall Protection for Personnel Platforms. OSHA Fact
Sheet (June 2006); also available as a PDF.

10-8
  Quick Cards.
o First Aid in Marine Cargo Handling, OSHA Publication 3368 (December
2009). English and Spanish PDF.
o Lifesaving Facilities in Marine Cargo Handling, OSHA Publication 3367
(December 2009). English and Spanish PDF.
o Safe Plugging and Unplugging Reefer Units in Longshoring and Marine
Terminals. OSHA Publication 3652 (June 2013).
o Top/Side Handler Safety in Marine Terminals. OSHA Publication 3621
(April 2013).
o Servicing Multi-Piece and Single-Piece Rim Wheels. OSHA Publication
3584 (March 2013).
o Safe Operation of Semi-tractors in Marine Terminals. OSHA Publication
3653 (May 2013).
o Safely Operating and Working Around Cargo Handling Equipment in
Marine Terminals. OSHA Publication 3640 (May 2013).
o Mechanics Working in “the Yard” on Powered Equipment during Marine
Terminal Operations. OSHA Publication 3562 (July 2012).
o Working Safely on the Apron or Highline during Marine Terminal
Operations. OSHA Publication 3539 (May 2012).
o Gangway Safety in Marine Cargo Handling, OSHA Publication 3369
(December 2009). English and Spanish PDF.
 Additional Guidance.
o Roll-On Roll-Off (RO-RO) Ship and Dock Safety. OSHA Publication
3396 (June 2010).
o Traffic Safety in Marine Terminals. OSHA Publication 3337 (July 2007).
o OSHA Guidance Update on Protecting Employees from Avian Flu
(Avian Influenza) Viruses. OSHA Publication 3323 (October 2006); also
available as a PDF.
4. OSHA Agreements with other Agencies and Organizations.
a. Settlement Agreement concerning Powered Industrial Truck Operator Training
Standard between the National Maritime Safety Association (NMSA) and the
Occupational Safety and Health Administration, U.S. Department of Labor, July
14, 2000.
b. Memorandum of Agreement on Interagency Coordination for Ship Scrapping
(i.e., shipbreaking) between DOD/DOT/EPA/DOL-OSHA, November 16, 1999.
c. Memoranda of Understanding between the U.S. Coast Guard and OSHA located
in CPL 02-01-047 – OSHA Authority over Vessels and Facilities on or Adjacent
to U.S. Navigable Waters and the Outer Continental Shelf (OCS), February 22,
2010, concerning:
 The Health and Safety of Seamen on Inspected Vessels (see Appendix D
of the Instruction); and
 Occupational Safety and Health on the Outer Continental Shelf (OCS)
(see Appendix E of the Instruction).
5. eTools, Expert Advisors, eMatrix.
a. eTools are “stand-alone,” interactive, web-based training tools that provide highly
illustrated information and guidance on occupational safety and health topics.
Some also use expert system modules, which enable users to answer questions
and receive reliable advice on how OSHA standards apply to their worksite(s).

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 b. Shipyard Employment eTools were developed by OSHA in conjunction with the
shipyard employment industry for ship repair, shipbuilding, shipbreaking, and
barge cleaning activities. The eTools provide comprehensive information, in an
electronic format with photos and illustrations, regarding the applicability of
safety and health standards. They are excellent overall training tools and good
for safety briefs of specific standards.
6. Public Maritime Webpage.
OSHA’s public maritime webpage (Maritime Internet) provides access to maritime
directives, standards, guidance documents and eTools, as well as:
a. Shipyard employment fatality videos – presents 16 computer-generated animated
scenarios based on actual shipyard fatalities. Each scenario includes a review of
the factors that contributed to the accident and how to avoid them;
b. Longshoring and Marine Terminals: Fatal Facts – presents 42 written scenarios
based on actual marine cargo handling fatalities;
c. Maritime Outreach Training Programs – includes OSHA’s Maritime “Train-the-
trainer“ (course #5400), and OSHA’s 10-hour and 30-hour Maritime Industry
courses;
d. MACOSH (Maritime Advisory Committee for OSH) – includes upcoming/recent
events, background and history, current membership, meeting minutes, and
MACOSH Federal Register notices;
e. Federal Registers pertaining to the maritime industry;
f. SHIPS – Safety and Health Injury Prevention Sheets developed by OSHA in
conjunction with the shipyard industry to provide specific guidance and “Do’s
and Don’ts” with accompanying photographs for various shipyard processes;
g. Maritime crane accreditation and certification program information including: an
explanation of the program, instructions for the use of the OSHA-71 and -72
forms, and a list of agencies accredited under the 29 CFR Part 1919 program;
h. Shipyard Employment Industry “Flyer.” OSHA Products, Information and
Guidance (November 2007); also available as a PDF;
i. Longshoring and Marine Terminal Industries “Flyer.” OSHA Products,
Information and Guidance (November 2007); also available as a PDF; and
j. Office of Maritime Enforcement (OME). One of five offices within the
Directorate of Enforcement Programs (DEP). OME provides support for
maritime employment through the development of standards interpretations,
management and administration of the 29 CFR Part 1919 maritime gear
certification program (including the web-based Maritime Crane database for
OSHA-71 and -72 forms) and coordination of the activities of the Agency’s
Maritime Steering Committee. CSHOs who need standards interpretations, have
questions or require access to the 1919 Maritime Crane database (requires
training and a password) should contact OME at 202-693-2399.
7. CSHO Maritime Webpage.
OSHA’s maritime (Intranet) webpage provides CSHOs with the following
information:
a. Shipyard Listing – a list of all shipyards by OSHA Region and State (Excel
format);
b. Boatyard Listing – a list of all boatyards by OSHA Region and State (Excel
format);

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 c. Sea Bag – Provides an all-inclusive list of enforcement resources and tools for
Compliance Officers to effectively use when conducting safety and health
inspections within the Maritime Industry; and
d. SAVEs (Standard Alleged Violation Elements) for the maritime industry
standards. SAVEs and associated AVDs (Alleged Violation Elements) are
available on the Intranet for all enforceable Part 1915, Part 1917 and Part 1918
standards. The Office of Maritime Enforcement is responsible for maintaining
the maritime SAVEs.
B. Shipyard Employment (Part 1915).
1. Coverage.
a. Shipyard employment includes the building, repairing, and breaking (scrapping,
disposal, recycling) of vessels, or a section of a vessel, without regard to
geographical location, and is covered by 29 CFR Part 1915 for Shipyard
Employment (see 29 CFR 1910.11(b)). Examples of vessels include, but are not
limited to: ships, barges, fishing boats, work boats, cruise liners, and floating oil
drilling rigs (i.e., mobile offshore drilling units). The Area Office should consult
with the Regional Solicitor’s Office with respect to citing violations involving
shipyard employment not on U.S. navigable waters in the Third, Fifth, Ninth, and
Eleventh Circuits. However, the Area Office need not do so for violations of
Subpart B (confined spaces), Subpart F (General Working Conditions), Subpart I
(PPE), and Subpart P (fire protection) since these subparts have provisions
expressly applying these subparts regardless of geographical location.
b. Shipyard employment involves work activities aboard floating vessels as well as
vessel-related work activities on the land, docks, piers, etc., of a shipyard.
Although 29 CFR Part 1915 covers many hazards in shipyard employment, it
does not cover all such hazards. Therefore, some of the 29 CFR Part 1910
General Industry Standards are also applicable in shipyard employment. (See
Appendix A of CPL 02-00-157, Shipyard Employment “Tool Bag” Directive,
April 1, 2014).
NOTE: Not all activities within a shipyard are considered shipyard
employment covered by 29 CFR Part 1915. For example, erection of a new
building, roadway construction, demolition activities (including the dismantling
of cranes), and the installation of water pipes are covered by Construction
Standards, 29 CFR Part 1926.
2. Shipyard Authority.
a. U.S. Coast Guard.
 OSHA and the U.S. Coast Guard each have authority over shipyard
employment activities. The U.S. Coast Guard regulates working conditions
for seamen (crew members) on inspected vessels through 46 CFR 90.05-1.
OSHA has authority to cite shipyard employment activities on inspected
vessels if the work is performed by shipyard employees (non-crew members).
NOTE: An inspected vessel is any ship, boat, barge, etc., that has or is
required to have a Certificate of Inspection (COI) issued by the U.S. Coast
Guard.
 On uninspected vessels, OSHA has authority to cite shipyard employers for
all working conditions. OSHA also can cite the owners or operators of
uninspected vessels for violations involving shipbuilding, shipbreaking, and
ship repair operations regardless of whether the work is performed by seamen
(crew members) or by non-crew members unless the hazards are covered by
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 U.S. Coast Guard regulations. (See Section XIV.B.1. in CPL 02-01-047 –
OSHA Authority over Vessels and Facilities on or Adjacent to U.S. Navigable
Waters and the Outer Continental Shelf (OCS), February 22, 2010.)
 CHSOs should contact the vessel owner, master or captain to obtain the
vessel identification or official number (VIN or ON) and contact the nearest
U.S. Coast Guard Sector (http://homeport.uscg.mil or USCG 2013
Phonebook) to determine whether the vessel is inspected or uninspected.
b. U.S. Navy.
OSHA has authority under the OSH Act over shipyard employment aboard U.S.
Navy vessels and within a U.S. Navy shipyard when the work is performed by a
contractor. U.S. Navy civilian personnel are covered under Presidential
Executive Order 12196, implemented by 29 CFR Part 1960. There are no
geographic limitations of OSHA’s coverage for Executive Branch federal civilian
employees who are not performing uniquely military operations as defined in 29
CFR 1960.2(i). Therefore, OSHA’s authority extends to all federal civil service
mariners (CIVMARs) in the U.S. Navy’s Military Sealift Command (MSC).
However, OSHA does not have coverage over any Armed Forces personnel
(uniformed military) such as: U.S. Navy (including MSC military department
(MILDEPT)), U.S. Army, U.S. Air Force, U.S. Marine Corps, and U.S. Coast
Guard, both active duty and reserve.
c. State Plans.
 Private Sector Employees.
States that operate their own OSHA-approved State Plans may elect to
exercise authority over private sector maritime employees. States that have
authority to exercise safety and health standards over private sector, land-side
shipyard employment activities are: California, Minnesota, Vermont, and
Washington. (See the State Plan standards in 29 CFR Part 1952 of these
States for specific areas of authority.) However, OSHA retains authority in
these four States on U.S. navigable waters. In the remaining States, OSHA
has authority over all shipyard employees whether working land-side or on
U.S. navigable waters.
NOTE: U.S. navigable waters include graving-docks, dry-docks, lifting-
docks, and marine railways (i.e., federal jurisdiction).
 Public Sector Employees.
State Plan States have authority over employees of State and local
governments, (e.g., port authorities, cities, counties, etc.), on both the land-
side areas and aboard vessels. OSHA has no authority over “…any State or
political subdivisions of a State.” Section 3(5) of the OSH Act, 29 U.S.C.
625(5).
3. Shipyard Inspections.
a. Inspection Scheduling.
The shipyard employment industry is made up of several industrial activities.
Due to the unique differences among these activities, and differing yard locations,
sizes, and number of employers, several scheduling methods are necessary.
Consequently, shipyard employment inspections may be scheduled under
National Emphasis Programs (NEPs), Regional Emphasis Programs (REPs),
Special Emphasis Programs (SEPs), Local Emphasis Programs (LEPs), the
Severe Violator Enforcement Program (SVEP), or from lists developed in
accordance with CPL 02-00-025, Scheduling System for Programmed
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Inspections, January 4, 1995. However, this Instruction will take precedence over
CPL 02-00-025 when there is a divergence between the two instructions.
 National Emphasis Programs (NEPs).
Guidance for conducting NEP inspections in the shipyard employment
industry includes:
o CPL 03-00-012, OSHA’s National Emphasis Program (NEP) on
Shipbreaking, November 4, 2010, describes policies and
procedures to reduce or eliminate workplace hazards associated
with shipbreaking operations. This NEP supports a Memorandum
of Agreement on Interagency Coordination for Ship Scrapping
(i.e., shipbreaking) between DOD/DOT/EPA/DOL-OSHA,
November 16, 1999;
o CPL 03-00-009, National Emphasis Program-Lead, August 14,
2008; and
o CPL 03-00-007, National Emphasis Program: Crystalline Silica,
January 24, 2008. (See also Safety and Health Topics: Silica,
Crystalline.)
NOTE: All other scheduled shipyard employment inspections can
be conducted under LEPs that support DOL’s Strategic Plan and
OSHA’s Strategic Management Plan Goals.
 Local Emphasis Programs (LEPs).
LEPs are a type of Special Emphasis Program in which one or more area
offices in a region participate. LEPs may be originated at the area or
regional office level and should follow CPL 04-00-001, Procedures for
Approval of Local Emphasis Programs (LEPs), November 10, 1999.
Also, see Memorandum on Procedures for Local and Regional Emphasis
Programs, dated December 3, 2014.
LEPs are generally based on knowledge and experience of local
industry hazards, injuries, and illnesses. LEPs may include targeting of
employers with 10 or fewer employees, as long as they do not conflict
with restrictions under Congressional appropriations act riders described
in OSHA Instruction CPL 02-00-051 or successor guidance.
The most recent list of OSHA Local Emphasis Programs (LEPs) in
effect is available at the Directorate of Enforcement Program’s (DEP’s)
Intranet.
 Severe Violator Enforcement Program (SVEP).
This program is intended as a means to focus on employers who have
demonstrated indifference to their OSH Act obligations by committing
willful, repeated, or failure-to-abate violations. Cases identified by the
SVEP are those in which at least one of the following criteria is met as
defined in the Severe Violator Enforcement Program (SVEP) directive,
CPL 02-00-149, June 18, 2010:
o Fatality/Catastrophe Criterion;
o Non-Fatality/Catastrophe Criterion Related to High-Emphasis
Hazards;
o Non-Fatality/Catastrophe Criterion for Hazards Due to the
Potential Release of a Highly Hazardous Chemical (Process
Safety Management); or
o Egregious Criterion.
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 Enforcement actions for severe violator cases include mandatory
follow-up inspections, increased company/corporate awareness of
OSHA enforcement, corporate-wide agreements, enhanced settlement
provisions, and federal court enforcement under Section 11(b) of the
OSH Act.
If an unprogrammed inspection arises for an establishment that is to
receive a follow-up inspection or additional targeted inspection as a
result of the SVEP, the two inspections may be conducted either
concurrently or separately. The SVEP does not affect in any way the
conduct of unprogrammed inspections.
Some establishments may be selected for inspection under the
SVEP and also under other OSHA initiatives such as National
Emphasis Programs (NEPs), Regional Emphasis Programs (REPs), or
Local Emphasis Programs (LEPs). These other programs may be run
concurrently with the SVEP.
 Inspection Lists.
All fixed maritime (shipyard) establishments shall be scheduled and
inspected by either using an industry rank report or establishment lists as
detailed in CPL 02-00-025.
The Area Director shall compile a complete list of active establishments
(worksites) considering all establishments within the coverage of the
office and using the best available information (internet and local listings,
local knowledge, shipyard and boatyard lists provided by OME, etc.).
Inspection lists may be compiled in various ways. Two ways that have
been used successfully in scheduling shipyard inspections are:
o List by Port Area; or
A list of shipyard sites by port areas may be prepared at the
beginning of the fiscal year by the Area Office, using LEP
inspection lists, local knowledge, and experience.
o List by Employer.
A list of all shipyard industry employers within the Area Office’s
jurisdiction may be prepared, using LEP inspection lists, local
knowledge, and experience.
b. CSHO Training.
Supervisors or team leaders are responsible for ensuring that CSHOs are qualified
to inspect/intervene in shipyard employment establishments. CSHOs should have
completed the OTI Course #2090, Shipyard Employment, or have received
equivalent training and/or experience prior to conducting shipyard inspections.
c. CSHO Preparation.
In addition to normal inspection preparation procedures, CSHOs must be properly
equipped and attired. All necessary personal protective equipment (PPE) must be
available for use and in proper operating condition. CSHOs must be trained in
the uses and limitations of PPE before beginning the inspection. At the opening
conference, the CSHO will request a copy of the employer’s certification of
hazard assessment prepared in accordance with 29 CFR 1915.152(b) in order to
be aware of the necessary PPE. The suggested minimum PPE for a CSHO is: a
hard hat, safety shoes, gloves, eye protection, hearing protection, a personal
flotation device (PFD), and a high-visibility/retro-reflective vest. Additional PPE
may be required, such as a respirator, if conditions warrant. All testing and
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 monitoring equipment must be calibrated (if necessary) and in good condition. It
may be advisable for a CSHO to carry a multi-gas meter when conducting a
vessel inspection to test for O2, H2S, CO, and/or LEL.
d. Safety and Health Rules at Shipyards.
29 CFR 1903.7(c) requires CSHOs to comply with all site safety and health rules
and practices at a shipyard or on a vessel, and to wear or use the safety clothing
or protective equipment required by OSHA standards or by the employer for the
protection of employees.
e. Inspection Data.
Inspection data is accessible through OSHA’s web page. This “Statistics & Data”
page will allow the user to conduct searches by establishment, Standard
Identification Classification (SIC) code, North American Industry Classification
System (NAICS) code, OSHA inspection number, accidents, and frequently cited
standards. The page also contains links to the Bureau of Labor Statistics (BLS)
for injury and illness statistics. The NAICS codes that correspond to shipyard
employment include, but are not limited to:
 336611 Ship Building and Repairing: This U.S. industry comprises
establishments primarily engaged in operating a shipyard. Shipyards are
fixed facilities with drydocks and fabrication equipment capable of
building a ship, defined as watercraft typically suitable or intended for
other than personal or recreational use. Activities of shipyards include
the construction of ships, their repair, conversion and alteration, the
production of prefabricated ship and barge sections, and specialized
services, such as ship scaling (Shipbreaking and dismantling at
shipyards);
 336612 Boat Building: This U.S. industry comprises establishments
primarily engaged in building boats. Boats are defined as watercraft not
built in shipyards and typically of the type suitable or intended for
personal use. Included in this industry are establishments that
manufacture heavy-duty inflatable rubber or inflatable plastic boats
(RIBs);
NOTE: Boats are defined by NAICS code 336612 as watercraft not
built in shipyards and typically of the type suitable or intended for
recreational or personal use (such as dinghy manufacturing, motorboat
building, rowboat manufacturing, and sailboat/yacht building that is not
done in shipyards). Boat building, repair, and breaking, including
recreational boat building and manufacturing facilities, that are not
located on or adjacent to U.S. navigable waters of the United States are
covered by 29 CFR Part 1910 General Industry Standards.
 423930 Shipbreaking and Dismantling Merchant Wholesalers (except at
floating drydocks and shipyards);
 488390 Other Support Activities for Water Transportation: This industry
comprises establishments primarily engaged in providing services to
water transportation (includes ship dismantling, maintenance, and routine
repairs for ships at floating drydocks);
 713930 Marinas: This industry comprises establishments, commonly
known as marinas, engaged in operating docking and/or storage facilities
for pleasure craft owners, with or without one or more related activities,

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 such as retailing fuel and marine supplies; and repairing, maintaining, or
renting pleasure boats; and
 811490 Other Personal and Household Goods Repair and Maintenance.
This industry comprises establishments primarily engaged in repairing
motorboats, canoes, sailboats, and other recreational boats (includes
inboard and outboard repair and maintenance services).
NOTE: Operating marinas and providing a range of other services
including boat cleaning and repair are classified in Industry 713930,
Marinas;
NOTE: The repair of recreational boats is covered by the 29 CFR Part
1915 Shipyard Employment Standards if performed on or adjacent to U.S.
navigable waters;
NOTE: A complete list of NAICS codes is available on the U.S.
Census Bureau website.
f. Leased Employees and Employer Responsibilities.
Many shipyards use contract or temporary leased employees. The company on
whose payroll the employee is listed, as well as the company that supervises and
controls the employee’s activities, may be regarded as the employer. However,
only the company that supervises the employee’s daily work activities is
responsible for injury and illness recordkeeping for that employee. (See LOI, 04-
30-1996.)
g. Multi-employer Worksites.
More than one employer may be liable for a hazardous condition that violates an
OSHA standard. The process which must be followed in determining whether
more than one employer is liable for employee safety and health conditions can
be found in OSHA Instruction CPL 02-00-124, Multi-Employer Citation Policy,
December 10, 1999. See also the multi-employer worksite provisions in 29 CFR
1915.12(f) and 29 CFR 1915.501. The Regional Solicitor’s Office is available to
address issues concerning the application of the multi-employer worksite doctrine
after approval from the respective Regional Administrator.
4. Applicable Standards.
a. 29 CFR Part 1915 – Shipyard Employment Standards.
Apply to all ship repairing, shipbuilding, shipbreaking and related employments.
b. 29 CFR Part 1910 – General Industry Standards.
For a list of general industry standards that do or do not apply in shipyard
employment, refer to Appendix A: Application of 29 CFR Part 1910 Standards to
29 CFR Part 1915 Shipyard Employment, in the Shipyard “Tool Bag” Directive.
c. 29 CFR Part 1926 – Construction Standards.
Apply when:
 Construction activities occur on shipyards; or
 Construction materials, equipment and supplies in support of a
construction project are unloaded, moved, or handled into, in, on, or out
of any vessel, from shore-to-vessel, from vessel-to-shore, or from vessel-
to-vessel. (See STD 03-13-002, 29 CFR 1926.605(a)(1) as Applied to
Maritime Construction; July 15, 1982.)
NOTE: Incidental maintenance or normal upkeep performed on
floating equipment during actual construction operations is not covered
by 29 CFR 1915.115(a), but major overhauls of floating equipment when

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 equipment is taken out of service and is not being used for construction
operations are covered by 29 CFR 1915.115(a). (See STD 03-13-002, 29
CFR 1926.605(a)(1) as Applied to Maritime Construction; July 15, 1982.)
d. 29 CFR Part 1919 – Gear Certification.
i. Provides guidance for the approval of OSHA-accredited agencies and criteria for
Part 1919 agencies to evaluate and issue a certificate (OSHA Form-71 and -72)
for certain cranes in shipyards. The 29 CFR Part 1919 standards may not be cited
by CSHOs. They shall use the appropriate 29 CFR Part 1915 standards to cite
hazards. (See 1915.115(a) and CPL 02-01-055, Maritime Cargo Gear Standards
and 29 CFR 1919 Certification, September 30, 2013.)
5. Shipyard References.
There are a number of resources available to assist CSHOs in conducting shipyard
employment inspections; however, there are three principle references.
a. Shipyard Employment “Tool Bag” Directive.
The Shipyard “Tool Bag” Directive is the primary source of information for all
aspects of shipyard employment inspections. All maritime industry primary
resources that have relevance in the shipyard employment industry can be
accessed through the “Tool Bag” directive via e-Links. The “Tool Bag” directive
“One Stop Shopping” concept is designed to provide comprehensive information
about inspection scheduling, conduct of shipyard inspections, shipyard alliances,
training sources, etc. Appendix A of the directive is very useful because it
contains guidance about which General Industry Standards (29 CFR Part 1910)
can be used in shipyard employment, and equally important, which general
industry standards are applicable aboard a vessel. The “Tool Bag” directive also
consolidates all OSHA interpretations related to shipyard employment into a
question-and-answer appendix.
b. Public Maritime Webpage.
OSHA’s public maritime webpage (Maritime Internet) provides access to
shipyard employment directives, standards, guidance documents and eTools, as
well as:
 Shipyard employment fatality videos – presents 16 computer-generated
animated scenarios based on actual shipyard fatalities. Each scenario
includes a review of the factors that contributed to the accident and how
to avoid them;
 Maritime Outreach Training Programs – includes OSHA’s Maritime
“Train-the-trainer“ (course #5400), and OSHA’s 10-hour and 30-hour
Maritime Industry courses;
 MACOSH (Maritime Advisory Committee for OSH) – includes
upcoming/recent events, background and history, current membership,
meeting minutes, and MACOSH Federal Register notices;
 Federal Registers pertaining to the maritime industry;
 SHIPS – Safety and Health Injury Prevention Sheets developed by OSHA
in conjunction with the shipyard industry to provide specific guidance and
“Do’s and Don’ts” with accompanying photographs for various shipyard
processes;
 Maritime crane accreditation and certification program information
including: an explanation of the program, instructions for the use of the
OSHA-71 and -72 forms, and a list of agencies accredited under the 29
CFR Part 1919 program; and
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  Shipyard Employment Industry “Flyer.” OSHA Products, Information
and Guidance (November 2007); also available as a PDF.
c. CSHO Maritime Webpage.
OSHA’s maritime (Intranet) webpage provides CSHOs with the following
relevant information:
 Shipyard Listing – a list of all shipyards by OSHA Region and State
(Excel format);
 Boatyard Listing – a list of all boatyards by OSHA Region and State
(Excel format);
 Sea Bag – Provides an all-inclusive list of enforcement resources and
tools for Compliance Officers to effectively use when conducting safety
and health inspections within the Maritime Industry; and
 SAVEs (Standard Alleged Violation Elements) for the maritime industry
standards. SAVEs and associated AVDs (Alleged Violation
Descriptions) are available on the Intranet for all enforceable Part 1915,
Part 1917 and Part 1918 standards. The Office of Maritime Enforcement
is responsible for maintaining the maritime SAVEs.
C. Marine Cargo Handling Industry (Parts 1917 & 1918).
1. Coverage.
The marine cargo handling industry includes:
a. Longshoring and related employment aboard a vessel. Longshoring is the
loading, unloading, moving or handling of cargo, ship’s stores, gear, or any other
materials into, in, on, or out of any vessel. Related employment is any
employment performed incidental to or in conjunction with longshoring,
including securing cargo, rigging, and employment as a porter, clerk, checker, or
security officer (see 29 CFR 1918.2); and
b. Marine terminal (on shore) employment, as defined in 29 CFR 1917.1, includes
the loading, unloading, movement or other handling of cargo, ship’s stores, or
gear within the terminal or into or out of any land carrier, holding or
consolidation area, and any other activity within and associated with the overall
operations and functions of the terminal, except as noted in the standards. It
includes all cargo transfers using shore-based material handling devices. (See
CPL 02-00-154, Longshoring and Marine Terminals “Tool Shed” Directive, July
31, 2012.)
2. Marine Cargo Handling Authority.
a. U.S. Coast Guard.
OSHA has authority to cite employers engaged in longshoring and marine
terminal operations; U.S. Coast Guard regulations do not preempt OSHA from
citing such employers. On inspected vessels, OSHA has no authority to cite the
owner or operator of the vessel with respect to any working conditions of seamen
(crew members) regardless of the work they are performing. On uninspected
vessels OSHA may cite the owner or operator of the vessel for any violation of
working conditions affecting seamen or non-seamen, unless the hazards are
covered by U.S. Coast Guard regulations. (See CPL 02-01-047, OSHA Authority
over Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the
Outer Continental Shelf (OCS), February 22, 2010.)
b. U.S. Navy.

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 OSHA has authority under the OSH Act over longshoring operations aboard U.S.
Navy vessels and within a marine terminal at a U.S. Navy facility when the work
is performed by a contractor. U.S. Navy civilian personnel are covered under
Presidential Executive Order 12196, implemented by 29 CFR Part 1960. There
are no geographic limitations of OSHA’s coverage for Executive Branch federal
civilian employees who are not performing uniquely military operations as
defined in 29 CFR 1960.2(i). Therefore, OSHA’s authority extends to all federal
civil service mariners (CIVMARs) in the U.S. Navy’s Military Sealift Command
(MSC).
However, OSHA does not have coverage over any Armed Forces personnel
(uniformed military) such as: U.S. Navy (including MSC military department
(MILDEPT)), U.S. Army, U.S. Air Force, U.S. Marine Corps, and U.S. Coast
Guard, both active duty and reserve.
c. State Plans.
 Private Sector Employees.
States that operate their own OSHA-approved State Plans may elect to
exercise authority over private sector maritime employees. States that have
authority to exercise safety and health standards over private sector, land-side
marine terminal employment activities are: California, Minnesota, Vermont,
and Washington. (See the State Plan standards in 29 CFR Part 1952, of these
States for specific areas of authority.) However, OSHA retains authority in
these four States on U.S. navigable waters (i.e., longshoring employment). In
the remaining States, OSHA has authority over all marine cargo handling
employees whether working land-side or on U.S. navigable waters.
 Public Sector Employees.
State Plan States have authority over employees of State and local
governments, e.g., port authorities, cities, counties, etc., on both the land-side
areas and aboard vessels. OSHA has no authority over “…any State or
political subdivisions of a State.” Section 3(5) of the OSH Act, 29 U.S.C.
625(5).
3. Marine Cargo Handling Inspections.
a. Inspection Scheduling.
The marine cargo handling industry is made up of longshoring activities (i.e.,
cargo handing aboard vessels) and activities within marine terminals (i.e., cargo
handling ashore). Due to the unique differences among these activities and
differing port locations, sizes, and number of employers (i.e., stevedores), several
scheduling methods are necessary. Consequently, marine cargo handling industry
inspections may be scheduled as National Emphasis Programs (NEPs), Special
Emphasis Programs (SEPs), Regional Emphasis Programs (REPs), Local
Emphasis Programs (LEPs), the Severe Violator Enforcement Program (SVEP),
or from lists developed in accordance with CPL 02-00-025, Scheduling System
for Programmed Inspections, January 4, 1995. However, this Instruction will
take precedence over CPL 02-00-025 when there is a divergence between the two
instructions.
 National Emphasis Programs (NEPs).
Guidance for conducting NEP inspections in the marine cargo handling
industry includes:
o CPL 03-00-009, National Emphasis Program-Lead, August 14,
2008; and
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 o CPL 03-00-007, National Emphasis Program: Crystalline Silica,
January 24, 2008. (See also Safety and Health Topics: Silica,
Crystalline.)
NOTE: All other scheduled marine cargo handling inspections can
be conducted under LEPs that support DOL’s Strategic Plan and
OSHA’s Strategic Management Plan Goals.
 Local Emphasis Programs (LEPs).
LEPs are a type of Special Emphasis Program in which one or more area
offices in a region participate. LEPs may be originated at the area or
regional office level and should follow CPL 04-00-001, Procedures for
Approval of Local Emphasis Programs (LEPs), November 10, 1999.
Also, see Memorandum on Procedures for Local and Regional Emphasis
Programs, dated December 3, 2014.
LEPs are generally based on knowledge and experience of local
industry hazards, injuries, and illnesses. LEPs may include targeting of
employers with 10 or fewer employees, as long as they do not conflict
with restrictions under Congressional appropriations act riders described
in OSHA Instruction CPL 02-00-051 or successor guidance.
The most recent list of OSHA Local Emphasis Programs (LEPs) in
effect is available at the Directorate of Enforcement Program’s (DEP’s)
Intranet.
 Severe Violator Enforcement Program (SVEP).
This program is intended as a means to focus on employers who have
demonstrated indifference to their OSH Act obligations by committing
willful, repeated, or failure-to-abate violations. Cases identified by the
SVEP are those in which at least one of the following criteria is met as
defined in the Severe Violator Enforcement Program (SVEP) directive,
CPL 02-00-149, June 18, 2010:
o Fatality/Catastrophe Criterion;
o Non-Fatality/Catastrophe Criterion Related to High-Emphasis
Hazards;
o Non-Fatality/Catastrophe Criterion for Hazards Due to the
Potential Release of a Highly Hazardous Chemical (Process
Safety Management); or
o Egregious Criterion.
Enforcement actions for severe violator cases include mandatory
follow-up inspections, increased company/corporate awareness of OSHA
enforcement, corporate-wide agreements, enhanced settlement provisions,
and federal court enforcement under Section 11(b) of the OSH Act.
If an unprogrammed inspection arises for an establishment that is to
receive a follow-up inspection or additional targeted inspection as a result
of the SVEP, the two inspections may be conducted either concurrently or
separately. The SVEP does not affect in any way the conduct of
unprogrammed inspections.
Some establishments may be selected for inspection under the SVEP
and also under other OSHA initiatives such as National Emphasis
Programs (NEPs), Regional Emphasis Programs (REPs), or Local

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 Emphasis Programs (LEPs). These other programs may be run
concurrently with the SVEP.
 Inspection Lists.
Water transportation services inspection lists may be developed either by
port area or by employer.
o List by Port Area.
A list of port areas may 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. For example, 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.
o List by Employer.
A list of all water transportation services employers within the
Area Office’s jurisdiction may be prepared, based on OSHA
inspection history, local knowledge and experience, company
schedules, and other sources.
NOTE: Due to differing locations, loading/unloading equipment,
products, site conditions, or any other reasons determined by the CSHO,
he/she may inspect multiple worksites (i.e., vessels) being worked by the
same employer. Each vessel shall be considered a separate inspection for
recording purposes.
b. CSHO Training.
Supervisors or team leaders are responsible for ensuring that CSHOs are qualified
to inspect/intervene in marine cargo handling establishments. CSHOs should
have completed the OTI Course #2060, Longshoring and Marine Terminal
Processes and Standards, or have received equivalent training and/or experience
prior to conducting marine cargo handling industry inspections.
c. CSHO Preparation.
In addition to normal inspection preparation procedures, CSHOs must be properly
equipped and attired. All necessary personal protective equipment (PPE) must be
available for use and in proper operating condition. CSHOs must be trained in
the uses and limitations of PPE before beginning the inspection. The suggested
minimum PPE for a CSHO is: a hard hat, safety shoes, gloves, eye protection,
hearing protection, a personal flotation device (PFD), and a high-visibility/retro-
reflective vest. Additional PPE may be required, such as a respirator, if
conditions warrant. All testing and monitoring equipment must be calibrated (if
necessary) and in good condition. It may be advisable for a CSHO to carry a
multi-gas meter when conducting a vessel inspection to test for O2, H2S, CO,
and/or LEL.
d. Safety and Health Rules at a Marine Cargo Handling Facility.
29 CFR 1903.7(c) requires CSHOs to comply with all site safety and health rules
and practices at marine cargo handling facility or vessel, and to wear or use the
safety clothing or protective equipment required by OSHA standards or by the
employer for the protection of employees.
e. Inspection Procedures.

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  A CSHO shall gain access to a marine terminal by following local security
measures (see also Section III.E., of this chapter, Security Procedures, for
more information). When a longshoring operation inspection only involves a
stevedoring company (i.e., a company that hires longshoring employees) and
does not involve the marine terminal operator, the CSHO shall go directly to
the vessel to initiate the inspection. The employer’s representative (such as a
superintendent, crew leader, supervisor or hatch boss) and a union
representative (if applicable) will be contacted, and the opening conference
held. The inspection will usually be limited to the vessel being worked by the
stevedore. When the stevedore and the terminal operator are the same, an
inspection of both the terminal and vessel will typically be conducted when
Federal OSHA has authority.
 A CSHO shall always notify the master of the vessel (i.e., captain) or have the
stevedore’s representative notify the master prior to performing the walk-
around portion of the inspection on a vessel.
f. Inspection Data.
Inspection data is accessible through OSHA’s web page. This “Statistics & Data”
page will allow the user to conduct searches by establishment, Standard
Identification Classification (SIC) code, North American Industry Classification
System (NAICS) code, OSHA inspection number, accidents, and frequently cited
standards. The page also contains links to the Bureau of Labor Statistics (BLS)
for injury and illness statistics. The NAICS codes that correspond to the marine
cargo handling industry include, but are not limited to:
 488310 Port and Harbor Operations: This industry comprises
establishments primarily engaged in operating ports, harbors (including
docking and pier facilities), or canals;
 488320 Marine Cargo Handling: This industry comprises establishments
primarily engaged in providing stevedoring and other marine cargo
handling services (except warehousing);
 483211 Inland Water Freight Transportation: This U.S. industry
comprises establishments primarily engaged in providing inland water
transportation of cargo on lakes, rivers, or intracoastal waterways (except
on the Great Lakes System);
 483111 Deep Sea Freight Transportation: This U.S. industry comprises
establishments primarily engaged in providing deep sea transportation of
cargo to or from foreign ports; and
 483113 Coastal and Great Lakes Freight Transportation: Establishments
primarily engaged in providing coastal and/or Great Lakes barge
transportation services are included in this industry.
NOTE: A complete list of NAICS codes is available on the U.S. Census
Bureau website.
g. Multi-employer Worksites.
More than one employer may be liable for a hazardous condition that violates an
OSHA standard. The process which must be followed in determining whether
more than one employer is liable for employee safety and health conditions can
be found in OSHA Instruction CPL 02-00-124, Multi-Employer Citation Policy,
December 10, 1999. The Regional Solicitor’s Office is available to address

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 issues concerning the application of the multi-employer worksite doctrine after
approval from the respective Regional Administrator.
4. Applicable Standards.
a. There are separate standards for the two components of marine cargo handling.
 Marine Terminal Standards.
Material handling activities that occur on piers, docks, wharves, and other
shore-side locations are covered by 29 CFR Part 1917, Marine Terminals
Standards. (See also the Longshoring Industry “Green Book,” OSHA
Publication 2232 (2001)).
 Longshoring Standards.
Material handling activities occurring on a vessel are covered by 29 CFR Part
1918, Longshoring Standards. (See also the Longshoring Industry “Green
Book,” OSHA Publication 2232 (2001)).
b. General Criteria for Standard Application.
There are often uncertainties as to which part applies. The following are some
basic “rule-of-thumb” criteria for making a determination concerning standard
applicability.
 Lifting Devices.
o Use 29 CFR Part 1917 for cranes, derricks, hoists, spouts, etc.,
located on the marine terminal.
o Use 29 CFR Part 1918 for cranes, derricks, hoists, etc., located on the
vessel.
NOTE: See CPL 02-01-055, Maritime Cargo Gear Standards and 29
CFR Part 1919 Certification, September 30, 2013.
NOTE: See the third bullet under III.C.4.c, below, if cranes, derricks,
or hoists are involved in construction activities.
 Work Location.
o 29 CFR Part 1917 applies if the work occurs within a marine terminal
(i.e., on the land-side), including all piers, docks and wharves.
o 29 CFR Part 1918 applies if the work occurs on a vessel (i.e., on the
water), including the gangway.
NOTE: See in this chapter, Section III.C.4.c. under the third bullet
below, if cranes, derricks, or hoists are involved in construction activities.
c. Other Applicable Standards.
 Gear Certification – 29 CFR Part 1919.
j. Provides guidance for the approval of OSHA-accredited agencies and criteria for
Part 1919 agencies to evaluate and issue a certificate (OSHA Form-71 and -72)
for cargo handling gear onboard vessels and at marine terminals. The 29 CFR
Part 1919 standards may not be cited by CSHOs. They shall use the appropriate
29 CFR Part 1917 or 1918 standards to cite hazards. (See 1917.50, 1918.11, and
1918.66.) (Also see, CPL 02-01-055, Maritime Cargo Gear Standards and 29
CFR 1919 Certification, September 30, 2013.)
 General Industry Standards – 29 CFR Part 1910.
The only 29 CFR Part 1910 General Industry Standards that are
applicable to marine terminals and longshoring operations are identified
in the Scope and Applicability sections of each part. (See 1917.1(a)(2)
and 1918.1(b)).
 Construction Standards – 29 CFR Part 1926.
Apply when:
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 o Construction activities occur on marine terminals; or
o Construction materials, equipment and supplies in support of a
construction project are unloaded, moved, or handled into, in, on,
or out of any vessel, from shore-to-vessel, from vessel-to-shore,
or from vessel-to-vessel. (See STD 03-13-002, 29 CFR
1926.605(a)(1) as Applied to Maritime Construction; July 15,
1982.)
 Shipyard Employment Standards – 29 CFR Part 1915.
When vessels located at marine terminals are repaired, 29 CFR Part 1915
Shipyard Employment Standards apply.
5. Marine Cargo Handling References.
There are a number of resources available to assist CSHOs in conducting marine
cargo handling industry inspections; however, there are three principle references.
a. Longshoring and Marine Terminal “Tool Shed” Directive.
The Longshoring and Marine Terminal “Tool Shed” Directive is the primary
source of information for all aspects of marine cargo handling industry
inspections. All maritime industry primary resources that have relevance in the
marine cargo handling industry can be accessed through the “Tool Shed”
directive via e-Links. The “Tool Shed” directive “One Stop Shopping” concept is
designed to provide comprehensive information about inspection scheduling,
conduct of marine cargo handling inspections, alliances, training sources, etc.
Appendices are provided which cross-reference similar 29 CFR Part 1917 and
Part 1918 standards and include a question-and-answer section about the
longshoring and marine terminal standards.
b. Public Maritime Webpage.
OSHA’s public maritime webpage (Maritime Internet) provides access to marine
cargo handling directives, standards, guidance documents and eTools, as well as:
 Longshoring and Marine Terminals: Fatal Facts – presents 42 written
scenarios based on actual marine cargo handling fatalities;
 Maritime Outreach Training Programs – includes OSHA’s Maritime
“Train-the-trainer“ (course #5400), and OSHA’s 10-hour and 30-hour
Maritime Industry courses;
 MACOSH (Maritime Advisory Committee for OSH) –includes
upcoming/recent events, background and history, current membership,
meeting minutes, and MACOSH Federal Register notices;
 Federal Registers pertaining to the maritime industry;
 Maritime crane accreditation and certification program information
including: an explanation of the program, instructions for the use of the
OSHA-71 and -72 forms, and a list of agencies accredited under the 29
CFR Part 1919 program; and
 Longshoring and Marine Terminal Industries “Flyer.” OSHA Products,
Information and Guidance (November 2007); also available as a PDF.
c. CSHO Maritime Webpage.
OSHA’s maritime (Intranet) webpage provides CSHOs with the following
relevant information:
 Marine Cargo Handling Listing – a list of all marine terminals by OSHA
Region and State (Excel format);
 Marina Listing – a list of all marinas by OSHA Region and State (Excel
format);
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  Sea Bag – Provides an all-inclusive list of enforcement resources and
tools for Compliance Officers to effectively use when conducting safety
and health inspections within the Maritime Industry; and
 SAVEs (Standard Alleged Violation Elements) for the maritime industry
standards. SAVEs and associated AVDs (Alleged Violation
Descriptions) are available on the Intranet for all enforceable Part 1915,
Part 1917 and Part 1918 standards. The Office of Maritime Enforcement
is responsible for maintaining the maritime SAVEs.
D. Other Marine Activities.
There are a number of other activities that occur on, above, or in water. Although these
other activities involve water, there are no separate 29 CFR parts that specifically deal
with them. Rather, the activities are covered by either general industry or construction
standards.
1. Commercial Diving – 29 CFR Part 1910, Subpart T. (See CPL 02-00-151, 29 CFR
Part 1910, Subpart T – Commercial Diving Operations, June 13, 2011.)
Diving activities related to shipyard employment are covered by 29 CFR 1915.6
and diving activities related to construction activities are covered by 29 CFR Part
1926, Subpart Y. Both standards reference 29 CFR Part 1910, Subpart T.
NOTE: Diving is classified as NAICS code 561990.
2. Commercial Fishing – 29 CFR Part 1910. (See CPL 02-01-047, OSHA Authority
over Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the Outer
Continental Shelf (OCS), February 22, 2010.)
Shipyard employment activities for fishing vessels are covered by 29 CFR Part
1915; marine cargo handling activities for fishing vessels are covered by 29 CFR
Parts 1917 and 1918.
 Commercial fishing is classified as NAICS codes:
o 114111 Finfish Fishing;
o 114112 Shellfish Fishing; and
o 114119 Other Marine Fishing (Except finfish and shellfish).
3. Marine Construction – 29 CFR Part 1926. (See in particular 29 CFR 1926.605 and
29 CFR 1926.106.)
Construction activities (e.g., bridge and pier construction, bulkhead construction,
installation of sewage outfalls) occurring from a vessel are considered marine
construction and are covered under the 29 CFR Part 1926 Construction Standards.
4. Towboats/Tugboats – 29 CFR Part 1910. (See CPL 02-01-047, OSHA Authority over
Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the Outer
Continental Shelf (OCS), February 22, 2010.)
Unless a ship repair or cargo transfer activity is involved with work in the above
industries, the Shipyard Standards (29 CFR Part 1915), Marine Terminals Standards
(29 CFR Part 1917), and Longshoring Standards (29 CFR Part 1918) do not apply.
Normal towboat and tugboat operations are covered by the 29 CFR Part 1910 General
Industry Standards.
On August 9, 2004, Congress gave the U.S. Coast Guard authority to regulate all
towing vessels as inspected vessels under 46 U.S.C. 3301; as a general rule, such
vessels were previously classified as uninspected vessels. The U.S. Coast Guard has
not yet exercised this authority; thus, towing vessels, remain uninspected vessels.
Therefore, OSHA will continue to provide safety and health coverage of employees

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 on uninspected towing vessels until the U.S. Coast Guard issues inspected vessel
regulations for these vessels.
NOTE: The U.S. Coast Guard is required by 46 CFR 4.07-1 to conduct an
investigation of all marine casualties or accidents, as defined in 46 CFR 4.03-1, to
ascertain the cause of the casualty or accident. The mere fact that the U.S. Coast
Guard is authorized to investigate a marine casualty or accident, or investigates one,
does not mean that OSHA is preempted from exercising its authority pertaining to
occupational safety and health.
5. Training Marine Oil Spill Response Workers Under OSHA’s Hazardous Waste
Operations and Emergency Response Standard, OSHA Publication 3172 (2010).
Training needed for marine oil spill response employees is covered under 29 CFR
1910.120 – Hazardous waste operations and emergency response (HAZWOPER) and
explained in OSHA Publication 3172.
OSHA’s website, Keeping Workers Safe During Oil Spill Response and Cleanup
Operations, compiles safety and health information for workers conducting such
operations including: multi-lingual fact sheets and guidance documents, oil spill
training materials, national response system information, and many other additional
resources relating to oil spills and cleanup operations.
6. Other Regulatory Agencies.
During a maritime inspection, CSHOs may encounter other regulatory agencies such
as, but not limited to, the: Department of Homeland Security (DHS), including the
U.S. Coast Guard (USCG) and the Transportation Security Administration (TSA);
U.S. Army Corps of Engineers (USACE); Department of Transportation (DOT);
Environmental Protection Agency (EPA); Bureau of Ocean Energy Management,
Regulation and Enforcement (BOEMRE); Nuclear Regulatory Commission (NRC);
and Federal Grain Inspection Service (FGIS). CSHOs should contact the Office of
Maritime Enforcement for any questions regarding coordination and/or jurisdiction
with other agencies.
E. Security Procedures.
1. Transportation Worker Identification Card (TWIC).
The TWIC program is a Transportation Security Administration (TSA) and U.S.
Coast Guard initiative. The TWIC program provides a tamper-resistant biometric
credential to: maritime workers requiring unescorted access to secure areas of port
facilities, outer continental shelf facilities, and vessels regulated under the Maritime
Transportation Security Act (MTSA); and all U.S. Coast Guard credentialed
merchant mariners. An estimated 750,000 individuals require TWICs.
Question: Do OSHA compliance officers (federal and State) require a TWIC to gain
access to maritime facilities?
Answer: No, a CSHOs credentials and government identification card are
equivalent to a TWIC for the purposes of access to and escorting non-TWIC holders
on maritime facilities (see Redefining Secure Areas and Acceptable Access Control,
January 7, 2008 and TWIC & Law Enforcement Officials & Other Regulatory
Agencies, November 21, 2007). Should problems arise, the CSHO should contact the
local U.S. Coast Guard office (http://homeport.uscg.mil or USCG 2013 Phonebook)
to obtain resolution and access. Difficulties in obtaining access to maritime facilities
using CSHO credentials and a government identification card should be reported via
the Regional Administrator to the Directorate of Enforcement Programs, Office of
Maritime Enforcement at 202-693-2399.

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2. Photography and Security at U.S. Navy Worksites.
Area Directors should establish a photography and security policy agreement with an
installation prior to conducting inspections.
The U.S. Navy has advised its shore and afloat (ship) activities that permission is
granted for Federal OSHA compliance officials to conduct safety and health
inspections and investigations of U.S. Navy civilian and contractor workplaces.
CSHOs will be required to present appropriate identifying credentials and a
government identification card; also, for entry into nuclear, explosive and other
security sensitive areas, a security clearance may be required. CSHOs shall be
required to possess appropriate security clearances for entry into areas where the
workplace is located.
The current U.S. Navy policy prohibits OSHA compliance officials from taking
photographs. CSHOs may request that photographs of safety and health conditions to
be taken by U.S. Navy personnel. Any photographs taken by the U.S. Navy will
initially be classified CONFIDENTIAL, and shall not be delivered to OSHA
compliance officials until all film, negatives, and photographs have been fully
screened and censored, as appropriate, in the interest of national security. Also, any
design or system performance data (e.g., recordings of noise sound level profiles and
light level readings) shall be screened by the U.S. Navy prior to release to OSHA.
This process is normally completed within a period of 15 working days from the
receipt of material by the Naval Sea Systems Command (NAVSEASYSCOM). If
photos and/or data are not received by the Area Office within 30 working days of
submission, the Area Office should contact the Office of Maritime Enforcement via
their Regional Administrator.
Representatives of the U.S. Navy will normally accompany CSHOs at all times
during the physical inspection of U.S. Navy civilian or contractor workplaces. A
representative of the contractor(s) and a representative of the employee(s) also may
accompany the CSHO during the inspection. If there is no authorized employee
representative, CSHOs may consult with a reasonable number of employees
(contractors or U.S. Navy civilians) concerning matters of safety and health in the
pertinent workplace. CSHOs may privately question the contractor(s), contractor
employee(s), U.S. Navy civilian employee(s), or their authorized representative(s).
(See chapter 11 in OPNAVINST 5100.23G – Navy Safety and Occupational Health
(SOH) Program Manual, July 21, 2011.)

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 Chapter 11

IMMINENT DANGER, FATALITY, CATASTROPHE, AND

EMERGENCY RESPONSE
I. Imminent Danger Situations.
A. General.
1. Definition of Imminent Danger.
Section 13(a) of the OSH Act defines imminent danger as “…any conditions or
practices in any place of employment which are such that a danger exists which could
reasonably be expected to cause death or serious physical harm immediately or before
the imminence of such danger can be eliminated through the enforcement procedures
otherwise provided by this Act.”
2. Conditions of Imminent Danger.
The following conditions must be present for a hazard to be considered an imminent
danger:
a. Death or serious harm must be threatened; AND
b. It must be reasonably likely that a serious accident could occur immediately OR,
if not immediately, then before abatement would otherwise be implemented.
NOTE: For a health hazard, exposure to the toxic substance or other hazard must
cause harm to such a degree as to shorten life or be immediately dangerous to life and
health (IDLH) or cause substantial reduction in physical or mental efficiency or
health, though the resulting harm may not manifest itself immediately.
B. Pre-Inspection Procedures.
1. Imminent Danger Report Received by the Field.
a. After the Area Director or designee receives a report of imminent danger, he or
she will evaluate the inspection requirements and assign a CSHO to conduct the
inspection.
b. Every effort will be made to conduct the imminent danger inspection on the same
day that the report is received. In any case, the inspection will be conducted no
later than the day after the report is received.
c. When an immediate inspection cannot be made, the Area Director or designee
will contact the employer and obtain as many pertinent details as possible about
the situation, and attempt to have any employee(s) affected by the imminent
danger voluntarily removed.
 A record of what steps, if any, that the employer intends to take, to
eliminate the danger will be included in the case file.
 This notification is considered an advance notice of inspection to be
handled in accordance with the advance notice procedures described
below.
2. Advance Notice.
a. §1903.6 authorizes advance notice of an inspection of potential imminent danger
situations in order to encourage employers to eliminate dangerous conditions as
quickly as possible.
b. Where an immediate inspection cannot be made after the Area Office is alerted to
an imminent danger condition and advance notice will speed the elimination of

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 the hazard, the Team Leader or CSHO, at the direction of the Area Director, will
give notice of an impending inspection to the employer.
c. Where advance notice of an inspection is given to an employer, it shall also be
given to the authorized employee representative, if present. If the inspection is in
response to a formal Section 8(f)(1) complaint, the complainant will be informed
of the inspection unless this will cause a delay in speeding the elimination of the
hazard.
C. Imminent Danger Inspection Procedures.
All alleged imminent danger situations brought to the attention of or discovered by
CSHOs while conducting any inspection will be inspected immediately. Additional
inspection activity will take place only after the imminent danger condition has been
resolved.
1. Scope of Inspection.
CSHOs may consider expanding the scope of an imminent danger inspection based
on additional hazards discovered or brought to their attention during the inspection.
2. Procedures for Inspection.
a. Every imminent danger inspection will be conducted as expeditiously as possible.
b. CSHOs will offer the employer and employee representatives the opportunity to
participate in the worksite inspection, unless the immediacy of the hazard makes
it impractical to delay the inspection in order to afford time to reach the area of
the alleged imminent danger.
c. As soon as reasonably practicable after discovery of existing conditions or
practices constituting an imminent danger, the employer shall be informed of
such hazards. The employer shall be asked to notify affected employees and to
remove them from exposure to the imminent danger hazard. The employer
should be encouraged to voluntarily take appropriate abatement measures to
promptly eliminate the danger.
D. Elimination of the Imminent Danger.
1. Voluntary Elimination of the Imminent Danger.
a. How to Voluntarily Eliminate a Hazard.
 Voluntary elimination of the hazard has been accomplished when the
employer:
o Immediately removes affected employees from the danger area;
o Immediately removes or abates the hazardous condition; and
o Gives satisfactory assurance that the dangerous condition will remain
abated before permitting employees to work in the area.
 Satisfactory assurance can be evidenced by:
o After removing the affected employees, immediate corrective action
is initiated, designed to bring the dangerous condition, practice,
means or method of operation, or process into compliance, which,
when completed, would permanently eliminate the dangerous
condition; or
o A good faith representation by the employer that permanent
corrective action will be taken as soon as possible, and that affected
employees will not be permitted to work in the area of the imminent
danger until the condition is permanently corrected; or
o A good faith representation by the employer that permanent
corrective action will be instituted as soon as possible. Where
personal protective equipment can eliminate the imminent danger,
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 such equipment will be issued and its use strictly enforced until the
condition is permanently corrected.
NOTE: Through on-site observations, CSHOs shall ensure that any/all
representations from the employer that an imminent danger has been
abated are accurate.
b. Where a Hazard is Voluntarily Eliminated.
If an employer voluntarily and completely eliminates the imminent danger
without unreasonable delay:
 No imminent danger legal proceeding shall be instituted;
 The Notice of an Alleged Imminent Danger (OSHA-8), does not need to
be completed;
 An appropriate citation(s) and notice(s) of penalty will be proposed for
issuance with an appropriate notation on the Violation (OSHA-1B) to
document corrective actions; and
 CSHOs will inform the affected employees or their authorized
representative(s) that, although an imminent danger had existed, the
danger has been eliminated. They will also be informed of any steps
taken by the employer to eliminate the hazardous condition.
2. Refusal to Eliminate an Imminent Danger.
a. If the employer does not or cannot voluntarily eliminate the hazard or remove
affected employees from the exposure and the danger is immediate, CSHOs will
immediately consult with the Area Director or designee and obtain permission to
post a Notice of an Alleged Imminent Danger (OSHA-8).
b. Area Directors or designees will then contact the Regional Administrator and
determine whether to consult with the RSOL to obtain a Temporary Restraining
Order (TRO).
c. The employer will be advised that Section 13 of the OSH Act gives United States
district courts the authority to restrain any condition or practice that poses an
imminent danger to employees.
NOTE: The Agency has no authority to order the closing of a worksite or to
order affected employees to leave the area of the imminent danger or the
workplace.
d. CSHOs will notify affected employees and the employee representative that a
Notice of an Alleged Imminent Danger (OSHA-8) has been posted and will advise
them of the Section 11(c) discrimination protections under the OSH Act.
Employees will be advised that they have the right to refuse to perform work in
the area where the imminent danger exists.
e. The Area Director or designee and the Regional Administrator, in consultation
with the RSOL, will assess the situation and, if warranted, make arrangements for
the expedited initiation of court action, or instruct the CSHO to remove the
Notice of an Alleged Imminent Danger (OSHA-8).
3. When Harm Will Occur Before Abatement is Required.
a. If CSHOs have clear evidence that harm will occur before abatement is required
(i.e., before a final order of the Commission in a contested case or before a TRO
can be obtained), they will confer with the Area Director or designee to determine
a course of action.
NOTE: In some cases, the evidence may not support the finding of an
imminent danger at the time of the physical inspection, but rather after further
evaluation of the case file or presence of additional evidence.
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 b. As appropriate, an imminent danger notice may be posted at the time citations are
delivered or even after the notice of contest is filed.

II. Fatality and Catastrophe Investigations.

A. Definitions.
1. Fatality.
Fatality is an employee death resulting from a work-related incident or exposure; in
general, from an injury or an illness caused by or related to a workplace hazard.
2. Catastrophe.
Catastrophe is the hospitalization of three or more employees resulting from a work-
related incident or exposure; in general, from an injury or an illness caused by a
workplace hazard.
NOTE: OSHA Area Offices will determine the inspection priority of a
catastrophe using the Memorandum entitled, “Interim Enforcement Procedures for
New Reporting Requirements under 29 C.F.R. 1904.39”, dated December 24, 2014,
or unless superseded by future agency-approved correspondence.
3. Hospitalization.
In-patient hospitalization is the formal admission to the inpatient service of a hospital
or clinic for care or treatment. It excludes admission for diagnostic testing or
observation only.
4. Incident Requiring a Coordinated Federal Response.
An incident involving multiple fatalities, extensive injuries, massive toxic exposures,
extensive property damage, or one that presents potential employee injury and
generates widespread media interest.
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related fatalities,
hospitalizations, amputations or losses of an eye. The new rule, which also updates the
list of employers partially exempt from OSHA record-keeping requirements, went into
effect on January 1, 2015, for workplaces under federal OSHA jurisdiction. (See 79 FR
56129, Occupational Injury and Illness Recording and Reporting Requirements – NAICS
Update and Reporting Revisions, September 18, 2014.)
B. Initial Report.
1. The Fatality/Catastrophe Form (FAT/CAT) is a pre-inspection form that must be
completed for all fatalities or catastrophes unless knowledge of the event occurs
during the course of an inspection at the establishment involved. The purpose of the
FAT/CAT (OSHA-36) is to provide OSHA with enough information to determine
whether or not to investigate the event. It is also used as a research tool by OSHA
and other agencies.
2. If, after the initial report, the Area Office becomes aware of information that affects
the decision to investigate, the FAT/CAT (OSHA-36) should be updated. If the
additional information does not affect the decision to investigate, or the investigation
has been initiated or completed, the FAT/CAT (OSHA-36) need not be updated. After
updating the FAT/CAT (OSHA-36), it should be resubmitted to the National Office.
3. See additional details on completing the FAT/CAT (OSHA-36) in Section II.I., of this
chapter, Recording and Tracking for Fatality/Catastrophe Inspections.
C. Investigation Procedures.
1. All fatalities and catastrophes will be thoroughly investigated in an attempt to
determine the cause of the event, whether a violation of OSHA safety and health
standards, regulations, or the general duty clause occurred, and any effect the
violation had on the incident. Each Regional Administrator will establish a procedure
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 to ensure that each fatality or catastrophe is thoroughly investigated and processed in
accordance with established policy.
2. The investigation should be initiated as soon as possible after receiving an initial
report of the incident, ideally within one working day, by an appropriately trained and
experienced compliance officer assigned by the Area Director or designee. The Area
Director or designee determines the scope of the fatality/ catastrophe investigation.
All investigations must be completed in an expeditious manner.
3. Inspections following fatalities or catastrophes should include video recording as a
method of documentation and gathering evidence when appropriate. The use of
photography is also encouraged in documenting and gathering evidence.
4. As in all inspections, under no circumstances should OSHA personnel conducting
fatality/catastrophe investigations be unprotected against a hazard encountered during
the course of an investigation. OSHA personnel must use appropriate personal
protective equipment and take all necessary precautions to avoid and/or prevent
occupational exposure to potential hazards that may be encountered.
D. Interview Procedures.
1. Identify and Interview Persons.
a. Identify and interview all persons with firsthand knowledge of the incident,
including first responders, police officers, medical responders, and management,
as early as possible in the investigation. The sooner a witness is interviewed, the
more accurate and candid the witness statement will be.
b. If an employee representative is actively involved in the inspection, he or she can
serve as a valuable resource by assisting in identifying employees who might
have information relevant to the investigation.
c. Conduct employee interviews privately, outside the presence of the employer.
Employees are not required to inform their employer that they provided a
statement to OSHA.
d. When interviewing:
 Properly document the contact information of all parties because follow-up
interviews with a witness are sometimes necessary.
 When appropriate, reduce interviews to writing and have the witness sign the
document. Transcribe video and audio recorded interviews and have the
witness sign the transcription.
 Read the statement to the witness and attempt to obtain agreement. Note any
witnesses’ refusal to sign or initial his/her statement.
 Ask the interviewee to initial any changes or corrections made to his/her
statement.
 Advise interviewee of OSHA whistleblower protections.
e. See Chapter 3, Inspection Procedures, for additional information on conducting
interviews.
2. Informer’s Privilege.
a. The informer’s privilege allows the government to withhold the identity of
individuals who provide information about the violation of laws, including OSHA
rules and regulations. The identity of witnesses will remain confidential to the
extent possible. However, inform each witness that disclosure of his/her identity
may be necessary in connection with enforcement or court actions.
b. The informer’s privilege also protects the contents of statements to the extent that
disclosure would reveal the witness’ identity. When the contents of a statement
will not disclose the identity of the informant (i.e., statements that do not reveal
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 the witness’ job title, work area, job duties, or other information that would tend
to reveal the individual’s identity), the privilege does not apply and such
statements may be released.
c. Inform each witness that his/her interview statements may be released if he or she
authorizes such a release or if he or she voluntarily discloses the statement to
others, resulting in a waiver of the privilege.
d. Inform witnesses in a tactful and nonthreatening manner that making a false
statement to a CSHO during the course of an investigation could be a criminal
offense. Making a false statement, upon conviction, is punishable by a fine of up
to $10,000 or six months in jail, or both.
E. Investigation Documentation.
Document all fatality and catastrophe investigations thoroughly.
1. Personal Data – Victim.
Potential items to be documented include: Name; Address; Email address;
Telephone; Age; Sex; Nationality; Job Title; Date of Employment; Time in Position;
Job being done at the time of the incident; Training for job being performed at the
time of the incident; Employee deceased/injured; Nature of injury – fracture, amputa-
tion, etc.; and Prognosis of injured employee.
2. Incident Data.
Potential items to be documented include: How and why did the incident occur; the
physical layout of the worksite; sketches/ drawings; measurements;
video/audio/photos to identify sources, and whether the accident was work-related.
3. Equipment or Process Involved.
Potential items to be documented include: Equipment type; Manufacturer; Model;
Manufacturer’s instructions; Kind of process; Condition; Misuse; Maintenance
program; Equipment inspection (logs, reports); Warning devices (detectors); Tasks
performed; How often equipment is used; Energy sources and disconnecting means
identified; and Supervision or instruction provided to employees involved in the
incident.
4. Witness Statements.
Potential witnesses include: the Public; Fellow employees; Management; Emergency
responders (e.g., police department, fire department); and Medical personnel (e.g.,
medical examiner).
5. Safety and Health Program.
Potential questions include:
 Does the employer have a safety and/or health program?
 Does the program address the type of hazard that resulted in the
fatality/catastrophe?
 How are the elements of the program specifically implemented at the
worksite?
6. Multi-Employer Worksite.
Describe the contractual and in practice relationships of the employer with the other
employers involved with the work being performed at the worksite.
7. Records Request.
Potential records include: Disciplinary Records; Training Records; and Next of Kin
information.
NOTE: Next of kin information should be gathered as soon as possible to ensure
that condolence letters can be sent in a timely manner.
F. Potential Criminal Penalties in Fatality and Catastrophe Cases.
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1. Criminal Penalties.
a. Section 17(e) of the OSH Act provides criminal penalties for an employer who is
convicted of having willfully violated an OSHA standard, rule or order when the
violation results in the death of an employee. However, Section 17(e) does not
apply to violations of the general duty clause. When there are violations of an
OSHA standard, rule or order, or a violation of the general duty clause, criminal
provisions relating to false statements and obstruction of justice may also be
relevant.
b. The circumstances surrounding all occupationally-related fatalities will be
evaluated to determine whether the fatality was caused by a willful violation of a
standard, thus creating the basis for a possible criminal referral. The evidence
obtained during a fatality investigation is of paramount importance and must be
carefully gathered and considered.
c. Early in the investigation, the Area Director or designee, in consultation with the
investigator, should make an initial determination as to whether there is potential
for a criminal violation. The decision will be based on consideration of the
following:
 A fatality has occurred.
 There is evidence that an OSHA standard has been violated and that the
violation contributed to the death.
 There is reason to believe that the employer was aware of the
requirements of the standard and knew it was in violation of the standard,
or that the employer was plainly indifferent to employee safety.
 If the Regional Administrator agrees with the Area Director or designee’s
assessment of the case, the Regional Administrator will notify the RSOL
at the discretion of the Regional Administrator and the Area Director or
designee, and dependent upon Regional procedures in place, a Regional
team or trained criminal investigator may assist in or perform portions of
an investigation.
 When there is a potential criminal referral in a case, it is essential that the
Regional Administrator and/or the Area Director involve the RSOL’s
Office in the early stages of the investigation particularly during the
evidence-gathering process.
2. Additional Prosecution.
In addition to criminal prosecution under Section 17(e) of the OSH Act, employers
may face prosecution under a number of other sections of the United States Code,
including, but not limited to:
a. Crimes and Criminal Procedures, for actions such as conspiracy, making false
statements, fraud, obstruction of justice, and destruction, alteration or
falsification of records during a federal investigation.
b. The Clean Water Act.
c. The Clean Air Act.
d. The Resource Recovery and Conservation Act (RCRA).
e. The Comprehensive Environmental Response, Compensation, and Liability
Act (CERCLA).
3. Procedures for Criminal Referral.
When a case is forwarded from the Regional Office to the RSOL for criminal review,
advise the Director of Enforcement Programs (or, when appropriate, the Director of

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 Construction Programs). Provide follow-up reports to indicate any subsequent
actions.
G. Families of Victims.
1. Contacting Family Members.
Family members of employees involved in fatal or catastrophic occupational injuries
or illnesses shall be contacted early in the investigation and given the opportunity to
discuss the circumstances of the injury or illness. OSHA staff contacting family
members must exercise tact and good judgment in their discussions.
See CPL 02-00-153, Communicating OSHA Fatality Inspection Procedures to a
Victim’s Family, dated April 17, 2012, for additional information.
2. Information Letter.
The standard information letter will normally be sent to the individual(s) listed as the
emergency contact on the victim’s employment records (if available) and/or the
otherwise determined next of kin within 5 working days of determining the victim’s
identity and verifying the proper address where communications should be sent.
NOTE: In some circumstances, it may not be appropriate to follow these exact
procedures; i.e., in the case of a small business, the owner or supervisor may be a
relative of the victim. Modify the form letter to take into account any special
circumstances or do not send the letter, as appropriate.
3. Letter to Victim’s Emergency Contact.
In addition to the standard information letter sent by the Area Director or designee,
the Assistant Secretary also sends a letter to the victim’s emergency contact or
otherwise verifiable next of kin.
Effectively immediately, all Area Offices must send a brief two to three sentence
description of the incident that resulted in the fatality. This description should be sent
via email and accompany the Assistant Secretary next of kin letter when it is
transmitted to the national office.
In cases presenting language concerns, the Area Office should inquire as to the
primary language of the next of kin. If it has been verified that the primary language
of the next of kin is Spanish and not English, the Area Office will advise the national
office concerning this and specify that a Spanish language letter should also be sent.
Additionally, in situations where it is not immediately possible to determine the
primary language of the next of kin recipient of the fatality letter, or in instances
where it has been determined that a primary language other than English or Spanish is
spoken by the next of kin this should also be communicated to the national office.
Unofficial translation of the fatality letter into other languages may be available.
The national office will send a Spanish language letter in addition to the English
letter for Spanish-speaking next of kin recipients. All foregoing information relative
to language concerns should be sent via email and accompany the Assistant Secretary
next of kin letter when it is transmitted to the national office.
4. Interviewing the Family.
a. When taking a statement from families of the victim(s), explain that the interview
will be handled following the same procedures as those in effect for witness
interviews. Sensitivity and professionalism are required during these interviews.
Carefully evaluate the information received and attempt to corroborate it during
the investigation.
b. Maintain follow-up contact with key family members or other contact persons so
that these parties can be kept up-to-date on the status of the investigation.
Provide family members or their legal representatives with a copy of all citations,
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 subsequent settlement agreements or Review Commission decisions as these are
issued, or as soon thereafter as possible. However, such information will only be
provided to family members after it has been provided to the employer.
c. The releasable portions of the case file will not be made available to family
members until after the contest period has passed and no contest has been filed.
If a contest is filed, the case file will not be made available until after the
litigation is completed. Additionally, if a criminal referral is under consideration
or has been made, the case file may not be released to the family. Notify the
family of these policies and inform them that this is necessary so that any
potential litigation is not compromised.
5. Post-Inspection Communications [With Next of Kin].
After the inspection, OSHA will make every effort to contact the next of kin via
telephone to explain findings, address any questions and give the family an
opportunity to provide input. Depending on the case, OSHA may issue a press
release. If a press release is planned, OSHA will make every attempt to notify the
family by telephone before the information is released to the public. OSHA will also
provide a copy of the press release to the family.
H. Public Information Policy.
OSHA’s public information policy regarding response to fatalities and catastrophes is to
explain the Federal presence to the news media; not to issue periodic updates on the
progress of the investigation. The Area Director and his or her designee normally will
handle response to media inquiries.
I. Recording and Tracking for Fatality/Catastrophe Investigations.
1. Fatality/Catastrophe Form (FAT/CAT).
The FAT/CAT (OSHA-36) is a pre-inspection form that must be completed for all
fatalities and catastrophes unless knowledge of the event occurs during the course of
an inspection at the establishment involved. Processing of the FAT/CAT (OSHA-36)
shall be as follows:
a. The Area Office will complete and enter into OIS a FAT/CAT (OSHA-36) for all
fatalities and catastrophes as soon as possible after learning of the event. As
much information as is known at the time of the initial report should be provided;
however, all items on the FAT/CAT (OSHA-36) need not be completed at the time
of this initial report. Wherever possible, the age of the victim(s) should be
provided, because this information is used for research by OSHA and other
agencies.
b. If additional information relating to the event becomes available that affects the
decision to investigate, the FAT/CAT (OSHA-36) should be updated.
c. In addition, the Regional Administrator will contact the Deputy Director of
Enforcement Programs (or Construction, as appropriate) to ensure prompt
notification of the National Office of major events, such as those likely to
generate significant public or congressional interest.
2. Investigation (OSHA-170).
a. The Investigation (OSHA-170) is used to summarize the results of investigations
of all events that involve fatalities, catastrophes, amputations, hospitalizations of
two or more days, have generated significant publicity, and/or have resulted in
significant property damage. An Investigation (OSHA-170) must be opened,
logged into OIS, and saved as final as soon as the agency becomes aware of a
workplace fatality and determines that it is within its jurisdiction, even if most of

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 the data fields are left blank. The information on this form enables the Agency to
track fatalities and summarizes circumstances surrounding the event.
NOTE: The two-day hospitalization criterion is a cutoff to preclude completing
an Investigation (OSHA-170) for events that may not be serious. There is no
relationship between this criterion and the definition of hospitalization in Section
II.A., of this chapter, Definitions.
b. For fatality/catastrophe investigations, the Investigation (OSHA-170) will be:
 Opened in OIS at the beginning of the investigation and saved as final, even if
most of the data fields are left blank, so that the Agency can track
fatality/catastrophe investigations in a close to “real time” fashion.
 Modified as needed during the investigation to account for updated
information.
 Updated with all data fields completely and accurately completed at the
conclusion of the investigation, including a thorough narrative description of
the incident.
c. The Investigation (OSHA-170) narrative should not be a copy of the summary
provided on the FAT/CAT (OSHA-36) pre-inspection form. The narrative must
comprehensively describe the characteristics of the worksite; the employer and its
relationship with other employers, if relevant; the employee task/activity being
performed; the related equipment used; and other pertinent information in enough
detail to provide a third party reader of the narrative with a mental picture of the
fatal incident and the factual circumstances surrounding the event.
d. In addition, a single fatality or catastrophe event shall normally result in only one
fatality [catastrophe] inspection of the employer of the deceased employee(s)
[injured employees], but one event at a multi-employer work site may possibly
lead to one or more unprogrammed- related inspection(s) of other involved
employers. The exception to this would occur if an event involves multiple
fatalities of workers of two or more employers, resulting in more than one fatality
inspection.
EXAMPLE 11-1: A fatality occurs in employer’s facility in August. Both a
safety and health inspection are initiated. One Investigation (OSHA-170) should
be filed to summarize the results of the inspections that resulted from the August
fatality. However, in September, while the employer’s facility is still undergoing
the inspections, a second fatality occurs. In this case, a second Investigation
(OSHA-170) should be submitted for the second fatality and an additional
inspection should be opened.
3. Immigrant Language Questionnaire (IMMLANG).
a. The IMMLANG Questionnaire is designed to allow the Agency to track fatalities
among Spanish-speaking and other immigrant employees and to assess the impact
of potential language barriers and training deficiencies on fatal incidents.
Information for this questionnaire should be collected as early in the investigation
as possible, as the availability of immigrant workers for questioning later in the
process is often uncertain.
b. The IMMLANG Questionnaire shall be completed before the conclusion of a
fatality investigation according to the procedures outlined in the Memorandum on
Change to the Interim Procedure for Fatality Investigations (IMMLANG), for
Regional Administrators from R. Davis Layne, Deputy Assistant Secretary, dated
December 16, 2003. It should be completed only if “IMMLANG-Y” is indicated

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 on the Inspection (OSHA-1) (N-10 Additional Codes). The Questionnaire is not
to be completed if “IMMLANG-N” is indicated on the Inspection (OSHA-1).
c. The IMMLANG Questionnaire shall be submitted via OIS. A copy of the
completed questionnaire should be printed and placed in the case file.
4. Related Event Code (REC).
The Violation (OSHA-1B) provides specific supplemental information documenting
hazards and violations. If any item cited is directly related to the occurrence of the
fatality or catastrophe, select FAT/CAT/Accident. If multiple related event codes
apply, the only code that has priority over relation to a fatality/catastrophe is
imminent danger.
J. Pre-Citation Review.
1. Because cases involving a fatality may result in civil or criminal enforcement actions,
the Area Director is responsible for reviewing all fatality and catastrophe
investigation case files to ensure that the case has been properly developed and
documented in accordance with the procedures outlined here.
2. The Area Director is responsible for ensuring that an Investigation (OSHA-170) is
reported to OIS for each incident (see Section II.I.2., of this chapter, Investigation
(OSHA-170)).
3. Review all proposed violation-by-violation penalties in accordance with CPL 02-00-
080, Handling of Cases to be Proposed for Violation-by-Violation Penalties, dated
October 21, 1990.
4. Review citations covered by Regional OSHA/SOL workload agreements in
accordance with those agreements.
5. Each Regional Administrator should establish a procedure to ensure that each fatality
or catastrophe is thoroughly investigated and processed in accordance with
established policy.
K. Post-Citation Procedures/Abatement Verification.
The regulation governing abatement verification is found at §1903.19, and OSHA’s
enforcement policies and procedures for this regulation are outlined in Chapter 7, Post-
Citation Procedures and Abatement Verification.
1. Due to the transient nature of many of the worksites where fatalities occur and
because the worksite may be destroyed by the catastrophic event, it is frequently
impossible to conduct follow-up inspections. In such cases, the Area Director should
obtain abatement verification from the employer, along with an assurance that
appropriate safety and health programs have been implemented to prevent the
hazard(s) from recurring.
2. While site closure due to the completion of the cited project is an acceptable method
of abatement, it can only be accepted as abatement without certification where a
CSHO directly verifies that closure; otherwise, certification by the employer is
required. Follow-up inspections need not be conducted if the CSHO has verified
abatement during the inspection or if the employer has provided other proof of
abatement.
3. Where the worksite continues to exist, OSHA will normally conduct a follow-up
inspection if serious citations have been issued.
4. Include abatement language and safety and health system implementation language in
any subsequent settlement agreement.
5. If there is a violation that requires abatement verification, field 22 on the Violation
(OSHA-1B) must be completed with the date of abatement verified.

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 6. If the case is a Severe Violator Enforcement Program (SVEP) case, follow-up
inspections will be conducted in accordance with OSHA Instruction CPL 02-00-149,
Severe Violator Enforcement Program (SVEP), June 18, 2010. Follow-up
inspections will normally be conducted even if abatement of cited violations has been
verified through abatement verification.
L. Audit Procedures.
The following procedures will be implemented to evaluate compliance with, and the
effectiveness of, fatality/catastrophe investigation procedures:
1. Regional Offices will incorporate the review and analysis of fatality/catastrophe files
into their audit functions and include their findings in the regular audit reports to the
National Office. The review and analysis will use random case files to address the
following:
a. Inspection Findings.
Ensure that hazards have been appropriately addressed and violations have been
properly classified. Also ensure that criminal referrals are made when
appropriate.
b. Documentation.
Ensure that the Investigation (OSHA-170) narrative and data fields and the
Violation (OSHA-1B) narrative have been completed accurately and detailed
enough to allow for analysis at the national level of the circumstances of fatal
incidents. Ensure that the IMMLANG Questionnaire is completed, if relevant.
c. Construction Fatalities.
Ensure that the case file has been copied and forwarded to the University of
Tennessee in accordance with the Memoranda on Construction Fatality Case
Study, Reasons and Methodology, for Regional Administrators from H. Berrien
Zettler, Deputy Director, D.O.C. (via email), regarding transmittal of information
on construction fatalities to the University of Tennessee, dated September 12 &
13, 2000 and a Memorandum on Construction Fatality Investigation Case Files,
for Regional Administrators from R. Davis Layne, Deputy Assistant Secretary,
regarding transmittal of information on construction fatalities to the University of
Tennessee, dated May 14, 2003 and February 18, 2004.
d. Settlement Terms.
Ensure that settlement terms are appropriate, including violation reclassification,
penalty reductions, and additional abatement language.
e. Abatement Verification.
Ensure that abatement verification has been obtained.
f. OIS Reports.
Review OIS reports to identify any trends or cases that may indicate that a further
review of those cases may be necessary.
M. Relationship of Fatality and Catastrophe Investigations to Other Programs and Activities.
1. Homeland Security.
OSHA’s National Emergency Management Plan (NEMP), as contained in HSO 01-
00-001, dated December 18, 2003, clarifies the procedures and policies for OSHA’s
National Office and Regional Offices during responses to incidents of national
significance. Generally, OSHA will provide technical assistance and consultation in
coordinating the protection of response worker and recovery worker safety and
health. When the President makes an emergency declaration under the Stafford Act,
the National Response Framework (NRF) is activated. The NEMP can then be
activated by the Assistant Secretary, the Deputy Assistant Secretary, or by request
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 from a Regional Administrator. Whether OSHA will conduct a formal fatality or
catastrophe investigation in such a situation will be determined on a case-by-case
basis.
2. Severe Violator Enforcement Program.
a. Inspections that result in citations being issued for at least one of the following
are considered Severe Violator Enforcement Program (SVEP) cases:
 A fatality/catastrophe inspection in which OSHA finds one or more willful or
repeated violations or failure-to-abate notices based on a serious violation
related to a death of an employee or three or more hospitalizations;
 An inspection in which OSHA finds two or more willful or repeated
violations or failure-to-abate notices (or any combination of these
violations/notices), based on high gravity serious violations related to a High-
Emphasis Hazard as defined in Section XII., of OSHA Instruction CPL 02-
00-149, Severe Violator Enforcement Program (SVEP), June 18, 2010;
 An inspection in which OSHA finds three or more willful or repeated
violations or failure-to-abate notices (or any combination of these
violations/notices), based on high gravity serious violations related to hazards
due to the potential release of a highly hazardous chemical, as defined in the
PSM standard; or
 All egregious (e.g., per-instance citations) enforcement actions.
b. In such cases, the instructions outlined in OSHA Instruction CPL 02-00-149,
Severe Violator Enforcement Program (SVEP), June 18, 2010, shall be followed
to ensure that the proper measures are taken regarding classification, coding and
treatment of the case.
NOTE: See Memorandum entitled, “Inclusion of Upstream Oil and Gas
Hazards to the High-Emphasis Hazards in the Severe Violator Enforcement
Program (SVEP)”, dated February 11, 2015, for policy relating to the addition of
upstream oil and gas hazards to the list of High-Emphasis Hazards in the Severe
Violator Enforcement Program (SVEP).
3. Significant Enforcement Cases.
Significant enforcement cases are defined as inspection cases with initial proposed
penalties over $100,000 or which involve novel enforcement issues, including federal
agency cases, regardless of penalty. An inspection resulting from an employee
fatality or a workplace catastrophe may well be a significant enforcement case and,
therefore, particularly thorough documentation is necessary to sustain legal
sufficiency. (See Memorandum entitled, “Clarification of September 27, 2012 Memo
on Significant Case Procedures.”)
4. Special Emphasis Programs.
If a fatality or catastrophe investigation arises at an establishment that is also in the
current inspection cycle to receive a programmed inspection under any Site-Specific
Targeting program, the investigation and the inspection may be conducted either
concurrently or separately.
5. Cooperative Programs.
If a fatality or catastrophe occurs at a worksite operating under OSHA’s Voluntary
Protection Program (VPP), the OSHA Strategic Partnership Program (OSPP) site, or
OSHA’s Safety and Health Achievement Recognition Program (SHARP), the
Regional VPP Manager, OSPP Coordinator, or Consultation Project Manager, as well
as the Director of the Directorate of Cooperative and State Programs, should be
notified. When enforcement activity has concluded, the Regional VPP Manager,
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 OSPP Coordinator, or Consultation Project Manager should be informed so that the
site can be reviewed for program issues.
N. Special Issues Related to Workplace Fatalities.
1. Death by Natural Causes.
Workplace fatalities that are attributed to natural causes, including heart attacks, must
be reported by the employer. The Area Director will then decide whether to
investigate the incident.
2. Workplace Violence.
As with heart attacks, fatalities caused by incidents of workplace violence must be
reported to OSHA by the employer. The Area Director or designee will determine
whether or not the incident will be investigated.
3. Motor Vehicle Incidents.
a. OSHA does not require reporting injuries including motor vehicles that occur on
public roads or highways, unless the incident occurs in a construction work zone.
b. Although employers who are required to keep records must record such vehicle
incidents in their OSHA-300 Log of Work-Related Injuries and Illnesses, OSHA
does not investigate such events. (See §1904.39(b)(3).)
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related
fatalities, hospitalizations, amputations or losses of an eye. The new rule, which
also updates the list of employers partially exempt from OSHA record-keeping
requirements, went into effect on January 1, 2015, for workplaces under federal
OSHA jurisdiction. (See 79 FR 56129, Occupational Injury and Illness
Recording and Reporting Requirements – NAICS Update and Reporting
Revisions, September 18, 2014.)

III. Rescue Operations and Emergency Response.

A. OSHA’s Authority to Direct Rescue Operations.
1. Direction of Rescue Operations.
OSHA has no authority to direct rescue operations. These are the responsibility of
the employer and/or local political subdivisions or state agencies.
2. Monitoring and Inspecting Working Conditions of Rescue Operations.
OSHA may monitor and inspect working conditions of covered employees engaged
in rescue operations to ensure compliance with standards that protect rescuers, and to
provide technical assistance where appropriate.
B. Voluntary Rescue Operations Performed by Employees.
OSHA recognizes that an employee may choose to place himself/herself at risk to save
the life of another person. The following provides guidance on OSHA citation policy
toward employers whose employees perform, or attempt to perform, rescues of
individuals in life-threatening danger.
1. Imminent Danger.
§1903.14(f) provides that no citation may be issued to an employer because of a
rescue activity undertaken by an employee of that employer when an individual is in
imminent danger [i.e., the existence of any condition or practice that could reasonably
be expected to cause death or serious physical harm before such condition or practice
can be abated] unless:
a. Such employee is designated or assigned by the employer to have responsibility
to perform or assist in rescue operations,
AND

11-14
 the employer fails to provide protection of the safety and health of such
employee, including failing to provide appropriate training and rescue equipment;
or
b. Such employee is directed by the employer to perform rescue activities in the
course of carrying out the employee’s job duties,
AND
the employer fails to provide protection of the safety and health of such
employee, including failing to provide appropriate training and rescue equipment;
or
c. Such employee is employed in a workplace that requires the employee to carry
out duties that are directly related to a workplace operation where the likelihood
of life-threatening events is foreseeable, such as operations where employees are
located in confined spaces or trenches, handle hazardous waste, respond to
emergency situations, perform excavations, or perform construction over water;
AND
such employee has not been designated or assigned to perform or assist in rescue
operations and voluntarily elects to rescue such an individual;
AND
the employer has failed to instruct employees not designated or assigned to
perform or assist in rescue operations of the arrangements for rescue, not to
attempt rescue, and of the hazards of attempting rescue without adequate training
or equipment.
2. Citation for Voluntary Actions.
If an employer has trained his or her employees in accordance with §1903.14, no
citation will be issued for an employee’s voluntary rescue actions, regardless of
whether they are successful.
C. Emergency Response.
1. Role in Emergency Operations.
While it is OSHA’s policy to respond as quickly as possible to significant events that
may affect the health or safety of employees, the agency does not have authority to
direct emergency operations.
2. Response to Catastrophic Events (Note: these are not OSH Act requirements).
OSHA responds to catastrophic events promptly and acts as an active and forceful
protector of employee safety and health during the response, cleanup, removal,
storage, and investigation phases of these incidents, while maintaining a visible but
limited role during the initial response phase.
3. OSHA’s Role.
a. For inspections of an ongoing emergency response or post-emergency response
operation where there has been a catastrophic event, or where OSHA is acting
under the National Emergency Management Plan (NEMP), Regional
Administrators will determine the overall role that OSHA will play. See CPL 02-
02-073, Inspection Procedures for 29 CFR 1910.120 and 1926.65, Paragraph
(q): Emergency Response to Hazardous Substance Releases, dated August 27,
2007.
b. During an event that is covered by the NEMP, OSHA has a responsibility and
authority to both enforce its regulations and provide technical advice and
assistance to the federal on-scene coordinator. If such an event occurs in a State

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 Plan State, OSHA will coordinate with the State Plan agency to ensure agency’s
involvement in the response.
c. For details on OSHA’s response to occupationally-related incidents involving
multiple fatalities, extensive injuries, massive toxic exposures, extensive property
damage, or potential worker injury that generates widespread media interest. See
CPL 02-00-094, OSHA Response to Significant Events of Potentially
Catastrophic Consequences, dated July 22, 1991.
4. Incidents of National Significance.
For detailed instructions on how to proceed during incidents of national significance
when OSHA has been designated as the primary federal agency for the coordination
of technical assistance and consultation for emergency response and recovery worker
health and safety, and the Assistant Secretary has activated the National Emergency
Response Plan, see HSO 01-00-001 National Emergency Management Plan, dated
December 18, 2003, and the National Response Framework (Worker Safety and
Health Support Annex).
NOTE: These documents apply when activated.

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 Chapter 12

SPECIALIZED INSPECTION PROCEDURES

I. Multi-Employer Workplace/Worksite [Reserved].
See CPL 02-00-124, Multi-Employer Citation Policy, dated December 10, 1999.

II. Temporary Labor Camps.

A. Introduction.
29 CFR 1910.142, the Temporary Labor Camp standard, is applicable to both agricultural
and non-agricultural workplaces.
B. Definitions.
NOTE: §1910.142 does not contain a definition section. The following definitions
reflect OSHA’s interpretation of the standard.
1. Temporary.
The term temporary in §1910.142 refers to employees who enter into an employment
relationship for a discrete or defined time period. As a result, the term temporary
refers to the length of employment, and not to the physical structures housing
employees.
2. Temporary Labor Camp Housing.
Temporary labor camp housing is required employer-provided housing that, due to
company policy or practice, necessarily renders such housing a term or condition of
employment. See Frank Diehl Farms v. Secretary of Labor, 696 F.2d 1325 (11th Cir.
1983).
3. New Construction.
All agriculture housing construction started on or after April 3, 1980, including
totally new structures and additions to existing structures, will be considered new
construction. Cosmetic remodeling work on pre-1980 structures will not be
considered new construction and should be treated as existing housing.
C. Wage & Hour/OSHA Shared Authority Under Secretary’s Order.
Pursuant to a Secretary’s Order, the Wage & Hour Division (WHD) of the Employment
Standards Administration (ESA) has shared authority with OSHA over the Temporary
Labor Camp standard (§1910.142). See Delegation of Authorities and Assignment of
Responsibilities to the Assistant Secretary for Employment Standards and Other Officials
in the Employment Standards Administration (Federal Register, January 2, 1997 (62 FR
107)) and Secretary’s Order 5-2002: Delegation of Authority and Assignment of
Responsibility to the Assistant Secretary for Occupational Safety and Health, Federal
Register, October 22, 2002 (67 FR 65007).
1. Enforcement Authority.
a. WHD Responsibility.
WHD has enforcement authority with respect to any agricultural establishment
where employees are engaged in “agricultural employment” within the meaning
of the Migrant and Seasonal Agricultural Worker Protection Act, 29 U.S.C.
1802(3), regardless of the number of employees, including employees engaged in
hand packing of produce into containers, whether done on the ground, on a
moving machine, or in a temporary packing shed. See Appendix A, Section

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 4.a.2., of ADM 01-00-003, Redelegation of Authority and Responsibility of the
Assistant Secretary for Occupational Safety and Health, dated March 6, 2003.
b. OSHA Responsibility.
OSHA retains enforcement authority over temporary labor camps for egg,
poultry, red meat production, post-harvesting processing of agricultural and
horticultural commodities, and any non-agricultural TLCs. See Appendix A,
Section 4.a.2.b., of ADM 01-00-003, Redelegation of Authority and
Responsibility of the Assistant Secretary for Occupational Safety and Health,
dated March 6, 2003.
2. Compliance Interpretation Authority.
WHD has sole interpretation authority for the Temporary Labor Camp standard, even
over those temporary labor camp areas for which OSHA has enforcement authority.
3. Standard Revision and Variance Authority.
OSHA retains all authority for revisions of the Temporary Labor Camp standard, as
well as the evaluation and granting of temporary and permanent variances.
4. State Plan States.
a. Eight of the twenty-two jurisdictions (21 states and Puerto Rico) that have
OSHA-approved State Plans covering private sector employment elected not to
enforce the Temporary Labor Camp standards, except with respect to egg,
poultry, red meat production, post-harvesting processing of agricultural and
horticultural commodities, and any non-agricultural TLCs. Thus, WHD enforces
these standards, except as noted above, in the following states: Alaska, Indiana,
Iowa, Kentucky, Minnesota, South Carolina, Utah and Wyoming.
b. The 14 other jurisdictions with OSHA-approved State Plans covering private
sector employment have retained enforcement authority for the Temporary Labor
Camp standards in agriculture. They are Arizona, California, Hawaii, Maryland,
Michigan, Nevada, New Mexico, North Carolina, Oregon, Puerto Rico,
Tennessee, Vermont, Virginia and Washington.
D. Enforcement of Temporary Labor Camp Standards for Agriculture.
1. Choice of Standards on Construction Prior to April 3, 1980.
Prior to walkaround inspections of temporary labor camps built before April 3, 1980,
employers providing the housing will be asked to specify their preference of
applicable departmental standards. Choices shall be limited to Subpart E of 29 CFR
Part 654, or §1910.142 , or provisions contained in variances from these standards. If
an employer has been issued a variance, it shall produce copies upon request. See
Housing for Agricultural Employees, 29 CFR 500.132.
a. In instances where Subpart E of Part 654 is specified as the governing standard
for existing housing, hazardous conditions violating both the Employment and
Training Administration (ETA) and OSHA requirements shall be cited under the
OSHA standard. Hazardous conditions found in violation of ETA standards, but
in compliance with §1910.142 shall not be cited.
b. In instances where conditions are deemed in violation of the ETA standard and
not covered by the OSHA standard, either Section 5(a)(1) shall be cited (only
serious violations) or such deficiencies shall be brought to the employer’s
attention and correction shall be encouraged.
c. In instances where §1910.142 is selected by the employer as the governing
standard for the existing facility or is applicable in the case of “new
construction,” all requirements of that standard shall apply and shall be cited
when violations are found.
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 d. Under no circumstances shall Subpart E of Part 654 be cited by CSHOs, since no
authority exists within the Act to cite standards not adopted under the Act.
2. Informing Employers.
Prior to the inspection of an agriculture housing facility, employers shall be made
aware of the foregoing policy and procedures during the opening conference. This
policy applies to all employment-related agriculture housing covered by OSHA,
regardless of whether or not employees housed in the facility are recruited through
the U.S. Employment Service’s inter-intrastate clearance system.
3. Agriculture Worksites Under OSHA Responsibility.
For agriculture worksites that OSHA has responsibility for, §1928.21 lists which Part
1910 standards apply.
E. OSHA Enforcement for Non-Agriculture Worksites.
1. For non-agriculture worksites other Part 1910 standards may be cited for hazards
which are not covered under §1910.142. For non-agriculture worksites, the TLC
standard has no provisions that specifically apply to fire protection, so those
standards are not explicitly pre-empted by the TLC standard. The same is true for
§1910.36 and §1910.37 (exit routes). However, §1910.38 (emergency action plans)
applies only where an emergency action plan is required by a particular OSHA
standard, so it cannot be used with TLCs.
2. Examples of temporary labor camp housing for non-agriculture worksites would be
for the construction industry, oil and gas industry, and garment industry in the Pacific
territories. Such housing for these industries may also be found in large cities and
rural areas in various parts of the United States.
3. The choice of standards issue, discussed in Section D.1., of Choice of Standards on
Construction Prior to April 3, 1980, does not apply to non-agriculture temporary
housing.
F. Employee Occupied Housing.
Generally, inspections shall be conducted when housing facilities are occupied and as
soon as feasible so that any hazards identified may be corrected early in the work season.
1. Since employees may not speak English, or may only speak English as a second
language, every effort shall be made to send a bilingual CSHO on the inspection or
have a bi-lingual person accompany the CSHO to translate conversations with
employees.
2. CSHOs shall conduct inspections in a way that minimizes disruptions to those living
in the housing facilities. If an occupant of a dwelling unit refuses entry for inspection
purposes, CSHOs shall not insist on entry and shall continue the rest of the inspection
unless the lack of access to the dwelling unit involved would substantially reduce the
effectiveness of the inspection. In that case, valid consent should be obtained from
the owner of the unit. If the owner also refuses entry, the procedures for refusal of
entry shall be followed. See Chapter 15, Legal Issues. The same shall apply in cases
where employers refuse entry to the housing facility and/or to the entire worksite.
3. During inspections, CSHOs shall encourage employers to correct hazards as quickly
as possible. Particular attention shall be paid to identifying instances of failure to
abate and repeated violations from season to season or past occupancy. These
violations shall be cited in accordance with normal procedures.
G. Primary Concerns.
When conducting a housing inspection, CSHOs shall be primarily concerned with those
facilities or conditions that most directly relate to employee safety and health.
Accordingly, all housing inspections shall address at least the following:
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 1. Site.
a. Review the location of the site for adequate drainage in relation to periodic
flooding, swamps, pools, sinkholes, and other surfaces where water may collect
and remain for extended periods.
b. Determine whether the site is adequate in size to prevent overcrowding and
whether it is located near (within 500 feet of) livestock.
c. Evaluate the site for cleanliness and sanitation; i.e., free from rubbish, debris,
wastepaper, garbage, and other refuse.
2. Shelter.
a. Determine whether the shelter provides protection against the elements; has the
proper floor elevation and floor space; whether rooms are used for combined
purposes of sleeping, cooking and eating; and whether all rooms have proper
ventilation and screening.
b. Determine which rooms are used for sleeping purposes, the number of occupants,
size of the rooms, and whether beds, cots, or bunks and lockers are provided.
c. Determine what kind of cooking arrangements or facilities are provided, and
whether all heating, cooking and water heating equipment are installed in
accordance with state and local codes.
3. Water Supply.
Determine whether the water supply for drinking, cooking, bathing and laundry is
adequate and convenient, and has been approved by the appropriate local health
authority.
4. Toilet Facilities.
Determine the type, number, location, lighting, and sanitary conditions of toilet
facilities.
5. Sewage Disposal.
Determine, in camps where public sewers are available, whether all sewer lines and
floor drains are connected.
6. Laundry, Handwashing and Bathing Facilities.
a. Determine the number, kind, locations and conditions of these facilities, and
whether there is an adequate supply of hot and cold running water.
b. Determine also whether such facilities have appropriate floors, walls, partitions
and drains.
7. Lighting.
a. Determine whether electric service is available, and if so, if appropriate light
levels, number of ceiling-type light fixtures, and separate floor- or wall-type
convenience outlets are provided.
b. Determine also whether the light fixtures, floor and wall outlets are properly
grounded and covered.
8. Refuse Disposal and Insect and Rodent Control.
Determine the type, number, locations and conditions of refuse disposal containers,
and whether there are any infestations of animal or insect vectors or pests.
9. First-Aid Facilities.
Determine whether adequate first-aid facilities are available and maintained for
emergency treatment.
H. Dimensions.
The relevant dimensions and ratios specified in §1910.142 are mandatory; however,
CSHOs may exercise discretion to not cite minor variations from specific dimensions and
ratios when such violations do not have an immediate or direct effect on safety and
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 health. In those cases in which the standard itself does not make reference to specific
dimensions or ratios but instead uses adequacy as the test for the cited conditions and
facilities, the Area Director shall make the determination as to whether a violation exists
on a case-by-case basis considering all relevant factors.
I. Documentation for Housing Inspections.
The following facts shall be carefully documented:
1. The age of the dwelling unit, including any additions. For recently built housing,
date the construction was started.
2. Number of dwelling units, number of occupants in each unit.
3. Approximate size of area in which the housing is located and the distance between
dwelling units and water supply, toilets, livestock and service building.
J. Condition of Employment.
The Act covers only housing that is a term and condition of employment. Factors in
determining whether housing is a term and condition of employment include situations
where:
1. Employers require employees to live in the housing.
2. The housing is in an isolated location or the lack of economically comparable
alternative housing makes it a practical necessity to live there.
3. Additional factors to consider in determining whether the housing is a term and
condition of employment include, but are not limited to:
a. Cost of the housing to the employee – is it provided free or at a low rent?
b. Ownership or control of the housing – is the housing owned or controlled or
provided by the employer?
c. Distance to the worksite from the camp, distance to the worksite from other non-
camp residences – is alternative housing reasonably accessible (distance, travel,
cost, etc.) to the worksite?
d. Benefit to the employer – does the employer make the camp available in order to
ensure that the business is provided with an adequate supply of labor?
e. Relationship of the camp occupants to the employer – are those living in the
camp required to work for the employer upon demand?

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 Chapter 13

FEDERAL AGENCY FIELD ACTIVITIES

I. Introduction.
A. Scope.
The purpose of this chapter is to highlight policies that are unique to federal agency
occupational safety and health programs. Policies and procedures for federal agencies
are generally the same as those followed in the private sector, except as specified in this
chapter.
The United States Postal Service (USPS) is considered a private sector employer
for purposes of OSHA’s enforcement oversight, 1 although Federal OSHA retains
full jurisdiction over all USPS facilities and employees and contract employees
engaged in USPS mail operations. See FOM 2-7 for more information on the USPS.
B. Overview.
The Occupational Safety and Health Act (the Act), Executive Order 12196, and 29 CFR
Part 1960 all shape OSHA’s responsibilities for federal agencies. This chapter, with
eight sections, outlines OSHA’s safety and health program requirements for federal
agencies and highlights certain differences between OSHA’s program for the private and
federal sectors. Below is a summary of each of the sections.
1. Section I: Introduction.
This section provides a broad review of OSHA’s safety and health requirements for
federal agencies. In addition, it identifies definition differences between the private
and federal sectors, and the offices within OSHA where inspectors can seek more
detailed information.
2. Section II: OSHA’s Jurisdiction over Federal Agencies.
This section provides an overview of how OSHA’s jurisdiction varies for federal
agencies. For example, while OSHA’s authority to establish requirements and
oversee safety and health program implementation only applies to Executive Branch
federal agencies, it can offer compliance assistance to all branches of the federal
government in the form of Agency Technical Assistance Requests (ATARs), See
Section VII.
3. Section III: Federal Agency Inspection Procedures.
This section reviews how OSHA requirements applied during federal agency
inspections differ from those for the private sector. For example, while the standards
promulgated by Section 6 of the Act generally apply to the federal sector, only
specific regulations in Section 8 of the Act apply to federal agencies. Also, for
Executive Branch agencies §1960.8(a), not Section 5(a)(1) of the Act, is the “general
duty clause”.

1
On September 28, 1998, Congress amended the Occupational Safety and Health Act (the Act) to make it applicable
to the U.S. Postal Service in the same manner as any other employer subject to the Act.

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 4. Section IV: Federal Agency Recordkeeping and Reporting Requirements.
This section addresses the similarities and differences between private sector and
federal agency recordkeeping requirements.
5. Section V: Access to Federal Employee Records.
This section explains OSHA’s access to federal agencies’ employee injury and illness
records, as well as exposure and medical records.
6. Section VI: Evaluations of Federal Agency Programs.
This section explains OSHA’s authority and procedures for evaluating federal
agencies.
7. Section VII: Agency Technical Assistance Requests.
This Section discusses Agency Technical Assistance Requests (ATARs), a
compliance assistance alternative available only to federal agencies, since they are
not eligible for OSHA on-site consultation services.
8. Section VIII: Notices of Unsafe or Unhealthful Working Conditions.
This section discusses how Notices, rather than citations, are issued to federal
agencies and explains that financial penalties cannot be applied for OSHA violations.
C. Important Definitions.
1. Establishment.
When OSHA adopted the applicable §1904 recordkeeping requirements for federal
agencies, it maintained the definition of “establishment” under §1960.2(h), as this
definition better describes the application of the term in the federal sector. Unlike in
the private sector, it is common for federal agencies to have an organizational
structure that consists of agencies, bureaus, or other components that come under the
line authority of an Assistant Secretary, Under Secretary, or another official at a
comparable level.
Specifically, a federal establishment is 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 will 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:
 Major organizational units with distinct lines of authority are considered as
separate establishments.
 Agencies or bureaus in an agency are considered separate establishments
even if they occupy the same building.
 Each component of the Department of Defense (Army, Navy, etc.) and each
major command located at an installation are separate establishments.
 Lower organizational units such as offices or divisions within a bureau or
shops within a command are not considered separate establishments.
2. Employee, Including Volunteers and Working Federal Inmates.
§1960.2(g) defines federal employees as, “any person, other than members of the
Armed Forces, employed or otherwise suffered, permitted, or required to work by an
agency”.
a. Volunteers (uncompensated staff working under the supervision of an agency) in
the federal sector are considered employees and covered by §1960, including the

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 injury and illness recordkeeping requirements under Subpart I. This differs from
the private sector where volunteers are not covered by the §1904 recordkeeping
regulation.
b. Federal inmates are protected under §1960 when they are “suffered,
permitted, or required to work” at tasks similar to those found in the private
sector, and the sites at which they work must comply with applicable OSHA
regulations, including the applicable recordkeeping provisions of §1904.
Given that federal inmates are prisoners and wards of the Bureau of Prisons,
they are not afforded all the rights that accrue to other federal employees,
including volunteers. However, only complaints related to workplace safety
and health issues (not domiciliary issues) received in writing should be
treated as formal complaints and investigated as appropriate.
Federal inmates who are employed in a “work-release” status are generally
considered to be “employees” of the entity for which they work, with all the
rights and responsibilities that apply to that entity’s other workers. However,
their specific status is based upon specific factual circumstances. Questions
concerning federal work-release inmates should be referred to the Office of
Federal Agency Programs (OFAP).
D. Laws and Regulations Affecting Federal Agencies.
1. Federal Agencies and the Occupational Safety and Health Act.
a. Section 19 of the Act is the section of the OSH Act that applies specifically to
federal agencies; some other sections apply to both the private and federal
sectors. Section 19(a) requires each federal agency to “establish and maintain an
effective and comprehensive occupational safety and health program which is
consistent with the standards promulgated under Section 6”.
b. In contrast, OSHA regulations promulgated under Section 8 of the Act generally
do not apply to federal agencies unless 29 CFR Part 1960 – Basic Program
Elements for Federal Employee Occupational Safety and Health Programs and
Related Matters, includes them by reference.
c. Two regulations specifically applicable to federal agencies are:
 §1904 – Recordkeeping and reporting occupational injuries and illnesses (see
Section IV., in this chapter).
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related
fatalities, hospitalizations, amputations or losses of an eye. The new rule,
which also updates the list of employers partially exempt from OSHA record-
keeping requirements, went into effect on January 1, 2015, for workplaces
under federal OSHA jurisdiction. (See 79 FR 56129, Occupational Injury and
Illness Recording and Reporting Requirements – NAICS Update and
Reporting Revisions, September 18, 2014.)
 §1910.1020 – Access to employee exposure and medical records (see Section
V., in this chapter).
d. OSHA’s oversight authority to prescribe requirements and provide safety and
health oversight is limited to Executive Branch agencies (see Section II.A., of this
chapter for limitations). The U.S. Postal Service is covered under OSHA’s
private sector procedures.

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 e. Despite lack of formal oversight authority, OSHA cooperates and consults with
the heads of agencies in the Federal Legislative and Judicial branches to help
them implement safety and health programs upon request.
2. Executive Order 12196 – Occupational Safety and Health Programs for Federal
Employees.
Issued February 26, 1980, Executive Order 12196 prescribes additional
responsibilities for the heads of Federal Executive Branch agencies, the Secretary of
Labor, and the General Services Administration.
 Executive Branch agencies must operate workplace safety and health
programs in accordance with requirements of the Executive Order and the
basic elements promulgated by the Secretary.
 OSHA responsibilities include issuing basic program elements that the heads
of agencies must use as a basis for their safety and health programs. These
basic program elements are set forth in 29 CFR Part 1960.
 GSA responsibilities include prompt attention to reports from agencies of
unsafe or unhealthy conditions at GSA owned or operated facilities.
3. 29 CFR Part 1960 – Basic Program Elements for Federal Employee Occupational
Safety and Health Programs and Related Matters.
a. §1960.16 requires federal agencies to comply with all occupational safety and
health standards issued under section 6 of the Act.
b. §1960 applies exclusively to Executive Branch agencies (with limitations
discussed in Section II., of this chapter), and requires them to implement and
manage their own internal safety and health programs.
c. The §1960 regulations have a broad range of requirements. Some of the
highlights include requirements for agencies to:
 Conduct self-inspections;
 Issue Notices of Unsafe and Unhealthy Working Conditions as a result of
those inspections; and
 Abate the violations within set time frames.
d. Agency staff must have the requisite training to conduct these self-inspections.
Covered federal agencies must also investigate employee safety and health
complaints and provide responses to complainants. Accidents and fatalities
require self-inspections.
e. Citable Program Elements in 29 CFR Part 1960.
OSHA’s Compliance Safety and Health Officers (CSHOs) should evaluate
compliance with the §1960 regulations during enforcement activities at covered
worksites. Although agencies must comply with all §1960 regulations, only some
sections are designated as citable (to be cited in any issued Notices). Refer to
Table 13-1 at the end of this chapter for a listing of citable paragraphs.
E. OSHA Contacts for Information Regarding Federal Agencies.
1. Regional Federal Agency Program Officers (FAPOs).
Each OSHA region has at least one person who is designated as a Federal Agency
Program Officer (FAPO) and is responsible for responding to questions from the field

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 on federal agencies. Please contact the National Office of Federal Agency Programs
for a current list of FAPOs ((202) 693-2122 or [email protected]).
2. National Office of Federal Agency Programs (OFAP).
OFAP, located in OSHA’s Directorate of Enforcement Programs, has a range of
responsibilities, including:
a. Tracking federal agencies’ occupational safety and health statistics;
b. Reviewing federal agencies’ requests for alternate and supplementary standards;
c. Providing directives and guidance having to do with federal agencies; and
d. Reporting to the President on the status of federal agencies’ occupational safety
and health programs.

II. Coverage of Federal Agencies under 29 CFR Part 1960.

A. Enforcement.
1. The Occupational Safety and Health Administration’s enforcement jurisdiction over
federal entities (departments, agencies, museums, corporations, etc.) is limited to the
Executive Branch. OSHA may, upon request, provide assistance or consultation to
the Legislative and Judicial branches of government, but has no oversight authority
over those branches.
2. OSHA’s coverage under §1960 of Executive Branch federal civilian employees who
are not performing strictly military operations has no geographic limitation and
includes federal civilian employees, working in private sector establishments. Given
that many private sector employees are working overseas, alongside federal
employees, any complaints, referrals and reports of fatalities or catastrophic events
occurring at federal worksites should be forwarded to OFAP for review.
3. Table 13-2 lists some of the federal entities that are excluded from OSHA coverage.
For further clarification regarding the status of a particular federal organization,
please contact the Office of Federal Agency Programs.
B. Military Personnel, Equipment and Operations.
Within the Executive Branch, uniformed military personnel and uniquely military
equipment, systems and operations are completely excluded from OSHA’s coverage
under §1960.
1. “Uniquely military equipment” includes equipment and systems designed by the
Department of Defense that are unique to the national defense mission.
2. Examples of excluded military equipment, systems and operations:
a. Military aircraft, ships and submarines;
b. Artillery, tanks and tactical vehicles;
c. Naval operations and military flight operations and associated research test and
development activities;
d. Missiles and missile sites;
e. Military space systems; and
f. Field maneuvers.
3. OSHA retains jurisdiction over workplaces and operations comparable to those of
private sector industries, such as:

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 a. Vessel, aircraft, and vehicle repair, overhaul, or modification (except for
equipment trials);
b. Construction;
c. Medical services;
d. Civil engineering or public works;
e. Supply services; and
f. Office work.
C. Federal Agencies Exempt from Unannounced Inspections.
OSHA is authorized to conduct unannounced inspections in Executive Branch federal
agency establishments unless:
1. The inspection site is a federal prison.
OSHA may conduct announced inspections at federal prisons following guidelines
found in FAP 01-00-002, Federal Agency Safety and Health Programs with the
Bureau of Prisons, U.S. Department of Justice, dated April 10, 1995.
CSHOs should review the definition of a federal employee (Section I.C., of this
chapter) prior to conducting inspections at federal prisons.
2. The Agency has a Certified Safety and Health Committee (CSHC) as defined by 29
CFR Part 1960, Subpart F.
Certified Safety and Health Committees are organized and maintained to monitor and
assist an agency’s safety and health program. 29 CFR Part 1960, Subpart F provides
a list of items necessary for the certification of the Committee, including the
requirement of the head of the agency to certify to the Secretary of Labor that all the
requirements of Subpart F are met. The Secretary of Labor can evaluate the
operations of the committee and require remedying any deficiencies within 90 days.
a. OSHA can conduct announced inspections at agencies with CSHCs.
b. For more information on CSHCs, see Section III.D., in this chapter, Complaint
Handling.
c. See Table 13-3 for a current list of agencies with a CSHC.
D. Federal Agencies with Private Sector Employees On-Site.
1. Employees of private contractors performing work under federal government
contracts are covered by standards, regulations, and other OSH Act requirements
applicable to private sector employees.
a. State Program Jurisdiction on Federal Property.
State Plans do not have jurisdiction over federal employees. However, the state
programs may choose to exercise jurisdiction over private sector contractors
working at federal facilities and on federal enclaves with the exception of
Government Owned Contractor Operated (GOCO) facilities and land ceded by a
State to the federal government (“federal enclaves”). Such coverage is set out in
various documents including operational status agreements and final approval
decisions which are codified at 29 CFR Part 1952. The Regional Administrator
must refer to the appropriate state subject to 29 CFR Part 1952 and supporting
documents to determine jurisdiction.
b. Government-Owned Contractor-Operated Facilities (GOCOs).

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 OSHA compliance policies concerning GOCO operations are described in
separate Memoranda of Understandings (MOUs) applicable to specific agencies.
CSHOs should follow private sector procedures for GOCOs with no
corresponding MOUs.
c. Department of Energy (DOE) Sites.
OSHA has jurisdiction over some DOE sites not covered by the Atomic Energy
Act (AEA). These sites are primarily involved in fossil fuel energy research and
power marketing administration. See Occupational Safety and Health of
Contractor Employees at Certain Energy Department Sites; Jurisdiction and
Enforcement Responsibilities; Clarification Regarding State Plans (Federal
Register, June 29, 2006 (71 FR 36988)) for further clarification as to the
jurisdiction and enforcement responsibilities of OSHA and 14 of its approved
State Plans at various Department of Energy (DOE) sites that are not subject to
the AEA. OSHA’s regulations in §1952 have been amended to reflect this
jurisdiction, as appropriate.
2. Private Sector Employees and Other Agencies’ Jurisdictions.
If there are private sector employees for which another federal agency has
occupational safety and health standards under Section 4(b)(1) of the Act, then
OSHA does not have jurisdiction over the working conditions addressed by the
requirements of the other federal agency. The working conditions of federal
employees at the worksite would still be subject to OSHA jurisdiction as specified in
§1960.19. Where OSHA requirements and those of another federal agency apply to
working conditions, the agency must comply with both requirements. If a standard
from one agency conflicts with an OSHA standard, agencies should comply with the
more protective of the conflicting standards until the conflict is resolved.
E. United States Postal Service.
Inspections at USPS facilities will be conducted by Federal OSHA using private sector
procedures.

III. Federal Agency Inspection Scheduling.

A. Targeted Inspections.
Targeted inspections at federal agencies are equivalent to targeted inspections at private
sector worksites. Area Directors are to schedule all targeted federal agency inspections
within the timeframe outlined in the applicable inspection directive. Federal targeted
inspections may result in Notices for violations of OSHA standards as well as applicable
citable program elements under §1960.
B. Special Emphasis Inspections.
Special Emphasis programs may be developed at the National, Regional, or Area Office
level to address hazardous working conditions causing significant injuries and illnesses in
the workplace. Federal agency worksites may be included in Special Emphasis programs
developed primarily for the private sector, or may be covered under special programs
developed specifically for federal agencies. Federal inspection programs may be based
on OSHA-300-series data when available, workers’ compensation claim injury and
illness data, or other suitable data.
1. National Emphasis Inspections.

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 When the inspection programs are developed at the National Office level, the Office
of Federal Agency Programs will provide the information used to initiate the
inspection activity.
2. Local Emphasis Inspections.
Area Directors, in conjunction with the Regional Administrators may develop federal
agency local emphasis programs following CPL 04-00-001, Approval of Local
Emphasis Programs, dated November 10, 1999. The Office of Federal Agency
Programs must obtain concurrence from the OFAP Director before implementing any
local emphasis inspection programs.
C. Incident Inspections.
When an Area Office is informed by a federal agency about a fatality or catastrophic
incident (defined as an event resulting in hospitalization of three or more employees), the
Area Director will determine if an inspection will be conducted. When an inspection is
conducted, the Area Office must ensure the following:
1. Agency Investigative Report.
CSHOs must obtain a copy of the agency’s investigative report, required by
§1960.29. If the agency has not completed the report, the agency must send a copy to
the Area Office when it is finished.
2. Agency Incident Summary Report.
CSHOs must request that the federal agency submit a summary report of any fatal or
catastrophic events accidents to OFAP, as required by §1960.70.
3. Excluded Agencies.
If an incident report is received concerning a federal agency not under OSHA’s
jurisdiction (see Table 13-2), the person reporting the incident should be referred to
an OFAP staff member, who will provide him/her with the agency’s safety and health
staff contact information.
D. Complaint Handling.
1. OSHA may decide to investigate complaints of unsafe or unhealthful working
conditions at federal workplaces (both in the United States and overseas) if the
agency is covered by §1960 (see Table 13-2). §1960.28(e) specifies procedures for
referring employee complaints to the subject agency for investigation and Section I of
the OIS, or successor system, provides complaint form letters for transmitting the
complaint to the agency. See Table 13-4 for a list of relevant form letters in OIS.
2. If a complaint is received from a private contractor working overseas at a federal
worksite, forward it to OFAP for review.
3. OSHA investigations of complaints from federal employees will follow the same
procedures as for private sector complaints except for the following:
a. Agencies’ reports of complaints.
CSHOs should ensure that agencies are tracking complaints as required by
§1960.28(d).
b. Federal Agencies with Certified Safety and Health Committees (CSHCs).
 If OSHA receives a complaint about an agency with a CSHC, and OSHA
decides not to conduct an announced inspection, OSHA will forward the
complaint to the employing agency’s Designated Agency Safety and Health

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 Official (DASHO) in accordance with §1960.28(e)(2). Once the agency
receives the complaint, it must follow the procedures outlined in §1960.28(d).
A copy of the employing agency’s response to the originator is to be sent to
the Secretary of Labor.
 If half the members of record of an agency’s CSHC are dissatisfied with the
agency’s response to a complaint, the members can ask OSHA to evaluate or
inspect the condition. If OSHA determines that an inspection is necessary, it
will notify the establishment official at least one day in advance of the
scheduled inspection. OSHA will provide inspection results to the
establishment official and ask that the official share the results with the
CSHC. OSHA will also forward a copy of the inspection results to the
agency DASHO.
c. Reports of Safety and Health Program Violations.
When complaints allege violations of program elements of §1960, the Area
Director may either schedule an inspection or respond by letter. Any program
deficiencies trends identified in a federal agency must be reported to the OFAP
and forwarded to OFAP for review. OFAP will determine if an evaluation of the
agency’s program is necessary.
d. Federal Bureau of Prisons.
OSHA may investigate allegations of unsafe and unhealthful working conditions
of federal inmates at Federal Bureau of Prisons facilities if the work the inmates
perform is similar to work performed at private sector industries, such as
manufacturing. See Section I.C.2, in this chapter for a more complete definition
of federal inmates.
NOTE: For further guidance, refer to the Federal Prisons inspection guidelines
found in FAP 01-00-002, Federal Agency Safety and Health Programs with the
Bureau of Prisons, U.S. Department of Justice, dated April 10, 1995.
e. Federal Agencies Excluded from OSHA Enforcement.
If a complainant’s agency or program is excluded from coverage under §1960
(see Table 13-2), the complainant should be referred to OFAP, which will
provide him/her with the agency’s safety and health staff contact information.
E. Reports of Reprisal or Discrimination.
Section 11(c) of the Act does not apply to federal employees, except for employees of the
U.S. Postal Service. However, Executive Order 12196, §1960.68, and the Whistleblower
Protection Act (WPA) of 1989 require agency heads to assure that no employee is subject
to restraint, interference, coercion, discrimination or reprisal for exercising any right
under these laws. In addition, specific segments of the federal workforce may be covered
by the “whistleblower” provisions of other legislation (see Section III.E.4., of this
chapter).
Federal employees can report allegations of fraud, waste and abuse to their agencies’
Office of the Inspector General without fear of reprisal. Offices of the Inspector General
have responsibilities to the American public to detect and prevent fraud, waste, abuse and
violations of law, and to promote economy, efficiency and effectiveness in the operations
of the Federal Government.
1. Covered Employees.

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 The Office of Special Counsel (OSC) enforces the Whistleblower Protection Act of
1989. Whenever a covered federal employee believes that actions have been taken
against him/her in reprisal for reporting a violation of a law, rule or regulation, or for
gross mismanagement, gross waste of funds, abuse of authority, or a substantial and
specific danger to public health or safety, OSHA will refer these employees or former
employees directly to the:
Office of Special Counsel
Complaints Examining Unit (Suite 201)
1730 M St., NW
Washington, DC 20036-4505
(800) 872-9855
There is no time limitation for filing a reprisal complaint with the Office of Special
Counsel.
The OSC will not usually consider anonymous complaints. If a complaint is filed
by an anonymous source the complaint will be referred to the Office of Inspector
General in the appropriate agency. OSC will take no further action on the complaint.
2. Non-Covered Employees.
Reports of reprisal or discrimination from federal employees who are not covered by
the WPA should be referred to the agency DASHO. Contact OFAP for further
assistance, if needed. Non-covered employees include employees of the:
a. Postal Rate Commission;
b. Federal Bureau of Investigation;
c. Central Intelligence Agency;
d. Defense Intelligence Agency;
e. National Geospatial-Intelligence Agency;
f. National Security Agency;
g. Other Executive Branch intelligence agencies excluded by the President; and
h. Government Accountability Office.
3. Federal Prisoners.
Inmates at federal prisons have their own reprisal program through the Bureau of
Prisons and are not covered by the Whistleblower Protection Act or 1960.68. (See
FAP 01-00-002, Federal Agency Safety and Health Programs with the Bureau of
Prisons, U.S. Department of Justice, dated April 10, 1995.)
4. Other Whistleblower Protections.
Although OSHA does not have authority to enforce Section 11(c) of the Act for
federal employees outside the U.S. Postal Service, federal agencies are required by
§1960.68 to set up procedures to protect employees from discrimination or reprisals
for reporting unsafe or unhealthful working conditions. CSHOs can issue
notifications to agencies for failing to have such procedures. In addition, OSHA
investigates whistleblower complaints filed by federal employees under the
whistleblower provisions of a number of other statutes. Federal employees may be
covered by the following statutes:
a. Asbestos Hazard Emergency Response Act – 15 USC § 2651;
b. Clean Air Act – 42 USC §7622;

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 c. Comprehensive Environmental Response Compensation and Liability Act – 42
USC §9610;
d. Consumer Product Safety Improvement Act of 2008 – 15 USC §2087;
e. Corporate and Criminal Fraud Accountability Act of 2002 – 18 USC §1514A;
f. Energy Reorganization Act – 42 USC §5851;
g. Federal Rail Safety Act as Amended by Sec.1521 of the 9/11 Act of 2007 – 49
USC §21109;
h. Federal Water Pollution Control Act, Amendments of 1972 – 33 USC §1367;
i. International Safe Container Act of 1977 – 46 USC §1506;
j. National Transit Security Systems Act of 2007 – 6 USC §1142;
k. Pipeline Safety Improvement Act of 2002 – 49 USC §60129;
l. Safe Drinking Water Act of 1974 – 42 USC § 300f-300j;
m. Solid Waste Disposal Act of 1976 – 42 USC §2622;
n. Surface Transportation Assistance Act of 1982 – 49 USC §31105;
o. Toxic Substances Control Act – 15 USC §2622;
p. Wendell H. Ford Aviation Investment and Reform Act for the 21st Century – 49
USC §42121;
q. Consumer Financial Protection Act of 2010 (CFPA), Section 1057 of the Dodd-
Frank Wall Street Reform and Consumer Protection Act of 201 – 12 USCA
§5567;
r. Moving Ahead for Progress in the 21st Century Act (MAP-21) – 49 USC §30171;
s. Seaman’s Protection Act, 46 U.S.C. §2114 (SPA), as amended by Section 611 of
the Coast Guard Authorization Act of 2010, (P.L. 111-281) – 46 USC §2114; and
t. Section 402 of the FDA Food Safety Modernization Act (FSMA) – 21 USC 399d.
The time limits for filing complaints and the specific filing methods vary by statute.
For further information, contact the Directorate of Whistleblower Protection
Programs:
Directorate of Whistleblower Programs
U.S. Department of Labor, OSHA
200 Constitution Avenue, NW
Room N-4624
Washington, DC 20210
Phone: (202) 693-2199
Fax: (202) 693-2403
F. Alternate and Supplementary Standards.
1. The head of each agency must comply with all occupational safety and health
standards issued under Section 6 of the Act (such as 29 CFR 1910, 1915, 1917, 1918,
1926, and 1911, etc.), or with alternate standards approved for that agency by the
Secretary of Labor.
a. An alternate standard is the federal agency equivalent of a private sector variance
from OSHA standards.
b. An agency may apply for an alternate and/or supplementary standard using
application procedures found at §1960.17, Alternate Standards and §1960.18
Supplementary Standards.
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 c. Federal agencies must follow FAP 00-00-001, Procedures for Handling
“Alternate” and “Supplementary” Standards Submitted by Federal Agencies,
dated July 1, 1981, when applying for approval of alternate standards.
d. A list of federal agency alternate standards can be found on the Federal Agency
Programs page of the OSHA website at:
http://intranet.osha.gov/compliance/dep_fap.html.
2. If an agency has been approved for an alternate standard, the CSHO will determine if
the agency is in compliance with the alternate standard. If the CSHO observes that
the agency is not in compliance with the terms and conditions of the alternate
standard, OSHA will issue a Notice in accordance with Section VIII., of this Chapter,
“Notice of Unsafe and Unhealthful Working Conditions”.
3. A supplementary standard as defined by §1960.18 should be implemented by an
agency if there is no OSHA standard that applies to a given workplace condition.
The agency may implement an emergency temporary supplementary standard first
and then work with OSHA to implement a permanent standard.
G. Refusal of Entry.
1. If a federal agency scheduled for an inspection refuses entry, the Area Director, in
consultation with the Regional Administrator, will attempt to resolve the issue with
the establishment official. If they cannot agree on a resolution, the Area Director will
contact the FAPO who will contact an official at the subject agency who is at the
FAPO’s equivalent agency organizational level, with responsibility and authority for
the establishment’s working conditions to discuss the refusal. Issues unresolved at
the Area or Regional Office level will be transferred to the OFAP Director for
resolution with the DASHO.
NOTE: OSHA will not use administrative subpoenas or warrants for federal
agencies. As stated above, unresolved issues shall be elevated to the next level until
resolved.
2. A written record of all action taken to resolve the issue must be kept in the case file.

IV. Federal Agency Recordkeeping and Reporting Requirements.

A. General Background.
Section 19(a)(3) of the Act requires the head of each federal agency to “…keep adequate
records of all occupational accidents and illnesses for proper evaluation and necessary
corrective action.” Executive Order 12196 further requires federal agency heads to
“operate an occupational safety and health management information system, which shall
include the maintenance of such records as the Secretary may require.” These
requirements are set forth in §1960, Subpart I.
B. Recording and Reporting Injuries and Illnesses at Federal Agencies.
Since January 1, 2005, federal agencies have been required to keep their injury and
illness records in essentially the same manner as private sector employers under §1904,
Subparts C, D, E, and portions of Subpart G. The revised recordkeeping requirements for
federal agencies are separate and apart from responsibilities for completing workers’
compensation documentation, and do not diminish or modify in any way a federal
agency’s responsibility to report or record injuries and illnesses in accordance with the
Federal Employees’ Compensation Act (FECA).

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 NOTE: On September 28, 1998, Congress amended the Occupational Safety and
Health Act to make the U.S. Postal Service subject to private sector injury and illness
recordkeeping under §1904.
1. Exemptions from §1904, Subparts A and B.
NOTE: §1904, Subparts A and B do NOT apply to federal agencies.
a. Purpose of Recordkeeping for Federal Establishments.
§1904, Subpart A, specifies the “Purpose” of the recordkeeping regulation for
private sector employers. The “Purpose” statement for federal agencies is
outlined in §1960.66.
b. All Federal Establishments Must Keep Injury and Illness Records.
§1904, Subpart B, is the exemption for private sector employers with ten or fewer
employees and those in certain industries. There is no equivalent provision in the
federal sector. All federal Executive Branch agencies regardless of size or
industry classification, must keep injury and illness records; the USPS falls under
OSHA’s private sector procedures for maintaining injury and illness records.
2. Sources of Additional Information.
a. Basic Program Elements.
For further background information, see Basic Program Elements for Federal
Employee Occupational Safety and Health Programs and Related Matters;
Subpart I for Recordkeeping and Reporting Requirements (Federal Register,
November 26, 2004 (69 FR 68793).
b. Frequently Asked Questions.
OSHA has also developed a document that answers common questions
concerning federal agencies’ recordkeeping. (See Frequently Asked Questions
for OSHA’s Injury and Illness Recordkeeping Rule for Federal Agencies).
C. Summary of Major Federal Recordkeeping Requirements Differences Compared to
Private Sector.
1. Different Definitions.
CSHOs should review the different definitions for “establishment” and “employees”
that are provided in Section I.C., of this chapter to ensure that they review federal
agencies’ records correctly.
2. Certifying the Records.
Under §1904 for the private sector, a company executive must certify that he or she
has examined the OSHA Form 300 log, and reasonably believes that the OSHA Form
300A summary is correct and complete. For federal establishments, the person who
certifies the records must be the senior establishment management official, the head
of the agency for whom the senior establishment management official works, or any
management official in the direct chain of command between the senior
establishment management official and the agency head.
D. Reports and Investigations of Fatalities/Catastrophes.
1. As with the private sector, in accordance with §1904.39, agencies must notify OSHA
within 8 hours of each work-related fatality or inpatient hospitalization of three or
more employees. This applies to each fatality or multiple hospitalizations that occurs
within thirty (30) days of an incident. Notification can be made by telephone or in

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 person at the OSHA area office nearest to the site of the incident, or by contacting the
OSHA toll-free telephone number at 1-800-321-OSHA (6742).
2. In addition, as required by §1960.70, federal agencies must provide OFAP with a
summary report of each fatal and catastrophic incident investigation.
E. Federal Agency Recordkeeping Forms.
1. OSHA Forms.
Federal establishments are required to maintain the same injury and illness
recordkeeping forms as the private sector, either by using the OSHA forms or
equivalent forms.
2. Use of Equivalent Forms.
a. As in the private sector, federal agencies are permitted to use an equivalent form,
provided that the replacement form contains all the OSHA-required information.
The substitute form must be readable and understandable, and completed using
the same instructions as the OSHA form it replaces.
b. Some federal agencies may elect to use the Office of Workers’ Compensation
(OWCP) claim forms in lieu of the OSHA-301 Incident Report. While this is
permissible, in their standard format the OWCP claim forms do not contain all
the OSHA-required information, and must be supplemented to include the
questions contained on the right-hand side of the OSHA Form 301. Also, the
OWCP claim forms usually contain information that is protected under the
Privacy Act of 1974.

V. Access to Federal Employee Occupational Safety and Health-Related Records.

A. Access to Federal Employee Injury and Illness Records.
1. Access to the §1904 records by employees, former employees, personal
representatives, or authorized employee representatives is the same in the federal
sector as in the private sector as specified under §1904.35.
2. If a federal establishment chooses to use an OWCP claim form as a substitute for the
OSHA-301 Incident Report, any personal identifiers or other privacy-protected
information must be redacted before providing the forms to employees or former
employees other than the injured parties or their personal representatives.
3. Access to these records by authorized employee representatives is limited to only that
information detailing specific information about the case, which is equivalent to
information contained on the right-hand side of the OSHA-301 Incident Report
entitled “Tell us about the case”.
B. Federal Employee Access to Exposure and Medical Records.
1. Employees or their designated representatives must have access to their personal
exposure and medical records kept under §1910.1020. [See Basic Program Elements
for Federal Employee Occupational Safety and Health Programs, Federal Register,
July 5, 1995 (60 FR 34851)].
2. Section 19 of the OSH Act, Executive Order 12196, and 29 CFR Part 1960 require
agency heads to implement occupational safety and health programs consistent with
standards promulgated under Section 6 of the OSH Act. Because §1910.1020, which
regulates employee access to exposure and medical records, was promulgated
pursuant to Section 8 of the OSH Act, under existing regulations it would not be a

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 required element of an agency program. Therefore, OSHA amended §1960.66 by
adding a new paragraph (f) to make §1910.1020 a required element of federal agency
safety and health programs.

VI. Evaluations of Federal Agency Programs.

A. Purpose.
Executive Order 12196 section 1-401(h) directs the Secretary of Labor to evaluate the
occupational safety and health programs of agencies and promptly submit reports to the
agency heads. The Act requires federal agency heads to operate effective occupational
safety and health programs; OSHA is required to evaluate the effectiveness of those
programs and does so by conducting on-site field reviews and special studies at agency
establishments.
1. Determining Effectiveness of Federal Agency OSH Programs.
OSHA determines the effectiveness of an agency’s OSH program established by
§1960.
2. Scope of Evaluations.
Evaluations may be classified by scope as follows:
a. Full-Scale Evaluations.
Full-scale evaluations include headquarters, intermediate organizational levels
and worksite reviews of the entire occupational safety and health program.
b. Special Study Evaluations.
Special Study evaluations include headquarters, intermediate organizational
levels, and worksite reviews but focus only on specific issues.
c. Headquarters-Only Evaluations.
Headquarters-only evaluations do not include worksite reviews.
d. Agency Self-Evaluations.
Agency self-evaluations may be substituted for an OSHA evaluation when
recommended by the OFAP Director and approved by the Secretary.
B. Time Frames.
While some special studies and scheduled inspections may be completed relatively
quickly, comprehensive reviews are likely to involve a substantial time investment and
require careful coordination and full cooperation from the evaluation team. According to
§1960.80 (e), (f) and (g), an agency evaluation should be completed within 90 calendar
days of the date of the opening conference, the evaluation report should be submitted to
the agency head within 90 calendar days from the date of the closing conference, and the
agency head then has 60 calendar days to respond to the report.
C. Office Responsibilities.
1. OFAP, in coordination with the FAPO(s), is responsible for organizing and managing
evaluations. Evaluations will be conducted by a team comprised of OFAP staff,
FAPOs, and compliance officers.
2. The scope of the evaluation will determine the size and composition of the team, as
well as the participation level of each team member.
3. FAPOs will work with Area Directors to determine the availability of compliance
officers to participate in the field evaluation/inspection element of the agency
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 evaluation. A compliance officer’s role in and time commitment to evaluations will
depend on the type of evaluation.
4. Please contact OFAP for further information.

VII. Agency Technical Assistance Request (ATAR).

A. Definition.
An ATAR is a request by a federal agency for on-site assistance. An ATAR may include
hazard abatement advice, training, an assistance inspection, or program assistance. An
ATAR is conducted at the request of an agency and is not an enforcement inspection.
All forms of assistance provided on-site must be recorded as an intervention on an
OSHA Form 55.
B. Agency Procedures for Requesting an ATAR.
1. While many ATAR requests for hazard abatement advice or for an assistance visit
will be received by telephone, the requesting agency normally must reduce the ATAR
to writing before OSHA will schedule an on-site visit.
2. If special circumstances arise that make it impractical to wait for a written request,
the ATAR visit may be initiated in response to the oral request, with documentation
in the file including the time, form of communication, individual making the request,
and the reason the ATAR was not requested in writing.
3. Agencies requesting assistance will be informed in advance that they will be expected
to correct any violations of citable program elements under §1960 or OSHA
standards observed by CSHOs.
C. OSHA Response to ATARs.
OSHA will usually respond to agency requests for assistance whenever resources permit.
However, an Area Director has discretion to deny the request for reasons such as:
1. Lack of site commitment to safety and health;
2. Reluctance of the requesting agency to assign necessary staff and resources to
implement safety and health programs;
3. Overdue abatement of previous violations and hazards; or
4. Unwillingness by the requesting agency to pay CSHO travel and per diem during the
ATAR.
D. Visit Procedures.
Assistance visit procedures will vary according to the scope of the visit, as prescribed by
the Area Director.
1. Opening Conference.
a. Discuss and agree upon the scope of the ATAR.
b. Explain that the agency will be required to correct any hazards within reasonable
and agreed-upon time frames.
c. Explain that if an imminent danger situation is found during the ATAR, the
ATAR will be ended and the agency will be required to correct the hazard
immediately or OSHA will conduct an enforcement inspection.

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 d. Explain that if any trends of serious hazards are observed and/or the site has no
effective OSH management program in place, the ATAR will be terminated
immediately and the case will be referred for enforcement action.
2. Closing Conference.
a. Review findings from the ATAR.
b. If hazards were identified, set a date for when the hazard must be abated and an
abatement report provided to the OSHA area office.
c. If no violations are observed, or if all hazards are eliminated prior to the
completion of the closing conference, the ATAR will be closed at that time.
E. Abatement.
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 will check on
abatement status by telephone and determine whether an abatement verification
inspection is required.
If any violations are unabated, OSHA may terminate the ATAR and refer the case for
enforcement action.
NOTE: Where on-site assistance is provided for those agencies excluded from
OSHA’s enforcement jurisdiction, OSHA will send a recommendation letter.

VIII. Notice(s) of Unsafe or Unhealthful Working Conditions.

The federal agency equivalent of a “citation” is OSHA’s Notice of Unsafe or Unhealthful
Working Conditions (OSHA-2H). (The Citation and Notification of Penalty (OSHA-2) is for
private sector employers; federal agencies receive OSHA-2H forms.) The “Notice” is a
report of a violation of OSHA standards, agency alternate standards, or citable program
elements required by §1960. Instructions for completing the OSHA Notice are found in IRT
01-00-006, The Enforcement User Skills Manual for Use with the NCR Computer System,
dated July 19, 1993, Chapters VII. and XI.
A. Issuance of an OSHA Notice.
1. When violations are observed during an inspection or evaluation of a federal agency
establishment, the private sector procedures will be followed, except as otherwise
indicated in this section. The OSHA Notice will be used to inform establishment
officials of violations of OSHA standards, alternate or supplemental standards, and
§1960 citable program elements.
a. For violation of a citable program element, cite the paragraph. See Table 13-1 for
citable program elements.
b. For recordkeeping violations, cite the applicable sections of §1904 (unless
superseded by future agency-approved correspondence). Also see §1960 Citable
Program Elements in Table 13-1 (at the end of this chapter).
c. For violations of a specific OSHA standard, cite the applicable OSHA
standard/paragraph.
d. Where violations of the Alternate Standard are identified, follow the guidance for
variance violations for private sector employers, with the following federal
agency adjustments:

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  For violations of an Alternate Standard where requirements are also
addressed in the OSHA standards, cite the OSHA standard and then add
the following language to the SAVE standard language section: “As
required by §1960.8(b).” Then reference in the AVD the Alternate
Standard provision that was not met.
 For violations of a provision of the Alternate Standard that is not a
requirement in §1910, cite §1960.8(a), referencing the paragraph of the
Alternate Standard.
 For violations of a requirement in §1910 that is not addressed in the
Alternate Standard, cite the OSHA standard and then add the following
language to the SAVE standard language section: “As required by
§1960.8(b).”
e. If there is no OSHA standard that addresses a serious hazard, cite §1960.8(a) (the
federal equivalent of the General Duty Clause). If there is no OSHA standard
that address an other-than-serious hazard, notify the establishment using the
inspection form letter “g” (“Letter for a Hazard Not Covered by Standard or
General Duty Clause”) in OIS.
f. If there is an agency supplemental standard(s) that addresses a serious hazard, cite
§1960.8(a) (the federal equivalent of the General Duty Clause) and the
supplemental standard that was in violation.
2. The Area Office will send the OSHA Notice in accordance with private sector
procedures. When violations are classified as willful or repeat, a copy must also be
sent to the DASHO. Contact information is available from OFAP, through the
Regional FAPOs.
NOTE: For the U.S. Army only, send copies of willful and repeat Notices to:
(Name to be supplied by OFAP)
Department of the Army
Assistant Secretary of the Army Installations and Environment
110 Army Pentagon
Washington, DC 20310-0110

B. Cover Letter for Federal Agencies.

1. The OSHA Notice for federal agencies includes general information for the agency
advising it of the contents of the Notice, its rights, and procedures to follow. It will
remind the establishment official to post a copy of the OSHA Notice at or near each
place that a violation exists or existed, and will inform the establishment official that
he or she may request an informal conference, either in writing or by telephone with a
confirming letter, within 15 working days of receipt of the OSHA Notice.
2. Enclose the OSHA Publication, “Employer Rights & Responsibilities Following a
Federal OSHA Inspection”. (English PDF) (Spanish PDF)
C. Violations of Citable Program Elements of 29 CFR Part 1960.
1. Violations of citable program elements of §1960 will normally 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 §1960.55,
Training of Supervisors, would be cited as “serious”).

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 2. If violations of §1960 citable program elements cannot be corrected within 30 days,
Area Directors may assign abatement dates of up to 6 months in 90-day increments.
Justification for abatement in excess of 30 days must be documented in the case file.
D. Repeat OSHA Notice for Federal Agencies.
1. A repeat OSHA Notice may be issued to a federal agency establishment 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 agency-wide inspection history lists a previous
OSHA Notice issued within the past five years to an agency establishment within
the same two-digit SIC code. For example if an inspection is conducted at the
U.S. Department of Transportation (DOT), Federal Aviation Administration
(FAA) worksite, a CSHO would search for violations at the FAA and not DOT-
wide.
b. For other-than-serious violations if the establishment being inspected received a
previous OSHA Notice issued within the past three years.
c. There is documentary evidence that the previous OSHA Notice had been abated.
2. For a repeat Notice, cite the appropriate OSHA standard (§1910, 1926, etc.) Prepare
the Notices as follows:
“Notice ___ #, Item ___ #, 29 CFR ___ STANDARD NUMBER as required by
29 CFR 1960.8(b): The employer failed to (a brief description of the violation –
SAVE). The employer was cited for a violation of the (SAME/SIMILAR
standard and/or SAME/SIMILAR hazard) on MONTH/DAY/YEAR, Inspection
___ #, date MONTH/DAY/YEAR of final order/settlement, and means of
abatement”.
E. Multi-Employer Worksite Policy for Federal Agencies.
Many workplaces in the federal sector involve a mixed workforce of civil service and
private contractor employees. OSHA requires federal agencies to comply with all
occupational safety and health standards and to assume responsibility for worker
protection in a manner comparable to private employers, including multi-employer
worksite responsibility in appropriate circumstances. Federal agencies on multi-
employer worksites have safety responsibilities comparable to those of private employers
in comparable circumstances, whether the workforce is comprised of employees from
multiple federal agencies or a mixture of federal and private-sector employees. The
multiemployer worksite policy described in CPL 02-00-124, Multi-Employer Citation
Policy, dated December 10, 1999, applies to both construction and non-construction, and
to both private and federal employers.
F. Informal Conference Procedures for Federal Agencies.
1. Separation.
a. In an effort to resolve issues quickly, federal agencies should be aware of, and
use, the informal conference at the Area Office level. Agencies should contact
the Area Director to schedule an informal conference prior to beginning the
appeals process. However, agencies must also understand that the informal
conference is independent of, and proceeds separately from, the appeals process.
b. An agency that intends to appeal an OSHA Notice must file the appeal with the
Regional Administrator within the given time frame, regardless of whether the
informal conference has occurred.
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 2. Affirmative Defenses.
Although agencies will have the burden of proving any affirmative defenses during
the appeals process, the Area Director must anticipate the potential for affirmative
defenses, particularly if the agency makes such an assertion during the informal
conference. When providing the case file to the Regional and/or National Office, the
Area Director should be sure to include all documentation related to possible
affirmative defenses.
G. Federal Agency Appeals Procedure.
The private sector contest procedures before the Occupational Safety and Health Review
Commission do not apply to federal agencies, except the US Postal Service. However,
federal agencies may obtain higher-level OSHA review of Notices issued to them, as
described below.
1. Regional Review.
If the Area Director and relevant federal agency cannot resolve an issue through an
informal conference, the federal agency has 15 working days following its receipt of
the OSHA Notice to file a written request that OSHA’s Regional Administrator
review the case. The request must originate from the appealing agency’s National
Occupational Safety and Health (OSH) Manager 2 or the equivalent.
a. The written appeal request should state the:
 grounds for the appeal based on 29 CFR Part 1960,
 reason(s) for the appeal, and
 issues the agency intends to raise.
NOTE: If the federal agency fails to notify OSHA of its intent to request a
Regional review within 15 working days following the receipt of a Notice, the
Notice becomes final.
b. After receiving the written appeal request, the Area Director has five working
days to provide the OSHA Regional office with a written summary of the
informal conference discussion.
c. After receiving the written summary from the Area Director, the Regional
Administrator has 20 working days to review the summary, case file, and other
relevant information, including any documentation provided by the appealing
agency, and, if necessary, schedule and hold a (tele)conference with all parties
(which may include the Area Director, Regional Solicitor, and other OSHA
personnel as necessary) to discuss the issues raised in the written appeal request.
The Regional Administrator will provide a bulletin (see Appendix A and Appeals
Process Flowchart), via certified mail, with the date, time, and location of the
conference, which the appealing agency must post. The appealing agency must
return the Certificate of Posting (see Appendix B and Appeals Process Flowchart)
within three working days of receiving the bulletin.
d. If the Regional Administrator and the appealing agency reach a settlement, the
Area Director will ensure that the appealing agency receives a written Informal
Settlement Agreement (ISA) (see Appendix C and Appeals Process Flowchart).

2
The National Occupational Safety and Health Manager is the headquarters-level career official tasked with
responsibility for overseeing, implementing, and evaluating the agency’s OSH program. In smaller agencies, this
person may also be the DASHO.

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 The Area Director must ensure that the ISA is sent, via certified mail, within 10
working days.
 The appealing agency has 15 working days after receiving the ISA to sign
it. The ISA must be signed by the appealing agency’s National OSH
Manager or the equivalent.
 Once the agency has signed the agreement and returned it to the OSHA
Area Office via certified mail, it is considered final and the case will be
closed.
 The Area Office will notify the Regional Administrator upon receipt of
the signed ISA from the appealing agency. If the appealing agency has
failed to sign the agreement the Area Office must note this on the
agreement with details of the time line for signatures.
 If the appealing agency does not sign the agreement within the given time
frame, the original Notice will stand, unless the federal agency requests a
review by OSHA’s National Office within the required time frame.
e. If the Regional Administrator and the appealing agency cannot reach a settlement
within the specified 20-day time frame, the appealing agency must either accept
the original Notice or follow procedures for requesting OSHA National Office
review.
NOTE: If the Regional Administrator and appealing agency do not reach a
settlement within 20 working days, and the appealing agency does not ask for a
National Office review, the Notice becomes a final order and is not subject to
review.
2. National Office Review.
If an appealing agency has signed an ISA with the Regional Office, it may not request
a review by OSHA’s National Office.
a. Following the Regional Administrator’s decision, an appealing agency has 10
working days to request, in writing, a review by OSHA’s National Office. The
appealing agency must send its request to:
[Name], Director
Office of Federal Agency Programs
U.S. Department of Labor
Occupational Safety and Health Administration
200 Constitution Avenue, NW
Room N3622
Washington, DC 20210
b. The written request for National Office review must originate from the appealing
agency’s Designated Agency Safety and Health Official (DASHO) 3. The agency
must base its written appeal on its compliance with the program elements
described in §1960 and, according to §2200.34(b)(1-3), the appeal documentation
must include:

3
The National Occupational Safety and Health Manager is the headquarters-level career official tasked with
responsibility for overseeing, implementing, and evaluating the agency’s OSH program. In smaller agencies, this
person may also be the DASHO.

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  A short and plain statement denying the allegations in the Notice that the
appealing agency intends to contest.
NOTE: If an agency does not deny an allegation in the initial written
appeal, the allegation becomes a final order.
 All affirmative defenses the agency is asserting, such as “infeasibility,”
“unpreventable employee misconduct,” and “greater hazard.”
NOTE: The National Office will not consider appeals based solely on
issues of fact surrounding a Notice; the agency must resolve issues of
factual dispute with the relevant OSHA Area or Regional Office.
c. Once the National Office receives the review request, it must request a copy of
the case file from the Regional Administrator and provide a copy of the review
request to the Area Office. The Regional Office must provide a copy of the case
file to the National Office within two working days.
d. If the National Office finds it necessary to discuss the appeal with the appealing
agency, the National Office has 20 working days, after receiving the copy of the
case file from the Region, to schedule and hold a (tele)conference with the federal
agency and affected employee(s) or employee representatives to discuss the
issues raised.
The National Office will provide a bulletin (see Appendix A), sent via certified
mail, with the date, time, and location of the conference, which the appealing
agency must post. The appealing agency must return the Certificate of Posting
(see Appendix B) within three days of receiving the bulletin.
e. The Director, OFAP, may convene a panel of experts (Appeals Panel) to assist
with reviewing the appeal. At the Director’s request, the Panel members may
participate in the conference with the appealing agency.
The Panel will provide input to assist the Director, OFAP, in making
recommendations to the Director, DEP, on the resolution of the appeal.
f. The Director, DEP, makes the final OSHA National Office’s decision on federal
agency appeals. The Director should make the final decision within 30 working
days after the start of the review period or the date of the (tele)conference, and
must provide a final written decision to all parties. The 30-day time period
includes time for the Office of the Solicitor’s review of and concurrence with the
decision.
g. The National Office will address the decision to the highest level DASHO for the
Department or Agency.
h. The National Office must provide the originating Area Office with a signed copy
of the summary of the conference and decision.
3. While the National Office’s decision is considered the Secretary’s final decision,
Executive Order 12196, paragraph 1-401(k) states that unresolved disagreements
between the Secretary of Labor and another agency head will be submitted to the
Office of Management and Budget.
H. Verification of Abatement.
Follow private sector guidelines to verify abatement. Notify the Certified Committee, if
appropriate, of the abatement plan.
I. Petition for Modification of Abatement Dates (PMA).

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 When Area Offices receive federal agency requests for additional abatement time, they
will follow §1903.14(a) and §2200.37, which prescribe PMA procedures for the private
sector. If the Area Director does not agree to extend the abatement date, the agency may
bring unresolved issues to the Regional Administrator/FAPO for resolution with his
counterpart in the agency. Issues not resolved at the regional level will be forwarded to
the OFAP Director for resolution with agency headquarters staff in consultation with the
Regional Administrator, the FAPO, and the Area Director.
J. Failure to Abate.
Area Directors will work with local federal agency managers in developing an acceptable
abatement plan. When development of such a plan is unsuccessful, and abatement is not
achieved within 30 calendar days of the abatement date, the following steps will apply:
1. The Area Director will send a Notification of Failure-to-Abate Alleged Violation
(OSHA-2C), (FTA Notice) with inspection form letter “h” (“Notification of Failure to
Abate Alleged Violation”) to the establishment official. This letter may also contain
a general summary of what penalty amounts would have been proposed had the
agency been a private sector employer.
2. The Area Director will send a copy of the FTA Notice and inspection form letter to
the DASHO and representative of employees (a transmittal letter is not required).
NOTE: If the inspection was initiated because of a complaint, the Area Director
will send a copy of the FTA Notice to the complainant with the complaint form letter
“o” (“Notification to Complainant – Failure to Abate Issued”) in the OIS.
3. If the Area Director cannot resolve the issue at the local level, he/she will forward a
copy of pertinent portions of the complete case file to the FAPO. The FAPO will
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
will 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 of
OFAP.
The OFAP Director will, within 30 calendar days, determine which Directorate
within OSHA is the most appropriate to review the case file. The Director,
Directorate of Enforcement Programs (DEP) will then forward the case file to the
appropriate Directorate. The reviewing Directorate will have 30 calendar days in
which to review the case file and return it to DEP with appropriate recommendations.
4. If DEP upholds the citation, the DEP Director will, within 30 calendar days, schedule
a meeting with the DASHO in the cited federal agency to discuss OSHA’s findings
and request an abatement schedule.
5. If a satisfactory abatement schedule is not received within 60 calendar days, the case
will be referred to the Assistant Secretary.
6. DEP will provide the Regional Office with a status report every 60 calendar days
until the case is resolved.

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 Table 13-1: 29 CFR Part 1960 Citable Program Elements
Program Element Explanation
The “general duty clause” element that will replace the Executive Order
§1960.8(a)
201(a) for enforcing serious hazards that are not covered by a standard.
§1960.8(b) Requires all agencies to comply with applicable OSHA standards.
Requires all agencies to develop, implement, and evaluate an occupational
§1960.8(c)
safety and health program.
Requires all agencies to acquire, maintain, and mandate employee use of
§1960.8(d)
approved personal protective equipment (PPE) and other safety equipment.
Establishes accountability of managers and supervisors and can apply equally
§1960.11
to all agencies.
Requires all agencies to post an agency occupational safety and health poster
§1960.12(c)
informing employees of the agency safety and health program.
The last sentence stipulating that necessary equipment to conduct inspections
§1960.25(a) must be provided can be enforced in all agencies; the first part of the
paragraph may not apply.
The first sentence requires each agency to inspect each workplace annually.
§1960.25(c)
The remaining part of the element may not apply to all agencies.
The first sentence provides the CHSO with specific imminent danger
§1960.26(b)(5) instructions that can apply uniformly. The rest of the paragraph may not
apply at all locations.
Specifies how agencies should handle agency inspection reports and notices
§1960.26(c)(1-4)
of unsafe or unhealthful conditions.
The first sentence specifies that the safety and health inspector is in charge of
§1960.27(a) an agency inspection. The rest of the paragraph is general instruction that
would be difficult to enforce.
§1960.28(d)(3) Specifies time frames for an agency to inspect employee reports of hazards.
Requires all agencies to investigate incidents resulting in a fatality or
§1960.29(b)
hospitalization of three or more employees.
Requires agencies to include specific information on all investigative reports
§1960.29(d) of incidents and specifies the report be made available to the Secretary or an
authorized representative of the Secretary of Labor.
§1960.30(a-e) Specifies abatement directions that apply to all agencies.
Provides specific directions to General Services Administration (GSA) and
§1960.34(a-d) other agencies that affect the safety and health programs of agencies in
federally owned or leased buildings.
Requires equal representation of management and non-management
§1960.37(b) employees for those agencies that choose to have a Certified Safety and
Health Committee.
Requires the chair position of the safety and health committee to alternate
§1960.37(d) between management and non-management; this element applies as well to
those agencies that choose to have a Certified Safety and Health Committee.
Program Element Explanation

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Program Element Explanation
Requires safety and health committees to meet on a regular schedule and
§1960.37(e) applies to all agencies that choose to have a Certified Safety and Health
Committee.
Requires agencies to train all supervisory employees on the Act, E.O. 12196,
§1960.55(a)
the agency safety and health program, etc.
§1960.56(a) Provides specific directions for training agency safety and health specialists.
§1960.57 Requires agencies to train safety and health inspectors.
Requires agencies to train collateral duty safety and health personnel and
§1960.58
committee members.
Requires agencies to train employees and employee representatives in safety
§1960.59(a-b)
and health appropriate to the work performed.
§1960.67 (Cite Requires all agencies to have the record or log of occupational injuries and
the appropriate illnesses certified by: (a) the senior establishment management official, (b)
§1904 regulation the head of the Agency for which the senior establishment management
then cite this office works, or (c) any management official who is in the direct chain of
program command between the senior establishment management official and the
element in the head of the Agency.
alternative)
Requires all agencies to have established procedures for protecting
§1960.68 employees against reprisal or discrimination for identifying unsafe or
unhealthful working conditions.
Provides directions to all agencies about providing a summary report of each
fatal and catastrophic incident to OSHA’s Office of Federal Agency
Programs. These directions are in addition to the requirements for reporting
fatalities and multiple hospitalization incidents to OSHA under 29 CFR
1904.39.
§1960.70
NOTE: 29 CFR Part 1904 has new requirements for reporting work-related
fatalities, hospitalizations, amputations or losses of an eye. The new rule,
which also updates the list of employers partially exempt from OSHA record-
keeping requirements, went into effect on Jan. 1, 2015, for workplaces under
federal OSHA jurisdiction.
Requires that the agency head submit to the Secretary an annual report on
§1960.71(a)(1) his/her agency’s occupational safety and health program by January 1 of each
year.
Program Element Explanation

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 Table 13-2: The Main Federal Agencies Outside OSHA’s Oversight
Branch of the
Federal Agency
Government
 Congress (Senate and House of Representatives)
 Architect of the Capitol including the Botanical Garden
 Congressional Budget Office
Legislative
 Government Accountability Office
 Government Printing Office
 Library of Congress
 U.S. Supreme Court
 Federal Courts of Appeals
 U.S. District Courts
Judicial
 U.S. Bankruptcy Courts
 U.S. Tax Courts
 U.S. Court of Appeals for Veterans’ Claims

Table 13-3: Departments and Agencies with

Certified Safety and Health Committees
 Central Intelligence Agency
 U.S. Department of Labor
 General Services Administration
 Tennessee Valley Authority
 U.S. International Trade Commission

Table 13-4: Federal Agency Form Letters

Standard Form Letter Screen on NCR
Federal Agency Form Letters
H Complaint Letters
I Inspection Letters
J PMA Letters
K Reprisal Letters
Complaint Letters (H)
A No inspection – invalid complaint
B Reserved
C Complaint (OSHA-7) For Signature
D Notification to Employer
E Complaint Notification with Letter D

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F Acknowledgement Complainant
G Notification Complainant with Employer Response
H Notification Complainant with Inspection Results
I Dunning Letter – Non Insp Complaint
J Correcting – Additional Information Needed
K Notification Complainant – Invalid Allegations
L Notification Complainant – Unsatisfactory Employer
Other (H)
M Notification Reprisal Complaint
N Reports Program Deficiencies – Agency
O Notification Complainant – FTA Issued
P Complaint Letter Insp Employer
Federal Sector Inspection Letters (I)
A Notification Official (Inspection Results)
B Reserved
C Notification Official (Evaluation Results)
D Notification Official (ATAR-Schedule)
E Notification Official (ATAR-Results)
F Agency Technical Assistance Request (ATAR)
G Hazard Not Covered by General Standard
H Notification of FTA Alleged Violation
I Informal Conference Scheduled
Federal Sector PMA Form Letters (J)
A Notification Modification of Abatement Date
B Notification Amended Abatement Date
C Notification Employer (Uncontested)
D Petition Modification of Abatement Date
E Notification Employer (Review Request)
F Uncontested Petition
G Notification Employer (Object Petition)
H Process Petition – Modify Abatement
I Notification Employer (Objection by Union)
J Notification Employer (Objection by OSHA)
Federal Sector Reprisal Letters (K)
A Reprisal Letter – Special Counsel
B Reprisal Letter – Covered Federal Employee

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13-28
13-29
13-30
 Appendix A

(Print on letterhead)

(Regional or National) Office Notice of Appeal

This bulletin serves to notify all employees that (federal agency) is appealing
OSHA inspection (inspection number and date of inspection) and the resulting
Notice(s) of Unsafe or Unhealthful Working Conditions. The agency and OSHA
will discuss the appeal at:

(Regional or National Office Address)

(Time)

(Date)

__________________________________________________

[Name], Regional Administrator or Director, Office of Federal Agency Programs (choose one)

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 [sample – would be printed on letterhead]

Region III Notice of Appeal

This bulletin serves to notify all employees that the U.S. Army Corps of Engineers
(USACE) is appealing OSHA inspection #123456, January 3, 2012, and the
resulting Notice(s) of Unsafe or Unhealthful Working Conditions. The USACE
and OSHA will discuss the appeal at:

U.S. Department of Labor - OSHA

The Curtis Center, Suite 740 West
170 South Independence Mall West
Philadelphia, PA 19106-3309

9:00 AM

June 5, 2012

__________________________________________________

Richard Mendelson, Acting Regional Administrator

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 Appendix B
[print on letterhead]

Certificate of Posting
Notice of Appeal

Inspection Number: ____________________

Date of Posting Notice of Appeal:____________________

Date Copy Given to Relevant Employee Representative(s): ____________________

On behalf of (federal agency), I certify that a copy of the Occupational Safety and Health
Administration’s Notice of Appeal, has been posted in a conspicuous place, where all affected
employees will have notice. The agency has also provided a copy of the Notice to each
authorized representative of affected employees, if any. This bulletin will be posted for a
minimum of 10 days or until any proceedings conclude.

_____________________________________________________
National Occupational Safety and Health Manager

_____________________________________________________
Title

_____________________________________________________
Federal Agency Name

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 [sample – would be printed on letterhead]

Certificate of Posting
Notice of Appeal

Inspection Number: __123456__________________

Date of Posting Notice of Appeal: ____May 16, 2012________________

Date Copy Given to Relevant Employee Representative(s): __May 16, 2012___________

On behalf of the U.S. Army Corps of Engineers, I certify that a copy of the Occupational Safety
and Health Administration’s Notice of Appeal, has been posted in a conspicuous place, where all
affected employees will have notice. The USACE has also provided a copy of the Notice to each
authorized representative of affected employees, if any. This bulletin will be posted for a
minimum of 10 days or until any proceedings conclude.

_____________________________________________________
National Occupational Safety and Health Manager

_____________________________________________________
Title

_____________________________________________________
U.S. Army Corps of Engineers

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 Appendix C
(Print on letterhead)

In the Matter of:

OSHA No.(s):

INFORMAL SETTLEMENT AGREEMENT

The undersigned Agency and the undersigned Occupational Safety and Health
Administration (OSHA), in settlement of the above Notice(s) of Unsafe or Unhealthful
Working Conditions (Notice) which was issued on (Issue Date) hereby agree as follows:

1) The Agency agrees to correct the hazards as cited in the above Notice(s) or as amended
below.

2) The Agency and OSHA agree that the following Notice(s) are not being amended:

Notice 01 Item 001

Notice 02 Item 001
Notice 02 Item 002
Notice 02 Item 003

3) OSHA agrees that the following Notice(s) are being amended as shown below:

Notice 01 Item 002 – Withdraw item

Notice 01 Item 003 – Reclassify from Serious to Other than Serious
Notice 01 Item 004 – Withdraw item
Notice 01 Item 005 – Group with Item 6
Notice 01 Item 006 – Group with Item 5

4) The Agency, by signing this Informal Settlement Agreement, hereby waives its rights to
appeal the above Notice(s), as amended in Paragraph 3 of this agreement.

5) The Agency agrees to immediately post a copy of this Agreement in a prominent place at
or near the location of the hazard(s) referred to in Paragraph 3 above. This Agreement
must remain posted until the agency has corrected the hazards cited, or for three working
days (excluding weekends and federal holidays), whichever is longer.

6) The Agency agrees to continue to comply with the applicable provisions of the
Occupational Safety and Health Act of 1970 (the Act), Executive Order 12196, 29 CFR
Part 1960, and the applicable safety and health standards promulgated pursuant to the
Act.

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 7) By entering into this agreement, the Agency does not admit that it violated the cited
standards.

8) The Agency also agrees to the following conditions:

• It has abated all violations.

• It will correct all similar conditions in the workplace.

• It will send a letter of corrective action to the Area Director by <date>.

______________________________
For the Occupational Safety and Health Date
Administration
<name of representative>

______________________________
For the Agency Date

If your Agency received this Informal Settlement Agreement via postal mail or facsimile for
signature, your agency must return the document with the “ORIGINAL” signature to this office
or the agreement will not be valid.

NOTE: If you are faxing the signed ISA as an interim measure, you must fax the entire
agreement, not just the signature page.

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 Chapter 14

HEALTH INSPECTION ENFORCEMENT PROGRAMS

I. Health Enforcement Programs [Reserved]

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 Chapter 15

LEGAL ISSUES
I. Administrative Subpoenas.
A. When to Issue.
An Administrative Subpoena may be issued whenever there is a need for records,
documents, testimony or other supporting evidence necessary for completing an
inspection or an investigation of any matter falling within OSHA’s authority.
1. Regional Administrators have authority to issue subpoenas, and are also authorized
and encouraged to delegate to Area Directors the authority to issue routine
administrative subpoenas.
2. The issuance of an administrative subpoena requires the Area Director’s or Regional
Administrator’s signature.
B. Two Types of Subpoenas.
There are two types of subpoenas used to obtain evidence during an OSHA investigation:
1. A Subpoena Duces Tecum is used to obtain documents. It orders a person or
organization to appear at a specified time and place and produce certain documents,
and to testify to their authenticity. Employers are not required to create a new record
in order to respond to these types of subpoenas.
2. A Subpoena Ad Testificandum commands a named individual or corporation to
appear at a specified time and place, such as the Area Office, to provide testimony
under oath. A verbatim transcript is made of this testimony.
C. Area Director Delegated Authority to Issue Administrative Subpoenas.
Although authority to issue some types of subpoenas is reserved to the Regional
Administrator, Area Directors may be authorized to issue routine administrative
subpoenas.
1. Area Directors may be delegated authority to issue administrative subpoenas for any
record or document relevant to an inspection or investigation under the Act,
including:
a. Injury and illness records such as the OSHA-301 and the OSHA-300 (See CPL
02-02-072, Rules of Agency Practice and Procedure Concerning OSHA Access to
Employee Medical Records, dated August 22, 2007, and 29 CFR 1913.10(b)(6));
b. Hazard communication program;
c. Lockout/tagout program; and
d. Safety and health program.
2. Information shall be requested from the employer or holder of records, documents, or
other information-containing materials.
a. If this person/entity refuses to provide requested information or evidence, the
OSHA representative serving the subpoena shall explain the reason for the
request.
b. If there is still a refusal to produce the information or evidence requested, the
OSHA representative shall inform the person/entity that the agency may take
further legal action.
3. The official issuing the subpoena is responsible for evaluating the circumstances and
deciding whether to issue a subpoena. In cases with potential national implications or
involving extraordinary circumstances, the Regional Administrator shall be contacted

15-1
 for concurrence or to determine whether the subpoena should be issued by the
Regional Administrator.
D. Regional Administrator Authority to Issue Administrative Subpoenas.
1. Regional Administrators have independent authority to issue subpoenas for any
appropriate purpose. Unless delegated to an Area Director, the following authority
shall be reserved to Regional Administrators:
a. Issuance of a Subpoena Ad Testificandum to require the testimony of any
company official, employee, or other witness;
b. Issuance of a subpoena for the production of personally identifiable medical
records for which a medical access order has been obtained. See CPL 02-02-072,
Rules of Agency Practice and Procedure Concerning OSHA Access to Employee
Medical Records, dated August 22, 2007, and §1913.10(b)(6); and
c. Issuance of a subpoena for the production of physical evidence, such as samples
of materials.
2. Although this authority may not routinely be delegated to Area Directors, in a few
cases such delegation may be appropriate.
E. Administrative Subpoena Content and Service.
1. Model administrative subpoenas for use by the Area Offices are provided at the end
of this chapter. If the Area Director believes that there is reason for any departure
from the models due to circumstances of the case, the RSOL shall be consulted.
2. The subpoena shall be prepared for the appropriate party and will normally be served
by personal service (delivery to the party named in person). Leaving a copy at a
place of business or residence is not personal service.
a. In exceptional circumstances, service may be by certified mail with return receipt
requested.
b. Where no individual’s name is available, the subpoena can be addressed to a
business’ or organization’s “Custodian(s) of Records.”
3. Examples of language for a routine Subpoena Duces Tecum are provided below. This
language should be expanded when requesting additional or more detailed
information for accident, catastrophe, referral or fatality investigations.
a. “Copies of any and all documents, including information stored electronically,
which reflect training procedures for the lockout/tagout procedures and hazard
communication program in effect at the [insert site name] in [insert city, state],
during the period [insert month/day/year], to present.”
b. “Copies of the OSHA-300 and the OSHA-301 forms, for the entire site, during
calendar years [insert year] and [insert year].”
c. “Copies of any and all documents, including information stored electronically,
such as safety and health program handbooks, minutes of safety and health
meetings, training certification records, audits and reprimands for violations of
safety and health rules by employees of the [insert site name] in [insert city,
state], that show [insert employer’s name] had and enforced safety rules relating
to the use of trench boxes during the period [insert month/day/year], to present.”
NOTE: Where particular information is being sought, a subpoena’s description
should be narrow and specific in order to increase the likelihood for prompt
compliance with the request.
4. A copy of the subpoena, signed by the Area Director, shall be forwarded as soon as
possible to the Regional Administrator and shall also be maintained at the Area
Office.
a. Copies of subpoenas may be forwarded to the RSOL as practicable.
15-2
 b. Regional Administrators and Area Directors shall establish procedures to track all
administrative subpoenas issued. These procedures shall include instructions for
completing the return of service.
F. Compliance with the Subpoena.
The person/entity served may comply with the subpoena by making the information or
evidence available to the compliance officer immediately upon service, or at the time and
place specified in the subpoena.
1. With respect to any record required to be made or kept pursuant to any statute or
regulation, the subpoena shall normally allow three days from the date of service for
production of the required information although a shorter period may be appropriate.
2. With respect to other types of records or information, such as safety programs or
incident reports, the subpoena shall normally allow at least five working days from
the date of service for production of the required information.
3. Separate subpoenas for items 1 and 2 above may be necessary.
4. Any witness fees or mileage costs potentially associated with administrative
subpoenas should be discussed with the RSOL prior to the issuance.
G. Refusal to Honor Subpoena.
1. If the person/entity served refuses to comply with (or only partially honors) the
subpoena, the compliance officer shall document all relevant facts and advise the
Area Director before taking further action.
2. To enforce a subpoena, the Area Director shall follow the procedures outlined for
obtaining warrants, and shall refer the matter, through the Regional Administrator, to
the RSOL for appropriate action.
H. Anticipatory Subpoena.
Generally, agency policy is to seek voluntary production of evidence before an
administrative subpoena is issued. However, a subpoena may be executed and served
without making a prior request where there is reason to believe that the corporate entity
and/or person from whom information is sought will not voluntarily comply, or where
there is an urgent need for the information. Anticipatory subpoenas require consultation
with RSOL.
NOTE: For example, pre-inspection preparation of subpoenas for issuance at the
opening conference is appropriate in cases where the employer has previously denied
access to records, or where complex inspections involving extensive review of records
are planned.

II. Service of Subpoena on OSHA Personnel.

A. Proceedings to which the Secretary of Labor is a Party.
If any OSHA personnel are served with a subpoena or order either to appear or to provide
testimony in, or information for, a proceeding where the Secretary of Labor is a party,
they shall immediately contact the RSOL for instructions regarding the manner in which
to respond. If a CSHO is served with a subpoena, they shall notify the Area Director
immediately who shall then refer the matter to the RSOL.
NOTE: Review Commission rules provide that any person served with a subpoena,
whether to testify in any Commission hearing or to produce records and testify in such
hearing shall, within five days after date of service, move to revoke the subpoena if the
person does not intend to comply with its terms. See §2200.57(c). Therefore,
expeditious handling of any subpoena served on OSHA employees is essential. When

15-3
 any such subpoena is served, the RSOL must immediately be notified by telephone or
email.
B. Proceedings to which the Secretary of Labor is Not a Party.
1. If any OSHA personnel is served with a subpoena or order either to appear or to
provide testimony in, or information for, a proceeding to which the Secretary of
Labor is not a party (e.g., a private third party tort suit for damages associated with a
workplace injury), they shall immediately contact the RSOL.
2. U.S. Department of Labor regulations prohibit Department employees from
participating in, or from providing information for, proceedings in which the
Secretary of Labor is not a party without explicit permission from the designated
Deputy Solicitor of Labor. See 29 CFR 2.21 and 29 CFR 2.22. These regulations
apply to demands to disclose or provide:
a. Any material contained in the files of the Department;
b. Any information relating to material contained in the files of the Department; or
c. Any information or material acquired by any person while such person was an
employee of the Department as a part of the performance of his/her official duties
or because of his/her official status.
3. The Office of the Solicitor is responsible for responding to such requests and will
take appropriate steps to have the subpoena quashed or provide the necessary
permission, as appropriate, to allow an employee to comply with an issued order.

III. Obtaining Warrants.

A. Warrant Applications.
1. Upon refusal of entry, of if there is reason to believe an employer will refuse entry,
the Area Director shall proceed according to guidelines and procedures established in
the region for warrant applications. The Area Director may initiate the compulsory
process with approval of the RSOL.
2. Warrant applications for establishments where consent has been denied for a limited
scope inspection (i.e., complaint, referral, accident investigation) shall normally be
limited to the specific working conditions or practices forming the basis of the
inspection. However, a broad scope warrant may be sought if there is evidence of
potentially pervasive violative conditions or if the establishment is on a current list of
establishments targeted for a comprehensive inspection.
B. General Information Necessary to Obtain a Warrant.
If the warrant is to be obtained by the RSOL, the Area Director shall inform the RSOL in
writing within 48 hours after the determination is made and provide all information
necessary to obtain a warrant, including:
1. Area/District Office, telephone number, and name of Area Director or designee
involved;
2. Name of CSHO attempting inspection and inspection number, if assigned. Identify
whether the inspection to be conducted will include safety items, health items or
both;
3. Legal name(s) of establishment and address, including City, State and County.
Include worksite location if different from mailing address;
4. Estimated number of employees at inspection site;
5. Standard Industrial Classification (SIC) or North American Industry Classification
System (NAICS) Code and high hazard ranking for that specific industry within the
State, as obtained from statistics provided by the National Office;

15-4
 6. Summary of all facts leading to the refusal of entry or limitation of inspection,
including:
a. Date and time of entry/attempted entry;
b. Date and time of denial;
c. Stage of denial (entry, opening conference, walkaround, etc.);
7. A narrative of all actions taken by the CSHO leading up to, during, and after refusal,
including:
a. Full name and title of the person(s) to whom CSHO presented credentials;
b. Full name and title of person(s) who refused entry;
c. Reasons stated for the denial by person(s) refusing entry;
d. Response, if any, by CSHO to the denial name and address (if known) of any
witnesses to denial of entry.
8. Any information related to past inspections, including copies of previous citations.
9. Any previous requests for warrants. Attach details, if applicable.
10. All completed information related to the current inspection report, including
documentation of any observations of violations in plain view discovered prior to
denial.
11. If a construction site involving work under contract from any agency of the Federal
Government, the name of the agency, the date of the contract, and the type of work
involved.
12. Other pertinent information, such as: description of the workplace; the work
processes; machinery, tools and materials used; known hazards and injuries
associated with the specific manufacturing process or industry.
13. Investigative procedures that may be required during the proposed inspection, e.g.,
interviewing of employees/witnesses, personal sampling, photographs,
audio/videotapes, examination of records, access to medical records, etc.
C. Specific Warrant Information Based on Inspection Type.
Document all specific reasons for the selection of the establishment to be inspected,
including proposed scope of the inspection:
1. Imminent Danger.
a. Description of alleged imminent danger situation;
b. Date information received and source of information;
c. Original allegation and copy of typed report, including basis for reasonable
expectation of death or serious physical harm and immediacy of danger; and
d. Whether all current imminent danger investigative procedures have been
followed.
2. Fatality/Catastrophe.
The FAT/CAT (OSHA-36) should be completed with as much detail as possible.
3. Complaint or Referral.
a. Original complaint or referral, and copy of typed complaint or referral;
b. Reasons OSHA believes that a violation threatening physical harm or imminent
danger exists, including possible standards that could be violated if the complaint
or referral is credible and representative of workplace conditions;
c. Whether all current complaint or referral processing procedures have been
followed; and
d. Any additional information pertaining to the evaluation of the complaint or
referral.
4. Programmed.
a. Targeted safety – general industry, maritime, construction;
15-5
 b. Targeted health; and/or
c. Special emphasis program – Special Programs, Local Emphasis Program,
Migrant Housing Inspection, etc.
5. Follow-up.
a. Date of initial inspection;
b. Details and reasons follow-up was conducted;
c. Copies of previous citations which served as the basis for initiating the follow-up;
d. Copies of settlement agreements and final orders, if applicable; and/or
e. Previous history of failure to correct, if any.
6. Monitoring.
a. Date of original inspection;
b. Details and reasons monitoring inspection is to be conducted;
c. Copies of previous citations and/or settlement agreements that serve as the basis
for the monitoring inspection; and/or
d. Petition for Modification of Abatement Date (PMA) request, if applicable.
D. Warrant Procedures.
Where a warrant has been obtained, CSHOs are authorized to conduct the inspection in
accordance with the terms of the warrant. All questions from employers concerning the
reasonableness of a compulsory process inspection shall be referred to the Area Director
and the RSOL.
1. Action Taken Upon Receipt of Warrant (Compulsory Process).
a. The inspection will normally begin within 24 hours of receipt of a warrant or
from the date authorized by the warrant for initiating the inspection.
b. Upon completion of the inspection, if the warrant includes a return of service
space for entering inspection dates, CSHOs shall complete the return of service
on the original warrant, sign and forward it to the Area Director or designee for
appropriate action.
2. Serving a Subpoena for Production of Records.
Where appropriate, even where the scope of an inspection is limited by a warrant or
an employer’s consent to specific conditions or practices, any subpoena for
production of records shall be served in accordance with the section on administrative
subpoenas in this chapter.
E. Second Warrant.
Under certain circumstances, a second warrant may be sought to expand an inspection
based on a records review or “plain view” observations of other potential violations
discovered during a limited scope walkaround.
F. Refused Entry or Interference.
1. When an apparent refusal to permit entry or inspection is encountered upon
presenting the warrant, CSHOs shall specifically inquire whether the employer is
refusing to comply with the warrant.
2. If the employer refuses to comply or if consent is not clearly given, CSHOs shall not
attempt to conduct the inspection at that time, and shall leave the premises and
contact the Area Director or designee regarding further action.
a. CSHOs shall fully document all facts relevant to the refusal (including noting all
witnesses to the denial of entry or interference).
b. Area Directors shall then contact the RSOL and the Regional Administrator, who
shall jointly decide the action to be taken.
G. Federal Marshal Assistance.

15-6
 In unusual circumstances, a U.S. Marshal may be asked to accompany a CSHO when a
warrant is presented. A request for a U.S. Marshal’s assistance shall be made only by an
Area Director after consultation with the Regional Administrator and the RSOL, and only
when there is a potential for violence, harassment and/or interference with the inspection,
or reason to believe that the presence of a U.S. Marshall will assist with compliance with
the warrant.

IV. Equal Access to Justice Act (EAJA).

A. Prevailing Party May be Awarded Fees.
The Equal Access to Justice Act (EAJA) provides that a party prevailing against the
United States in litigation may be awarded fees payable by an agency of the United States
if the agency’s position in litigation was not “substantially justified” or if the agency
proposed a penalty that was reduced as a result of litigation and subsequently determined
to be “unreasonable.” EAJA awards are statutorily limited to certain small entity parties,
generally those with a designated net worth and/or number of employees. See 28 U.S.C.
§ 2412(d)(2)(B).
B. OSHA’s Position Must be Substantially Justified.
Pursuant to the EAJA, the Commission or a federal court may award an employer fees if
OSHA proceeds in litigation on a position that is not substantially justified or proposes a
penalty that subsequently is found to be unreasonable in light of the statutory penalty
assessment provisions and the circumstances relevant to the particular case. If an EAJA
award is assessed by the Commission or a court following an OSHA proceeding and the
award becomes a final order, OSHA is responsible for paying the award.
C. EAJA Should Not Affect How the Agency Operates.
EAJA should not affect the manner in which the agency operates, as citations are issued
only after OSHA determines that there is adequate evidence that a violation exists, and
proposed penalty amounts are determined based on established statutory and
administrative criteria, and facts derived during the inspection/investigation. However,
the potential for incurring EAJA costs underscores the importance of thoroughly
documenting each element of a violation with evidence supporting the violative condition
and characterization. In addition, because the Secretary generally bears the burden of
proof in litigation, it is important that CSHOs promptly discuss with the RSOL during the
early stages of an investigation any factors affecting the Secretary’s ability to support an
alleged violation or penalty proposal (e.g., the likely unavailability of a critical witness or
the need for an expert).

V. Notice of Contest.
OSHRC is an independent Federal agency created to decide contests of citations or penalties
resulting from OSHA inspections. The Review Commission, therefore, functions as an
administrative court, with established procedures for conducting hearings, receiving evidence
and rendering decisions by its Administrative Law Judges (ALJs). The Act states that the
Review Commission operates as an independent agency (i.e., not part of another Federal
department) to ensure that parties to agency cases receive impartial hearings.
A. Time Limit for Filing a Notice of Contest.
1. The Act provides employers 15 working days following its receipt of a notice of a
citation to notify OSHA of the employer’s desire to contest a citation and/or proposed
assessment of penalty.

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 2. Where a notice of contest was not mailed, i.e., postmarked, within the 15 working
day period allowed for contest, the Area Director shall follow the instructions for
Late Notices of Contest. A copy of any untimely notice of contest shall be retained in
the case file.
B. Contest of Abatement Period Only.
If the notice of contest is submitted to the Area Director after the 15 working day period,
but contests only the reasonableness of the abatement period, it shall be treated as a
Petition for Modification of Abatement and handled in accordance with PMA procedures.
C. Communication Where the Intent to Contest is Unclear.
1. If a written communication is received from an employer containing an objection,
criticism or other adverse comment as to a citation or proposed penalty, but which
does not clearly appear to contest the citations, the Area Director shall contact the
employer to clarify the intent of the communication.
a. After receipt of the communication, any clarification should be obtained within
the 15 working day contest period, so that if a determination is made that it is a
notice of contest, the file may be timely forwarded to the Review Commission.
b. In cases where the Area Office receives a written communication from an
employer requesting an informal conference that also states an intent to
contest, the employer must be informed that there can be no informal conference
unless the notice of contest is withdrawn. If the employer still wants to pursue an
informal conference, it must first present or send a letter expressing that intent
and rescinding the contest. All documents pertaining to such communications
shall be retained in the case file.
2. If an Area Director determines that the employer intends the document to be a notice
of contest, it shall be transmitted to the OSHRC. If contact with the employer reveals
a desire for an informal conference, the employer shall be informed that the
conference does not stay the running of the 15 working day contest period.
NOTE: Settlement is permitted at any stage of Commission proceedings. See
§2200.100(a).

VI. Late Notice of Contest.

A. Failure to Notify OSHA of Intent to Contest.
If the employer fails to notify OSHA of its intent to contest a citation or penalty within 15
working days following the receipt of a citation, the citation and proposed penalties
become final orders of the Review Commission.
B. Notice Received after the Contest Period.
1. In every case where OSHA receives notice of an employer’s intent to contest a
citation and/or proposed assessment of penalty beyond the 15 working day period,
Area Directors shall inform employers in writing that OSHA will not accept the
untimely notice of contest, but that they may transmit the late filed notice of contest
to the Commission.
2. The letter from the Area Director will also indicate the following:
a. Inspection number;
b. Citation number(s);
c. Corresponding proposed penalties;
d. Date on which OSHA believes the employer received the notice of a violation
(and proposed penalty, if applicable);
e. Date on which OSHA received the employer’s notice of contest, as well as any
additional information the Area Director believes to be pertinent.
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 NOTE: The postmarked envelope containing the late filed notice of contest date is
to be retained. A copy of the letter and envelope shall be sent to RSOL.
C. Retention of Documents.
1. Area Offices shall maintain all documents reflecting the date on which the employer
received the notice of a violation (and proposed penalty, if applicable), and the
employer’s notice of contest was received, as well as any additional information
pertinent to demonstrating failure to file a timely notice of contest.
2. Written or oral statements from the employer or its representative explaining the
employer’s reason for missing the filing deadline shall also be maintained (notes shall
be taken to memorialize oral communications).

VII. Contested Case Processing Procedures.

The notice of contest and related documents must be sent to the OSHRC within 15 working
days of receipt of the employer’s notification. See §2200.33. The RSOL shall be consulted
in any questionable cases.
A. Transmittal of Notice of Contest to Commission.
1. Documents to Executive Secretary.
In most cases, the envelope sent to the OSHRC Executive Secretary will contain the
following three documents:
a. Employer’s original letter contesting OSHA’s action;
b. One copy of the Citation and Notification of Penalty (OSHA-2) or of the Notice
of Failure to Abate Alleged Violation (OSHA-2B); and
c. Certification form.
2. Notices of Contest.
The original notice of contest shall be transmitted to the Commission and a copy
retained in the case file. The envelope containing the notice of contest shall be
retained in the case file with the postmark intact.
3. Contested Citations and Notice of Proposed Penalty or Notice of Failure to Abate.
A signed copy of each of these documents shall be sent to the Commission and a
copy retained in the case file.
4. Certification Form.
a. The certification form shall be used for all contested cases and a copy retained in
the case file. It is essential that the original of the certification form, properly
executed, be transmitted to the Commission.
b. When listing the Region number in the heading, do not use Roman numerals.
Use 1, 2, 3, 4, 5, 6, 7, 8, 9, or 10. Insert “C” in the CSHO Job Title block if a
safety CSHO, or “I” if a health CSHO.
c. Item 3 of the form shall be filled by inserting only the word “employer” or
“employee” in the space provided. This shall be done even where the notice of
contest is filed by an attorney for the party contesting the action. An item “4”
shall be added where other documents, such as additional notices of contest, are
sent to the Commission.
d. Insert the correct date for each item in the document list in the column headed
“Date.”
e. Insert the name and address of the RSOL attorney who will handle the case, in
the box containing the printed words “FOR THE SECRETARY OF LABOR.”
The Commission notifies this person of the hearing date and other official actions
on the case.
f. The documents are to be transmitted within the 15 working day time limit to:
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 Executive Secretary
Occupational Safety and Health Review Commission
1120 20th Street, N.W., 9th floor
Washington, DC 20036-3419
B. Transmittal of File to Regional Solicitor.
1. Under the Commission’s Rules of Procedure, the Secretary of Labor is required to
file a complaint with the Commission within 20 calendar days after the Secretary’s
receipt of a notice of contest.
2. Immediately after receiving a notice of contest, the Area Director shall send to the
RSOL by U.S. mail (or other mutually agreeable manner) the notice of contest, which
the Area Director or designee will later transmit to the Commission, along with the
complete investigative file (including photos and video).

VIII. Communications while Proceedings are Pending before the Commission.

A. Consultation with Regional Solicitor.
1. After a notice of contest is filed and the case is within the jurisdiction of the
Commission, there shall be no subsequent investigations of, or conferences with, the
employer or employee representatives that have sought party status relating to any
issues underlying the contested citations, without prior clearance from the RSOL.
2. Once a notice of contest has been filed, all inquiries relating to the Citation and
Notification of Penalty (OSHA-2) shall be referred promptly to the RSOL. This
includes inquiries from the employer, affected employees, employee representatives,
prospective witnesses, insurance carriers, other Government agencies, attorneys, and
any other party.
B. Communications with Commission Representatives while Proceedings are Pending
before the Commission.
CSHOs, Area Directors, Regional Administrators, or other field personnel shall not have
any direct or indirect communication relevant to the merits of any open case with
Administrative Law Judges, employees of the Commission, or any of the parties or
interveners. All inquiries and communications shall be handled through the RSOL.

IX. Commission Procedures.

A. Two Levels of Adjudication.
OSHRC’s Rules of Procedure provide for two levels of adjudication. The first level is
before an Administrative Law Judge. The second level is review of ALJ decisions by the
agency’s Commissioners, if one of the Commissioners directs review.
B. Rules of Procedure.
1. The OSHRC Rules of Procedure are found in Part 2200 of Title 29 of the Code of
Federal Regulations. These rules govern two types of ALJ proceedings.
a. The more conventional proceeding involves the use of pleadings, discovery, a
hearing and post-hearing briefs.
b. Simplified Proceedings are less formal hearings that employ fewer legal
procedures and are used in less complex cases (few citation items, no willful or
repeat violation or fatality) and can be requested by either party or by the ALJ. In
Simplified Proceedings, pleadings are generally not required and early discussion
among the parties to narrow the disputed issues is required.
2. Receipt of Case.
Upon receipt of a case by the assigned ALJ, a hearing date is set and a site selected as
close as possible to where the alleged violation(s) occurred. The hearing is an
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 administrative trial conducted in accordance with the Commission’s Rules of
Procedure.
3. Hearing Evidence.
a. Review includes a new examination of all of the evidence, as well as briefs
submitted by the parties.
b. Upon hearing all of the evidence, the judge will issue a written decision,
including both findings of fact and conclusions of law.
c. The OSHRC then issues a decision affirming, modifying or vacating the citations
and penalties proposed by OSHA.
d. The decision becomes final in 30 days unless, within that period, one of the
Commissioners directs that the case be reviewed.
4. Review of ALJ’s Decision.
If one of the parties requests review of the ALJ’s decision, but review is not directed
by the Commission, the petitioning party may request review by the appropriate U.S.
Circuit Court of Appeals. Review by a U.S. Court of Appeals must be sought within
60 days after the Commission’s decision becomes final.
5. Availability of Commission Decisions.
Commission decisions, including Administrative Law Judge decisions, are available
from the Review Commission website, www.oshrc.gov.

X. Discovery Methods.
Once a legal proceeding has been initiated, each party has the opportunity to “discover”
evidence in the possession of an opposing party. Traditionally, discovery methods include:
 Request for Admissions,
 Interrogatories,
 Requests for Production of Documents, and
 Depositions.
An attorney from the Solicitor’s Office will represent the agency in responding to
discovery requests. It is essential that all OSHA personnel coordinate and cooperate with the
assigned attorney to ensure that such responses are accurate, complete, and filed in a timely
manner.
A. Interrogatories.
CSHOs shall draft and sign answers to interrogatories, with RSOL assistance. It is the
responsibility of the CSHO to answer each interrogatory separately and fully. The RSOL
attorney shall sign any objections to the interrogatories. CSHOs should be aware that
they may be deposed and/or examined at hearing on the interrogatory answers provided.
B. Production of Documents.
1. If a request for production of documents is served on RSOL and that request is
forwarded to the Area Office CSHOs, or staff member, they should immediately
make all documents relevant to that discovery demand available to the RSOL
attorney.
2. While portions of those materials may be later withheld based on governmental
privileges or doctrine (e.g., statements that would reveal the identity of an informer),
CSHOs must not withhold any information from the RSOL attorney.
3. It is RSOL’s responsibility to review all material and to assert any applicable
privileges that may justify withholding documents/materials that would otherwise be
discoverable.
C. Depositions.

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 Depositions permit an opposing party to take a potential witness’ pre-hearing statement
under oath in order to better understand the witness’s potential testimony if the matter
later proceeds to a hearing. CSHOs or other OSHA personnel may be required to offer
testimony during a deposition. In such cases, an RSOL attorney will be present with the
witness.

XI. Testifying in Hearings.

While instructions provided by RSOL attorneys take precedence, particularly during trial
preparation, the following considerations will generally enhance the hearing testimony of
CSHOs:
A. Review Documents and Evidence.
In consultation with RSOL, CSHOs should review documents and evidence relevant to
the inspection or investigation before the proceeding, so that when testifying, they are
very familiar with the evidence and need not regularly refer to the file or other
documents.
B. Attire.
Wear appropriate clothing that reflects the agency’s respect for the court or other tribunal
before which you are testifying. This also applies when appearing before a magistrate to
seek an administrative warrant.
C. Responses to Questions.
Answer all questions directly and honestly. If you do not understand a question, indicate
that and ask that the question be repeated or clarified.
D. Judge’s Instruction(s).
Listen carefully to any instruction provided by the judge and, unless instructed to the
contrary by RSOL counsel, follow the judge’s instruction.

XII. Commission Simplified Proceedings.

Simplified Proceedings (formerly known as “E-Z Trials”) are the Commission’s attempt to
simplify the resolution of some contested citations.
A. Proposed Penalty Threshold.
Because the Commission has raised the proposed penalty threshold for cases that are
eligible for simplified proceedings, a greater number of cases will be eligible for this type
of proceeding. These include most cases with aggregate proposed penalties of less than
$20,000 and, at the discretion of the Chief ALJ, some cases with aggregate proposed
penalties of up to $30,000.
B. Prompt Disclosure of Inspection Documents.
Simplified proceedings contemplate the prompt disclosure of inspection documents.
Pursuant to the Commission’s rules [29 CFR 2200.206], the Secretary must provide the
employer within prescribed time periods, the following documents:
1. Within 12 working days after the case is designated for simplified proceedings,
copies of the Narrative (OSHA-1A) and Violations (OSHA-1B) (or their equivalents);
2. Within 30 calendar days after the case is designated for simplified proceedings,
copies of photographs or videotapes expected to be used at the hearing; and
3. Within 30 calendar days after the case is designated for simplified proceedings, any
evidence in OSHA’s possession that may support the employer’s defense to the
citation.
NOTE: Simplified proceedings provide fewer opportunities for the Secretary’s counsel
to obtain information concerning the employer’s positions and defenses prior to a

15-12
 hearing. Therefore, it is particularly important for CSHOs to promptly provide SOL
counsel with all information regarding potential affirmative defenses that an employer
may raise and/or arguments the employer may use to refute a violation(s) or the propriety
of a proposed penalty.

XIII. Citation Final Order Dates.

A. Citation/Notice of Penalty Not Contested.
The Citation/Notice of Penalty and abatement date becomes a final order of the
Commission on the date the 15 working day contest period expires. For purposes of
computing the 15 working day period, the day the employer receives the citation is not
counted.
Example 15-1: An employer receives the Citation/Notice of Penalty on Monday,
August 4th. The day the employer receives the Citation/Notice of Penalty is not counted.
Therefore, the final order date would be Monday, August 25th.
B. Citation/Notice of Penalty Resolved by Informal Settlement Agreement (ISA).
Because there is no contest of the citation, an ISA becomes final, with penalties due and
payable, on the date of the last signature of the parties. See also Chapter 8, Section
I.B.2. (An ISA is effective upon signature by both the Area Director and the employer
representative as long as the contest period has not expired).
NOTE: A later due date for payment of penalties may be set by the terms of the ISA.
C. Citation/Notice of Penalty Resolved by Formal Settlement Agreement (FSA).
The Citation/Notice of Penalty becomes final 30 days after docketing of the
Administrative Law Judge’s (ALJ’s) Order approving the parties’ stipulation and
settlement agreement, assuming there is no direction for review. The Commission’s
Notice of Docketing specifies the date upon which the decision becomes a final order. If
the FSA is approved by an order of the full Commission, it will become final after 60
days.
D. Cases Resolved by an ALJ Decision.
The ALJ’s decision becomes a final order of the Commission 30 days after docketing,
unless the Commission directs review of the case. The Commission’s Notice of
Docketing specifies the date upon which the decision becomes a final order.
E. ALJ Decision Reviewed by Commission.
Pursuant to Section 11 of the Act, the Commission’s decision becomes final 60 days
after the Notice of Commission Decision. The Notice of Commission Decision
specifies the date the Commission decision was issued. As a matter of policy, OSHA
does not attempt to collect civil penalties while a case is being appealed. However,
unless the employer requests a “stay” of the Commission’s decision, U.S. Court of
Appeals review does not delay the abatement obligation.
F. Commission Decision Review by the U.S. Court of Appeals.
The U.S. Court of Appeals’ decision becomes final when the court issues its mandate.

XIV. Federal Court Enforcement under Section 11(b) of the OSH Act.
An employer’s obligation to abate a cited violation arises when there is a final order of the
Review Commission upholding the citation.
A. Section 11(b) Summary Enforcement Orders.
Section 11(b) of the OSH Act authorizes OSHA to obtain a summary enforcement order
from the appropriate U.S. Circuit Court of Appeals enforcing final Review Commission
orders. An employer who violates such a court order can be found in contempt of court.

15-13
 Potential sanctions for contempt include daily penalties and other fines, recovery of the
Secretary’s costs of bringing the action, incarceration of an individual company officer
who flouts the Court’s order, and any other sanction which the court deems necessary to
secure compliance. Employers who ignore ordinary enforcement actions may be induced
to comply by the severity of these potential contempt sanctions.
Section 11(b) orders can be an effective and speedier alternative to failure-to-abate
notices that are typically issued when an employer does not abate a violation within the
allowed time. They can be requested from the Court whether the final order results from
a Review Commission or ALJ decision, a settlement agreement, or an uncontested
citation.
B. Selection of Cases for Section 11(b) Action.
All final orders issued in enhanced enforcement cases must be considered for Section
11(b) enforcement. In addition, a petition for 11(b) enforcement is to be considered in
cases where final orders do not meet the enhanced enforcement case criteria but where
the following factors suggest that an 11(b) petition should be filed:
1. Employer’s citation history and/or other indications suggest serious compliance
problems, such as widespread violations of the same or similar standards at multiple
establishments or construction worksites. The OIS database should be searched for
the employer’s history of violations;
2. Employer statements or actions indicating reluctance or refusal to abate significant
hazards, or behavior that demonstrates indifference to employee safety;
3. Repeated violations of the Act, particularly of the same standard, which continue
undeterred by the traditional remedies of civil monetary penalties and Review
Commission orders to abate;
4. Repeated refusal to pay penalties;
5. Filing false or inadequate abatement verification reports;
6. Disregard of a previous settlement agreement, particularly one that includes a specific
or company-wide abatement plan.
C. Drafting of Citations and Settlements to Facilitate Section 11(b) Enforcement.
Proper drafting of citations and settlement agreements can facilitate obtaining a Section
11(b) order and maximize its deterrent effect.
Notations stating “Corrected during inspection” or “Employer has abated all hazards”
shall not be made on the citation in cases where there is evidence of a continuing
violative practice by an employer that may be subject to a summary enforcement order
under Section 11(b) of the Act (i.e., failure to provide fall protection is a recurring
condition based on citation history or other indications suggesting widespread violations
of the same or similar standards at other establishments or construction worksites).
Where possible, OSHA should attempt to identify cases that may warrant Section 11(b)
enforcement at least a month before issuing the citation. When OSHA identifies such a
case, it will contact the RSOL to discuss citation language that is in accordance with
Section 11(b) enforcement. If a case identified for potential Section 11(b) action is being
resolved through a settlement agreement, whether formal or informal, language should be
sought in the agreement that commits the employer to specific ongoing abatement duties.
Language in a settlement agreement that imposes a specific duty on the employer, such
as a requirement that the employer hire a consultant to develop a safety program or
provide OSHA with a list of other worksites, can be enforced under Section 11(b).
D. Follow-up Inspections.
The OSH Division in the National Office of the Solicitor’s Office will notify the RSOL
and the Directorate of Enforcement Programs (and, where the order pertains to a
15-14
 construction employer, the Directorate of Construction), when a court has entered a
Section 11(b) order. OSHA will then promptly schedule an inspection or investigation to
determine whether the employer is complying with the court order. The Regional
Administrator, in consultation with the RSOL, will determine the nature and extent of the
inspection or investigation. The RSOL will advise on the kind of “clear and convincing”
evidence that would be needed to support a contempt petition in the event of the
employer’s noncompliance with the order of the court.
E. Conduct of Verification Inspections.
Whenever an enforcement order is issued by a U.S. Court of Appeals, an inspection shall
be scheduled within six months to determine whether the company is complying with the
court order. If serious violations of the standard(s) subject to the enforcement order are
found, the RSOL shall be contacted immediately for guidance on what evidence will be
needed for submission to the court.

15-15
 Appendix A

United States of America

DEPARTMENT OF LABOR
Occupational Safety and Health Administration

Subpoena Duces Tecum

TO : ____________________________________________________________________
Pursuant to Section 8(b) of the Occupational Safety and Health Act (29 U.S.C. §657(b))
you are hereby required to appear before
_____________________________________________________________________
of the OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, UNITED STATES
DEPARTMENT OF LABOR, at ________________________________, in the city of
_______________________, on the ________ day of _____________, 20____, at
________ o’clock am/pm of that day, to testify regarding the working conditions
maintained by _________________________________________________________
And you are hereby required to bring with you and produce at said time and place
the following books, papers, and documents, including information stored electronically:
_____________________________________________________________________

FAIL NOT AT YOUR PERIL

IN TESTIMONY WHEREOF I have hereunto affixed my

signature and the seal of the UNITED STATES

DEPARTMENT OF LABOR at (Insert Location) this

_________ day of _________ (insert month and year).

______________________________________
(Insert name of Regional Administrator), Occupational
Safety and Health Administration, United States
Department of Labor

15-A-1
 Appendix B

United States of America

DEPARTMENT OF LABOR
Occupational Safety and Health Administration
Subpoena Ad Testificandum

TO: ____________________________________________________________________
Pursuant to Section 8(b) of the Occupational Safety and Health Act (29 U.S.C. §657(b))
you are hereby required to appear before
_____________________________________________________________________
of the OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, UNITED STATES
DEPARTMENT OF LABOR, at ________________________________, in the city of
_______________________, on the ________ day of _____________, 20____, at
________ o’clock am/pm of that day, to testify regarding the working conditions
maintained by _________________________________________________________
_____________________________________________________________________
_____________________________________________________________________

FAIL NOT AT YOUR PERIL

IN TESTIMONY WHEREOF I have hereunto affixed my

signature and the seal of the UNITED STATES

DEPARTMENT OF LABOR at (Insert Location) this

_________ day of _________ (insert month and year).

_______________________________________
(Insert name of Regional Administrator), Occupational Safety
and Health Administration, United States Department of Labor

15-B-1
 RETURN OF SERVICE

I hereby certify that a duplicate original of

the attached subpoena was duly served as follows:

in person_____
by certified mail_____:
_______________________
(Indicate by check
_______________________
method used.)
_______________________
_______________________

on the person named herein on

______________________________________
(Month, day, year)

______________________________________
(Name of person making service)

______________________________________
(Official title)

I certify that a person named herein was

in attendance as a witness at
______________________________________

on____________________________________
(Month, day, year)

______________________________________
(Name of person certifying)

______________________________________
(Official title)

15-B-2
 Chapter 16

DISCLOSURE UNDER THE FREEDOM OF INFORMATION ACT (FOIA)

I. Disclosure [Reserved]

16-1
 Chapter 17

Preemption by Other Agencies

I. Introduction.
When promulgating the Occupational Safety and Health Act of 1970 (OSH Act), Congress
recognized that other federal agencies possess authority over safety and health matters in
certain industries. To avoid a duplication of federal effort and prevent conflict between
different sets of regulations covering the same working condition, Congress provided, in
Section 4(b)(1) of the Act, “Nothing in this Act shall apply to working conditions of
employees with respect to which other Federal agencies, and State agencies acting under
Section 274 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2021), exercise
statutory authority to prescribe or enforce standards or regulations affecting occupational
safety or health.” 29 U.S.C. 653(b)(1).
The process of making a Section 4(b)(1) determination can be complex. The process is
fact-specific. The determination process involves a review of the other federal agencies
regulations, policy statements, memoranda of understanding, and court and Commission
cases. All agencies continually create and amend their regulations. Policy statements may
be amended or rescinded. Agencies may enter into new Memoranda of Understanding or
issue interpretations and directives. Links to some of these resources are included in this
document. A working condition OSHA covered one day may end up being covered by
another federal agency the next day. Because the federal regulatory universe is in a constant
state of flux, this document does not comprehensively address the coverage of the OSH Act
within each industry. Although it is useful to contact the field offices of the other agency,
the guidance received from that field office is not necessarily determinative. The
determination should be made after consultation with the Regional Solicitor’s Office.

II. Testing Exemptions.

Generally speaking, there is a two-pronged test to determine whether or not working
conditions are exempt from coverage by Section 4(b)(1) of the OSH Act: (1) Does the
other federal agency possess the statutory authority to prescribe or enforce standards or
regulations affecting occupational safety or health, and (2) has the other federal agency
“exercised” its statutory authority over the particular working condition? A “working
condition” is generally a particular occupational hazard. Another agency’s requirement
dealing with an occupational hazard preempts OSHA even if the requirement also protects
public safety or health, unless the other agency’s requirement only incidentally affects
occupational safety or health. It is important to note that the Commission and the courts
have stated that OSHA may not question the efficacy of another federal agency’s
requirements. The mere fact that the other federal agency has exercised its statutory
authority over the working condition is enough to preempt OSHA.
In some cases, the other agency has formally decided that its regulations comprehensively
address an entire area. In such cases, OSHA is preempted with respect to the entire
identified area. In other cases, an agency has formally decided that a particular hazard will
not be regulated. In such a case, OSHA is preempted with respect to that hazard.

17-1
III. Statutory Exercise.
The vast majority of the time an “exercise” of statutory authority takes the form of a
regulation in the Code of Federal Regulations. However, the Commission and the courts
have recognized other agency actions as forms of this exercise of authority. For instance,
safety and health requirements contained in a maintenance manual that has been reviewed
and approved by the Federal Aviation Administration (FAA), have been deemed to be an
exercise of statutory authority, thereby exempting working conditions covered by manual
provisions from applicable OSHA requirements. Another example is a requirement on an
EPA-approved label on a pesticide container.
Section 4(b)(1) is not a “jurisdictional” issue. It is an affirmative defense to a citation.
That means an employer must prove that OSHA is preempted pursuant to Section 4(b)(1) in
order to defeat the citation on those grounds. The employer must show that the other
agency’s requirements are enforceable against that employer, not others who may be
involved in the work. However, OSHA Area Offices must not issue a citation with respect to
a working condition preempted by another agency pursuant to Section 4(b)(1). Where there
may be Section 4(b)(1) preemption, the Area Office must make an initial determination
before a citation is issued.
NOTE: Section 4(b)(1) does not preempt citations for violations of the Part 1904
recordkeeping regulations. Thus, citations may be issued for violations of Part 1904 without
regard to Section 4(b)(1).
State agencies do not preempt OSHA pursuant to Section 4(b)(1), with a few exceptions.
Section 4(b)(1) expressly provides for preemption by state nuclear regulatory agencies with
respect to materials regulated by the Nuclear Regulatory Commission. Also, when state
agencies enforce federal regulations pursuant to a plan approved by another federal agency,
those regulations trigger Section 4(b)(1) preemption, but state regulations merely compatible
with federal regulations do not preempt OSHA. Examples of state agencies which enforce
federal regulations are agencies which regulate natural gas pipelines and commercial motor
vehicles.
At times, OSHA State Plan officials may have questions about preemption by other federal
agencies. Section 4(b)(1) does not apply to State Plan agencies. However, some state OSHA
statutes have provisions the same as or similar to Section 4(b)(1). In those cases, Area
Offices should consult with their Regional Solicitors. Also, the federal statutes establishing
the other federal agencies may preempt the States directly. Thus, when State Plan officials
ask questions about preemption by other federal agencies, they should be advised to consult
with their attorneys and with the relevant federal agency.

IV. Other Agencies which may Preempt OSHA.

The following information is meant to help point OSHA personnel in the right direction.
Should an instance arise where one or more federal agencies are at the scene of an
inspection or investigation and authority is at issue, the Directorate of Enforcement
Programs (DEP) should be contacted for additional guidance. DEP staff will work with
National Office staff from other federal agencies to make the Section 4(b)(1)determination.
The agencies with respect to which most Section 4(b)(1) questions arise are listed below
along with their websites. This is not an exhaustive list of all agencies whose requirements
may preempt OSHA. OSHA’s Memoranda of Understanding and Memoranda of
Agreement with other agencies can be found at: http://www.osha.gov/pls/oshaweb/
owasrch.search_form?p_doc_type=MOU&p_toc_level=0&p_keyvalue

17-2
A. Department of Transportation.
The Department of Transportation (DOT) protects the safety and health of employees
and the public under various federal transportation laws.
1. Federal Aviation Administration.
The Federal Aviation Administration (FAA) has the authority to develop regulations
and minimum standards in the interest of safety in air commerce.
The Commission has held that FAA-mandated maintenance manual provisions
concerning safety instructions for aircraft maintenance personnel trigger Section
4(b)(1), preemption of OSHA requirements. With respect to flight crew, the FAA
has issued a policy statement stating that the FAA comprehensively regulates the
working conditions of flight crew, except that OSHA may enforce its noise, hazard
communication, and bloodborne pathogens standard with respect to all cabin
crewmembers other than flight deck crew. OSHA began this enforcement on March
26, 2014. http://www.faa.gov/
2. Federal Motor Carrier Safety Administration.
DOT’s Federal Motor Carrier Safety Administration (FMCSA) regulates commercial
motor vehicles. The types of vehicles covered are listed in 49 U.S.C. 31132.
FMCSA has issued extensive regulations related to commercial motor vehicle safety,
including regulations to prevent the unintended movement of parked vehicles,
regardless of their location. http://www.fmcsa.dot.gov/
3. Pipeline and Hazardous Materials Safety Administration.
The Pipeline and Hazardous Materials Safety Administration (PHMSA) prescribes
safety requirements for natural gas and oil pipelines, liquefied natural gas facilities,
and breakout tanks. These statutes only reach the owners and operators of pipelines
and the other facilities mentioned above. Therefore, the employees of a contractor
who is not the owner or operator of such a facility are covered by OSHA. States are
authorized, by statute, to enforce PHMSA natural gas pipeline safety regulations.
Such regulations, although enforced by a state agency, preempt OSHA.
PHMSA also regulates the transportation of hazardous materials by vehicles.
Because of a special provision in the hazardous materials transportation law, Section
4(b)(1) does not apply to this transportation. However, as matter of policy, OSHA
does not issue citations regarding the design of, or materials used for, containers of
hazardous materials. http://www.phmsa.dot.gov/
4. Federal Railroad Administration.
The Federal Railroad Administration (FRA) enforces a number of statutes covering
railroad safety. FRA regulations comprehensively regulate the movement of
equipment over the rails. The FRA generally does not regulate working conditions in
railroad repair shops. FRA Policy Statement, 43 FR 10583 (March 14, 1978). The
FRA also has fall protection regulations for railroad bridge workers.
http://www.fra.dot.gov/
B. Department of Labor.
The Mine Safety and Health Administration.
The Mine Safety and Health Administration (MSHA) comprehensively regulates the
safety and health of employees engaged in mining and mineral milling. In order to
clarify where milling ends and OSHA authority begins, OSHA and MSHA entered into
an extensive Memorandum of Understanding (MOU) that delineates respective agency
authorities. http://www.msha.gov/

17-3
C. Environmental Protection Agency.
The Environmental Protection Agency (EPA) administers the Federal Insecticide,
Fungicide and Rodenticide Act (FIFRA). Under that law, EPA requires pesticides to
have labels containing instructions for the safe use of pesticides. Some of those labels
incorporate EPA regulations for the protection of farmworkers. The label instructions
preempt OSHA with respect to occupational pesticide hazards.
http://www.epa.gov/pesticides/
D. Nuclear Regulatory Commission.
The Nuclear Regulatory Commission (NRC) is responsible for licensing and regulating
nuclear facilities and materials. In 2013, OSHA and NRC entered into a revised MOU
that generally identifies four kinds of hazards associated with NRC-licensed nuclear
facilities and designates which agency will be responsible for each kind of hazard.
Generally, the NRC is responsible for the following hazards at NRC-licensed facilities:
1) radiation hazards produced by radioactive materials; 2) chemical hazards produced by
radioactive materials; and 3) facility conditions that affect the safety of radioactive
materials, such as fire and explosion hazards. At these facilities, OSHA has authority
over facility conditions that do not involve the use of radioactive materials, such as toxic
nonradioactive material, electrical, fall, confined space, and equipment energization
hazards. http://www.nrc.gov/
E. Department of Energy.
The Department of Energy (DOE) is responsible for the production of nuclear weapons,
as well as the dismantling and cleanup of nuclear sites under the Atomic Energy Act.
DOE has established and enforces a comprehensive set of occupational safety and health
standards for the working conditions of contractor employees at its Government-Owned,
Contractor-Operated (GOCO) facilities engaged in the Atomic Energy Act activities
described above. Therefore, OSHA does not inspect the working conditions of these
contactor employees. DOE’s statutory authority extends to construction, including new
construction, on GOCO facilities. http://energy.gov/
F. Department of Homeland Security.
United States Coast Guard.
The United States Coast Guard (USCG) promulgates and enforces safety and health
regulations for U.S. flag vessels on the high seas and navigable waters of the United
States. USCG has exercised its statutory authority over “inspected vessels” by issuing a
comprehensive set of regulations. An “inspected vessel” is one for which the Coast
Guard has issued a Certificate of Inspection (COI). The types of “inspected vessels’ are
listed in 46 U.S.C. 3301 and exemptions in 46 U.S.C. 3302. OSHA and the USCG
entered into a MOU acknowledging that, due to USCG’s extensive regulations, OSHA
will not enforce the OSH Act with respect to the working conditions of seamen aboard
inspected vessels. However, this prohibition does not apply to recordkeeping.
Conversely, USCG has issued only a limited number of regulations applicable to
“uninspected” vessels, which are not classified as “inspected vessels.” To the extent
USCG has not regulated a particular working condition on an uninspected vessel, OSHA
may conduct enforcement activity.
Under the Outer Continental Shelf Lands Act, the Coast Guard, along with the Bureau
of Safety and Environmental Enforcement of the Interior Department (see below), has
issued many safety and health regulations for offshore platforms in particular, provisions
designed to prevent fires and explosions.

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 Enforcement Directive, CPL 02-01-047, OSHA Authority Over Vessels and Facilities
on or Adjacent to U.S. Navigable Waters and the Outer Continental Shelf (OCS), Feb. 22,
2010, addresses the issues in this paragraph. http://www.uscg.mil/
G. Department of Justice.
Bureau of Alcohol, Tobacco, Firearms and Explosives.
A law enforcement agency in the United States Department of Justice, the Bureau of
Alcohol, Tobacco, Firearms and Explosives (BATFE) promulgates and enforces
regulations relating to the illegal use and storage of explosives.
OSHA directive CPL 02-01-053, Compliance Policy for Manufacture, Storage, Sale,
Handling, Use and Display of Pyrotechnics, October 27, 2011, clarifies the interplay
between OSHA’s Process Safety Management Standard, 29 CFR 1910.119, OSHA’s
Explosives and Blasting Agents standard, 1910.109; and the BATFE regulations.
http://www.atf.gov/
H. Department of Interior.
Bureau of Safety and Environmental Enforcement.
The Department of the Interior’s Bureau of Safety and Environmental Enforcement
(BSEE), along with the Coast Guard (see above), promulgates and enforces safety
regulations for offshore platforms on the Outer Continental Shelf in particular, provisions
designed to prevent fires and explosions. http://www.bsee.gov/

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