DIRECTIVE NUMBER: CPL 02-00-159 SUBJECT: Field Operations Manual (FOM) Purpose: Scope: References: Cancellations: State Impact: Action Offices: Originating Office: Contact: EFFECTIVE DATE: October 1, 2015 ABSTRACT 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. OSHA-wide. Advance Notice of Inspections, 29 Code of C.F.R. 1903.6; Policy Regarding Employee Rescue Activities, 29 C.F.R. 1903.14(f); Abatement Verification, 29 C.F.R. 1903.19; Reporting Fatalities and Multiple Hospitalization Incidents, 29 C.F.R. 1904.39; Housing for Agricultural Workers, 20 C.F.R. Part 654, Subpart E; CPL 02-00-153, Communicating OSHA Fatality Inspection Procedures to a Victim's Family, April 17, 2012. OSHA Instruction CPL 02-00-150, Field Operations Manual, issued April 22, 2011; OSHA CPL 02-02-007, CH-1, Removal of Obsolete Sections, June 3, 1985. Notice of Intent and Equivalency required. See Section VI. National, Regional, and Area Offices. Directorate of Enforcement Programs (DEP). 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 2015 Update Table of Contents section is revised. References section is revised. Revised language in Chapter 1 Section VI., referring to State Plan Impact language. Added language associated with OSHA Strategic Partnerships (OSPs) in Chapter 2 Section VI., Programmed Inspections. Deleted the bullet for OSHA Strategic Partnerships in Chapter 2 under Section VI., Programmed Inspections. Deleted language relating to Site Specific Targeting (SST) Program in Chapter 2. Added language related to Workplace Violence in Chapter 3 Section II., Inspection Planning. Added language related to the Occupational Injury and Illness Recording and Reporting Requirements - NAICS Update and Reporting Revisions in Chapter 3 Section V.A.6., Chapter 4 Section I.C., Chapter 6 Section X.D., Chapter 11 Section II.N.3., and Chapter 13 Section I.D.1.c. Added language related to Safety Incentive Programs in Chapter 3 Section VI., Review of Records. Revised language relating to Walkaround Representatives in Chapter 3 Section VII., Walkaround Inspections. Deleted language relating to OSHA Data Initiative (ODI) Data Review in Chapter 3. Revised language related to Repeated Violations from three to five years in Chapter 4 Section VII., Obtaining Inspection History. Revised AVD language for Repeated Violations in Chapter 4 Section VII.G.5. Restore the \"Reserved\" paragraphs in Chapter 4 Section XI., Health Standards Violations. Revised OSHA Penalty Policy in Chapter 6 Section III., Penalty Adjustment Factors. Revised language to time limitation and final order in Chapter 6 Section III., Penalty Adjustment Factors. Added new Penalty Comparison Chart in Chapter 6 Section III., Penalty Adjustment Factors. Deleted language to OSHA Strategic Partnerships in Chapter 6 Section III., Penalty Adjustment Factors. Revised Debt Collection Section in Chapter 6, Adjustment to Payments. Revised Debt Collection Section in Chapter 6, Depositing Payments. Added Debt Collection Control Flowchart in Chapter 6, Debt Collection. Added language in Chapter 8 Section I., Settlement of Cases by Area Director. ABSTRACT-2 Revised Electronic Complaints in Chapter 9, Electronic Complaints Received via the OSHA Public Website. Added language in Chapter 11 Section II., Families of Victims. Deleted language in Chapter 11 Section II., Recording and Tracking for Fatality/Catastrophe Investigations. Added language in Chapter 11 Section II., Investigation (OSHA-170). Added language to the Severe Violator Enforcement Program in Chapter 11 Section II., Severe Violator Enforcement Program. Deleted language in Chapter 11 Section II., Recording and Tracking for Fatality/Catastrophe Investigations. Added language in Chapter 13 Section III., Federal Agency Inspection Scheduling. Added language in Chapter 13 Section III., Other Whistleblower Protections. Added language in Chapter 13 Section VIII., Notice(s) of Unsafe or Unhealthful Working Conditions. Added new Federal Appeals Process Flow Charts in Chapter 13. Added new Appendices A-C in Chapter 13. Added Preemption by Other Agencies in Chapter 17. Added web-link to OSHA Instruction, OSHA Authority Over Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the Outer Continental Shelf (OCS) in Chapter 17, Jurisdiction Coverage. 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. ...................................................................................... 1-5 V. ACTION INFORMATION. ........................................................................... 1-6 A. RESPONSIBLE OFFICE........................................................................................................................1-6 B. A CTION 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. ........................................................................................... 1-8 IX. DEFINITIONS AND TERMINOLOGY. ....................................................... 1-8 A. B. C. D. E. THE A CT ............................................................................................................................................1-8 COMPLIANCE SAFETY AND HEALTH OFFICER (CSHO)...................................................................1-8 HE/SHE AND HIS /HERS .....................................................................................................................1-8 PROFESSIONAL JUDGMENT ...............................................................................................................1-8 W ORKPLACE AND W ORKSITE...........................................................................................................1-9 CHAPTER 2 PROGRAM PLANNING I. INTRODUCTION.......................................................................................... 2-1 II. AREA OFFICE RESPONSIBILITIES. ......................................................... 2-1 A. PROVIDING A SSISTANCE TO SMALL EMPLOYERS ............................................................................2-1 B. A REA OFFICE OUTREACH PROGRAM. ..............................................................................................2-1 C. RESPONDING TO REQUESTS FOR A SSISTANCE. ................................................................................2-1 III. OSHA COOPERATIVE PROGRAMS OVERVIEW. .................................. 2-1 A. B. C. D. E. VOLUNTARY PROTECTION PROGRAMS (VPP). ................................................................................2-1 ON-SITE CONSULTATION PROGRAM.................................................................................................2-2 SAFETY AND HEALTH A CHIEVEMENT RECOGNITION PROGRAM (SHARP)...................................2-2 STRATEGIC PARTNERSHIPS ...............................................................................................................2-2 A LLIANCE PROGRAM. .......................................................................................................................2-2 IV. ENFORCEMENT PROGRAM SCHEDULING. .......................................... 2-3 A. B. C. D. GENERAL . ..........................................................................................................................................2-3 INSPECTION PRIORITY CRITERIA. .....................................................................................................2-3 EFFECT OF CONTEST . ........................................................................................................................2-4 ENFORCEMENT EXEMPTIONS AND LIMITATIONS .............................................................................2-4 i E. F. G. H. V. PREEMPTION BY A NOTHER FEDERAL A GENCY. ..............................................................................2-5 UNITED STATES POSTAL SERVICE....................................................................................................2-5 HOME-BASED W ORKSITES . ..............................................................................................................2-6 INSPECTION/INVESTIGATION TYPES .................................................................................................2-6 UNPROGRAMMED ACTIVITY - HAZARD EVALUATION AND INSPECTION SCHEDULING. ..................................................................... 2-7 VI. PROGRAMMED INSPECTIONS. ................................................................ 2-7 A. B. C. D. E. F. G. SCHEDULING FOR CONSTRUCTION INSPECTIONS .............................................................................2-7 SCHEDULING FOR M ARITIME INSPECTIONS . ....................................................................................2-7 SPECIAL EMPHASIS PROGRAMS (SEPS ). ..........................................................................................2-8 NATIONAL EMPHASIS PROGRAMS (NEPS ).......................................................................................2-9 LOCAL EMPHASIS PROGRAMS (LEPS ) AND REGIONAL EMPHASIS PROGRAMS (REPS ). ...............2-9 OTHER SPECIAL PROGRAMS . ............................................................................................................2-9 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. B. C. D. E. F. G. REVIEW OF INSPECTION HISTORY. ...................................................................................................3-1 REVIEW OF COOPERATIVE PROGRAM PARTICIPATION. ...................................................................3-1 SAFETY AND HEALTH ISSUES RELATING TO CSHOS ......................................................................3-1 A DVANCE NOTICE OF AN INSPECTION. ............................................................................................3-3 PRE-INSPECTION COMPULSORY PROCESS ........................................................................................3-4 PERSONAL SECURITY CLEARANCE...................................................................................................3-4 EXPERT ASSISTANCE.........................................................................................................................3-4 III. INSPECTION SCOPE. .................................................................................. 3-4 A. COMPREHENSIVE...............................................................................................................................3-4 B. PARTIAL.............................................................................................................................................3-5 IV. CONDUCT OF INSPECTION....................................................................... 3-5 A. B. C. D. E. F. G. H. I. V. TIME OF INSPECTION. ........................................................................................................................3-5 PRESENTING CREDENTIALS . .............................................................................................................3-5 REFUSAL TO PERMIT INSPECTION AND INTERFERENCE...................................................................3-5 EMPLOYEE PARTICIPATION...............................................................................................................3-6 RELEASE FOR ENTRY. .......................................................................................................................3-7 BANKRUPT OR OUT OF BUSINESS .....................................................................................................3-7 EMPLOYEE RESPONSIBILITIES . .........................................................................................................3-7 STRIKE OR LABOR DISPUTE..............................................................................................................3-7 VARIANCES ........................................................................................................................................3-8 OPENING CONFERENCE. .......................................................................... 3-8 A. B. C. D. E. F. GENERAL . ..........................................................................................................................................3-8 REVIEW OF A PPROPRIATION ACT EXEMPTIONS AND LIMITATION. ..............................................3-10 REVIEW SCREENING FOR PROCESS SAFETY M ANAGEMENT (PSM) COVERAGE..........................3-10 REVIEW OF VOLUNTARY COMPLIANCE PROGRAMS ......................................................................3-10 DISRUPTIVE CONDUCT ....................................................................................................................3-11 CLASSIFIED A REAS . ........................................................................................................................3-11 ii 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. B. C. D. E. F. G. H. I. J. K. L. W ALKAROUND REPRESENTATIVES . ...............................................................................................3-14 EVALUATION OF SAFETY AND HEALTH M ANAGEMENT SYSTEM. ................................................3-15 RECORD A LL FACTS PERTINENT TO A VIOLATION. .......................................................................3-15 TESTIFYING IN HEARINGS . ..............................................................................................................3-15 TRADE SECRETS ..............................................................................................................................3-15 COLLECTING SAMPLES ....................................................................................................................3-16 PHOTOGRAPHS AND VIDEOTAPES ...................................................................................................3-16 VIOLATIONS OF OTHER LAWS ........................................................................................................3-16 INTERVIEWS OF NON-M ANAGERIAL EMPLOYEES . ........................................................................3-17 M ULTI-EMPLOYER W ORKSITES . ....................................................................................................3-19 A DMINISTRATIVE SUBPOENA. ........................................................................................................3-19 EMPLOYER A BATEMENT ASSISTANCE. ..........................................................................................3-19 VIII. CLOSING CONFERENCE. ........................................................................ 3-20 A. B. C. D. E. F. G. H. PARTICIPANTS . ................................................................................................................................3-20 DISCUSSION ITEMS ..........................................................................................................................3-20 A DVICE TO ATTENDEES . .................................................................................................................3-21 PENALTIES . ......................................................................................................................................3-21 FEASIBLE A DMINISTRATIVE, W ORK PRACTICE AND ENGINEERING CONTROLS . .........................3-21 REDUCING EMPLOYEE EXPOSURE..................................................................................................3-22 A BATEMENT VERIFICATION. ..........................................................................................................3-22 EMPLOYEE DISCRIMINATION..........................................................................................................3-23 IX. SPECIAL INSPECTION PROCEDURES................................................... 3-23 A. FOLLOW -UP AND M ONITORING INSPECTIONS ................................................................................3-23 B. CONSTRUCTION INSPECTIONS .........................................................................................................3-24 C. FEDERAL A GENCY INSPECTIONS . ...................................................................................................3-25 CHAPTER 4 VIOLATIONS I. BASIS OF VIOLATIONS. ............................................................................. 4-1 A. B. C. D. E. II. STANDARDS AND REGULATIONS . .....................................................................................................4-1 EMPLOYEE EXPOSURE. .....................................................................................................................4-2 REGULATORY REQUIREMENTS . ........................................................................................................4-4 HAZARD COMMUNICATION. .............................................................................................................4-5 EMPLOYER/EMPLOYEE RESPONSIBILITIES .......................................................................................4-5 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 iii C. D. E. F. USE OF THE GENERAL DUTY CLAUSE. ...........................................................................................4-16 LIMITATIONS OF USE OF THE GENERAL DUTY CLAUSE. ...............................................................4-16 CLASSIFICATION OF VIOLATIONS CITED UNDER THE GENERAL DUTY CLAUSE. .........................4-18 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. A REA DIRECTOR COORDINATION...................................................................................................4-20 B. CRITERIA FOR INVESTIGATING POSSIBLE CRIMINAL/W ILLFUL VIOLATIONS . .............................4-21 C. W ILLFUL VIOLATIONS RELATED TO A FATALITY..........................................................................4-21 VII. REPEATED VIOLATIONS......................................................................... 4-21 A. B. C. D. E. F. G. FEDERAL AND STATE PLAN VIOLATIONS . .....................................................................................4-21 IDENTICAL STANDARDS ..................................................................................................................4-22 DIFFERENT STANDARDS . ................................................................................................................4-22 OBTAINING INSPECTION HISTORY..................................................................................................4-22 TIME LIMITATIONS ..........................................................................................................................4-23 REPEATED V. FAILURE TO A BATE. .................................................................................................4-23 A REA DIRECTOR RESPONSIBILITIES ...............................................................................................4-23 VIII. DE MINIMIS CONDITIONS. ..................................................................... 4-24 A. CRITERIA. ........................................................................................................................................4-24 B. PROFESSIONAL JUDGMENT . ............................................................................................................4-25 C. A REA 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. W HEN 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 A IR CONTAMINANT STANDARDS . ......................................4-29 XIV. CITING IMPROPER PERSONAL HYGIENE PRACTICES. ................... 4-30 A. B. C. D. INGESTION HAZARDS . .....................................................................................................................4-30 A BSORPTION HAZARDS ...................................................................................................................4-31 W IPE SAMPLING. .............................................................................................................................4-31 CITATION POLICY............................................................................................................................4-31 XV. BIOLOGICAL MONITORING................................................................... 4-31 iv 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. NARRATIVE (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. B. C. D. E. F. GENERALLY.......................................................................................................................................5-7 CSHOS SHALL OBTAIN WRITTEN STATEMENTS WHEN:...................................................................5-7 LANGUAGE AND W ORDING OF STATEMENT . ...................................................................................5-7 REFUSAL TO SIGN STATEMENT . .......................................................................................................5-7 VIDEO AND A UDIOTAPED STATEMENTS . .........................................................................................5-7 A DMINISTRATIVE 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. B. C. D. STATUTE OF LIMITATIONS . ...............................................................................................................5-8 ISSUING CITATIONS ...........................................................................................................................5-8 A MENDING/W ITHDRAWING CITATIONS AND NOTIFICATION OF PENALTIES ..................................5-9 PROCEDURES FOR A MENDING OR W ITHDRAWING 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 v PENALTIES AND DEBT COLLECTION I. GENERAL PENALTY POLICY. .................................................................. 6-1 II. CIVIL PENALTIES. ...................................................................................... 6-1 A. B. C. D. STATUTORY A UTHORITY FOR CIVIL PENALTIES . ............................................................................6-1 A PPROPRIATION A CT RESTRICTIONS . ..............................................................................................6-1 M INIMUM PENALTIES ........................................................................................................................6-2 M AXIMUM PENALTIES . .....................................................................................................................6-2 III. PENALTY FACTORS. .................................................................................. 6-2 A. GRAVITY OF VIOLATION. ..................................................................................................................6-2 B. PENALTY A DJUSTMENT FACTORS ....................................................................................................6-6 IV. EFFECT ON PENALTIES IF EMPLOYER IMMEDIATELY CORRECTS. ... 6-10 A. B. C. D. V. QUICK-FIX PENALTY REDUCTION..................................................................................................6-10 QUICK-FIX REDUCTION SHALL APPLY TO:....................................................................................6-10 QUICK-FIX REDUCTIONS SHALL NOT A PPLY TO:..........................................................................6-10 REDUCTION A MOUNT . ....................................................................................................................6-10 REPEATED VIOLATIONS......................................................................... 6-11 A. B. C. D. GENERAL . ........................................................................................................................................6-11 PENALTY INCREASE FACTORS FOR REPEATED VIOLATIONS .........................................................6-11 OTHER-THAN-SERIOUS , NO INITIAL PENALTY. .............................................................................6-12 REGULATORY VIOLATIONS .............................................................................................................6-12 VI. WILLFUL VIOLATIONS. .......................................................................... 6-12 A. GENERAL . ........................................................................................................................................6-12 B. SERIOUS W ILLFUL PENALTY REDUCTIONS ....................................................................................6-12 C. W ILLFUL REGULATORY VIOLATIONS . ...........................................................................................6-13 VII. PENALTIES FOR FAILURE TO ABATE.................................................. 6-13 A. GENERAL . ........................................................................................................................................6-13 B. CALCULATION OF A DDITIONAL PENALTIES ...................................................................................6-14 C. PARTIAL A BATEMENT .....................................................................................................................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. B. C. D. X. DEFINITION......................................................................................................................................6-15 M ULTI-EMPLOYER W ORKSITES ......................................................................................................6-15 FEDERAL A GENCY SIGNIFICANT CASES .........................................................................................6-15 A SSISTANT SECRETARY CONCURRENCE........................................................................................6-16 PENALTY AND CITATION POLICY FOR PARTS 1903 AND 1904 REGULATORY REQUIREMENTS. .......................................................... 6-16 A. B. C. D. POSTING REQUIREMENTS UNDER PART 1903................................................................................6-16 A DVANCE NOTICE OF INSPECTION - 1903.6................................................................................6-16 A BATEMENT VERIFICATION REGULATION VIOLATIONS - 1903.19............................................6-17 INJURY AND ILLNESS RECORDS AND REPORTING UNDER PART 1904. .........................................6-17 vi XI. FAILURE TO PROVIDE ACCESS TO MEDICAL AND EXPOSURE RECORDS - 1910.1020. ............................................................................. 6-17 A. PROPOSED PENALTIES .....................................................................................................................6-17 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 A REA DIRECTOR.....................................................................................6-18 B. RECEIVING PAYMENTS ....................................................................................................................6-18 C. REFUNDS ..........................................................................................................................................6-20 XIV. DEBT COLLECTION PROCEDURES....................................................... 6-20 A. B. C. D. E. F. G. H. I. POLICY.............................................................................................................................................6-20 TIME A LLOWED FOR PAYMENT OF PENALTIES ..............................................................................6-21 NOTIFICATION PROCEDURES . .........................................................................................................6-21 NOTIFICATION OF OVERDUE DEBT .................................................................................................6-21 A SSESSMENT OF A DDITIONAL CHARGES . ......................................................................................6-22 A SSESSMENT PROCEDURES . ...........................................................................................................6-23 A PPLICATION OF PAYMENTS . .........................................................................................................6-24 UNCOLLECTIBLE PENALTIES . .........................................................................................................6-24 NATIONAL OFFICE DEBT COLLECTION PROCEDURES . ..................................................................6-24 CHAPTER 7 POST-CITATION PROCEDURES AND ABATEMENT VERIFICATION I. CONTESTING CITATIONS, NOTIFICATIONS OF PENALTY OR ABATEMENT DATES. ................................................................................. 7-1 A. NOTICE OF CONTEST .........................................................................................................................7-1 B. CONTEST PROCESS ............................................................................................................................7-1 II. INFORMAL CONFERENCES...................................................................... 7-2 A. B. C. D. E. F. GENERAL . ..........................................................................................................................................7-2 A SSISTANCE OF COUNSEL.................................................................................................................7-2 OPPORTUNITY TO PARTICIPATE........................................................................................................7-2 NOTICE OF INFORMAL CONFERENCES ..............................................................................................7-2 POSTING REQUIREMENT . ..................................................................................................................7-3 CONDUCT OF THE INFORMAL CONFERENCE. ...................................................................................7-3 III. PETITION FOR MODIFICATION OF ABATEMENT DATE (PMA)........ 7-3 A. B. C. D. FILING. ...............................................................................................................................................7-3 W HERE FILING REQUIREMENTS A RE NOT M ET . .............................................................................7-4 A PPROVAL OF PMA. .........................................................................................................................7-4 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 vii C. VERIFICATION PROCEDURES . ...........................................................................................................7-7 D. SUPPLEMENTAL PROCEDURES ..........................................................................................................7-7 E. REQUIREMENTS . ................................................................................................................................7-7 V. ABATEMENT CERTIFICATION. ............................................................... 7-7 A. M INIMUM LEVEL...............................................................................................................................7-7 B. CERTIFICATION REQUIREMENTS . .....................................................................................................7-7 C. CERTIFICATION TIMEFRAME.............................................................................................................7-7 VI. ABATEMENT DOCUMENTATION. ........................................................... 7-8 A. B. C. D. REQUIRED A BATEMENT DOCUMENTATION. ....................................................................................7-8 A DEQUACY OF ABATEMENT DOCUMENTATION. .............................................................................7-8 A BATEMENT DOCUMENTATION FOR SERIOUS VIOLATIONS . ..........................................................7-9 CSHO OBSERVED A BATEMENT . ......................................................................................................7-9 VII. MONITORING INFORMATION FOR ABATEMENT PERIODS GREATER THAN 90 DAYS. .......................................................................................... 7-10 A. B. C. D. A BATEMENT PERIODS GREATER THAN 90 DAYS ...........................................................................7-10 A BATEMENT PLANS . .......................................................................................................................7-10 PROGRESS REPORTS ........................................................................................................................7-10 SPECIAL REQUIREMENTS FOR LONG-TERM A BATEMENT .............................................................7-10 VIII. EMPLOYER FAILURE TO SUBMIT REQUIRED ABATEMENT CERTIFICATION. ...................................................................................... 7-11 A. B. C. D. A CTIONS PRECEDING CITATION FOR FAILURE TO CERTIFY ABATEMENT ....................................7-11 CITATION FOR FAILURE TO CERTIFY..............................................................................................7-11 CERTIFICATION OMISSIONS . ...........................................................................................................7-11 PENALTY A SSESSMENT FOR FAILURE TO CERTIFY........................................................................7-12 IX. TAGGING FOR MOVABLE EQUIPMENT............................................... 7-12 A. TAG-RELATED CITATIONS ..............................................................................................................7-12 B. EQUIPMENT W HICH IS M OVED. ......................................................................................................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 A CTIVITY 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. B. C. D. E. F. FOLLOW -UP INSPECTIONS . .............................................................................................................7-14 SEVERE VIOLATOR ENFORCEMENT PROGRAM (SVEP) FOLLOW -UP ...........................................7-14 INITIAL FOLLOW -UP . ......................................................................................................................7-15 SECOND FOLLOW -UP . .....................................................................................................................7-15 OSH ACT SECTION 11(B). ..............................................................................................................7-15 FOLLOW -UP INSPECTION REPORTS ................................................................................................7-16 viii XIII. MONITORING INSPECTIONS.................................................................. 7-16 A. B. C. D. E. GENERAL . ........................................................................................................................................7-16 CONDUCT OF M ONITORING INSPECTION (PMAS AND LONG-TERM A BATEMENT )......................7-17 A BATEMENT DATES IN EXCESS OF ONE YEAR. .............................................................................7-17 M ONITORING A BATEMENT EFFORTS . ............................................................................................7-17 M ONITORING CORPORATE-W IDE SETTLEMENT A GREEMENTS . ...................................................7-18 XIV. NOTIFICATION OF FAILURE TO ABATEMENT. ................................. 7-18 A. VIOLATION. .....................................................................................................................................7-18 B. PENALTIES . ......................................................................................................................................7-18 C. CALCULATION OF A DDITIONAL PENALTIES ...................................................................................7-18 XV. CASE FILE MANAGEMENT..................................................................... 7-18 A. CLOSING OF CASE FILE W ITHOUT A BATEMENT CERTIFICATION. ................................................7-18 B. REVIEW OF EMPLOYER-SUBMITTED A BATEMENT . .......................................................................7-18 C. W HETHER TO KEEP A BATEMENT DOCUMENTATION. ...................................................................7-19 XVI. ABATEMENT SERVICES AVAILABLE TO EMPLOYERS.................... 7-19 CHAPTER 8 SETTLEMENTS I. SETTLEMENT OF CASES BY AREA DIRECTORS. ................................. 8-1 A. B. C. D. E. GENERAL . ..........................................................................................................................................8-1 PRE-CONTEST SETTLEMENT (INFORMAL SETTLEMENT A GREEMENT )...........................................8-1 PROCEDURES FOR PREPARING THE INFORMAL SETTLEMENT A GREEMENT . ..................................8-4 POST -CONTEST SETTLEMENT (FORMAL SETTLEMENT A GREEMENT ). ...........................................8-4 CORPORATE-W IDE SETTLEMENT A GREEMENT . ..............................................................................8-4 CHAPTER 9 COMPLAINT AND REFERRAL PROCESSING I. SAFETY AND HEALTH COMPLAINTS AND REFERRALS. ................... 9-1 A. B. C. D. E. F. G. H. I. J. K. II. DEFINITIONS . .....................................................................................................................................9-1 CLASSIFYING AS A COMPLAINT OR A REFERRAL.............................................................................9-2 CRITERIA W ARRANTING AN INSPECTION.........................................................................................9-2 SCHEDULING AN INSPECTION OF AN EMPLOYER IN AN EXEMPT INDUSTRY...................................9-3 ELECTRONIC COMPLAINTS RECEIVED VIA THE OSHA PUBLIC W EBSITE......................................9-3 INFORMATION RECEIVED BY TELEPHONE........................................................................................9-4 PROCEDURES FOR HANDLING COMPLAINTS FILED IN M ULTIPLE A REA OFFICES OR REGIONS . ...9-5 PROCEDURES FOR AN INSPECTION....................................................................................................9-5 PROCEDURES FOR AN INQUIRY. ........................................................................................................9-6 COMPLAINANT PROTECTION. ...........................................................................................................9-7 RECORDING IN OIS. ..........................................................................................................................9-8 WHISTLEBLOWER COMPLAINTS. .......................................................... 9-8 III. DECISION TREES. ....................................................................................... 9-8 ix CHAPTER 10 INDUSTRY SECTORS I. AGRICULTURE.......................................................................................... 10-1 A. B. C. D. E. F. II. INTRODUCTION................................................................................................................................10-1 DEFINITIONS . ...................................................................................................................................10-1 A PPROPRIATIONS ACT EXEMPTIONS FOR FARMING OPERATIONS ................................................10-2 STANDARDS APPLICABLE TO A GRICULTURE.................................................................................10-3 PESTICIDES . .....................................................................................................................................10-4 W AGE & HOUR/OSHA SHARED AUTHORITY UNDER SECRETARY'S ORDER...............................10-4 CONSTRUCTION [RESERVED]............................................................... 10-5 III. MARITIME.................................................................................................. 10-6 A. B. C. D. E. M ARITIME INDUSTRY PRIMARY RESOURCES .................................................................................10-7 SHIPYARD EMPLOYMENT (PART 1915). .......................................................................................10-11 M ARINE CARGO HANDLING INDUSTRY (PARTS 1917 & 1918)...................................................10-18 OTHER M ARINE ACTIVITIES .........................................................................................................10-25 SECURITY PROCEDURES ................................................................................................................10-26 CHAPTER 11 IMMINENT DANGER, FATALITY, CATASTROPHE, AND EMERGENCY RESPONSE I. IMMINENT DANGER SITUATIONS. ....................................................... 11-1 A. B. C. D. II. GENERAL . ........................................................................................................................................11-1 PRE-INSPECTION PROCEDURES .......................................................................................................11-1 IMMINENT DANGER INSPECTION PROCEDURES . ............................................................................11-2 ELIMINATION OF THE IMMINENT DANGER.....................................................................................11-2 FATALITY AND CATASTROPHE INVESTIGATIONS. ......................... 11-4 A. B. C. D. E. F. G. H. I. J. K. L. M. DEFINITIONS . ...................................................................................................................................11-4 INITIAL REPORT ...............................................................................................................................11-4 INVESTIGATION PROCEDURES . .......................................................................................................11-4 INTERVIEW PROCEDURES ................................................................................................................11-5 INVESTIGATION DOCUMENTATION.................................................................................................11-6 POTENTIAL CRIMINAL PENALTIES IN FATALITY AND CATASTROPHE CASES ...............................11-6 FAMILIES OF VICTIMS .. ...................................................................................................................11-8 PUBLIC INFORMATION POLICY. ......................................................................................................11-9 RECORDING AND TRACKING FOR FATALITY/CATASTROPHE INVESTIGATIONS . ..........................11-9 PRE-CITATION REVIEW .................................................................................................................11-11 POST -CITATION PROCEDURES/A BATEMENT VERIFICATION. ......................................................11-11 A UDIT PROCEDURES . ....................................................................................................................11-12 RELATIONSHIP OF FATALITY AND CATASTROPHE INVESTIGATIONS TO OTHER PROGRAMS AND A CTIVITIES . ...................................................................................................................................11-12 N. SPECIAL ISSUES RELATED TO W ORKPLACE FATALITIES .............................................................11-14 III. RESCUE OPERATIONS AND EMERGENCY RESPONSE. .................. 11-14 A. OSHA'S A UTHORITY TO DIRECT RESCUE OPERATIONS .............................................................11-14 B. VOLUNTARY RESCUE OPERATIONS PERFORMED BY EMPLOYEES ..............................................11-14 C. EMERGENCY RESPONSE. ...............................................................................................................11-15 x CHAPTER 12 SPECIALIZED INSPECTION PROCEDURES I. MULTI-EMPLOYER WORKPLACE/WORKSITE [RESERVED]........... 12-1 II. TEMPORARY LABOR CAMPS................................................................. 12-1 A. B. C. D. E. F. G. H. I. J. INTRODUCTION................................................................................................................................12-1 DEFINITIONS . ...................................................................................................................................12-1 W AGE & HOUR/OSHA SHARED A UTHORITY UNDER SECRETARY'S ORDER..............................12-1 ENFORCEMENT OF TEMPORARY LABOR CAMP STANDARDS FOR A GRICULTURE. .......................12-2 OSHA ENFORCEMENT FOR NON-A GRICULTURE W ORKSITES ......................................................12-3 EMPLOYEE OCCUPIED HOUSING. ...................................................................................................12-3 PRIMARY CONCERNS . .....................................................................................................................12-3 DIMENSIONS . ...................................................................................................................................12-4 DOCUMENTATION FOR HOUSING INSPECTIONS . ............................................................................12-5 CONDITION OF EMPLOYMENT .........................................................................................................12-5 CHAPTER 13 FEDERAL AGENCY FIELD ACTIVITIES I. INTRODUCTION........................................................................................ 13-1 A. B. C. D. E. II. SCOPE. .............................................................................................................................................13-1 OVERVIEW . ......................................................................................................................................13-1 IMPORTANT DEFINITIONS . ..............................................................................................................13-2 LAWS AND REGULATIONS AFFECTING FEDERAL A GENCIES .........................................................13-3 OSHA CONTACTS FOR INFORMATION REGARDING FEDERAL A GENCIES . ...................................13-4 COVERAGE OF FEDERAL AGENCIES UNDER 29 CFR PART 1960.... 13-5 A. B. C. D. E. ENFORCEMENT . ...............................................................................................................................13-5 M ILITARY PERSONNEL, EQUIPMENT AND OPERATIONS ................................................................13-5 FEDERAL A GENCIES EXEMPT FROM UNANNOUNCED INSPECTIONS . ............................................13-6 FEDERAL A GENCIES WITH PRIVATE SECTOR EMPLOYEES ON-SITE.............................................13-6 UNITED STATES POSTAL SERVICE..................................................................................................13-7 III. FEDERAL AGENCY INSPECTION SCHEDULING. ............................... 13-7 A. B. C. D. E. F. G. TARGETED INSPECTIONS .................................................................................................................13-7 SPECIAL EMPHASIS INSPECTIONS . ..................................................................................................13-7 INCIDENT INSPECTIONS ...................................................................................................................13-8 COMPLAINT HANDLING. .................................................................................................................13-8 REPORTS OF REPRISAL OR DISCRIMINATION. ................................................................................13-9 A LTERNATE AND SUPPLEMENTARY STANDARDS ........................................................................13-11 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 A GENCIES ......................13-12 C. SUMMARY OF M AJOR FEDERAL RECORDKEEPING REQUIREMENTS DIFFERENCES COMPARED TO PRIVATE SECTOR...........................................................................................................................13-13 xi D. REPORTS AND INVESTIGATIONS OF FATALITIES/CATASTROPHES ...............................................13-13 E. FEDERAL A GENCY RECORDKEEPING FORMS ...............................................................................13-14 V. ACCESS TO FEDERAL EMPLOYEE OCCUPATIONAL SAFETY AND HEALTH-RELATED RECORDS. ............................................................ 13-14 A. A CCESS TO FEDERAL EMPLOYEE INJURY AND ILLNESS RECORDS . ............................................13-14 B. FEDERAL EMPLOYEE A CCESS TO EXPOSURE AND M EDICAL 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. B. C. D. E. DEFINITION....................................................................................................................................13-16 A GENCY PROCEDURES FOR REQUESTING AN ATAR. .................................................................13-16 OSHA RESPONSE TO ATARS .......................................................................................................13-16 VISIT PROCEDURES . ......................................................................................................................13-16 A BATEMENT . .................................................................................................................................13-17 VIII. NOTICE(S) OF UNSAFE OR UNHEALTHFUL WORKING CONDITIONS. 13-17 A. B. C. D. E. F. G. H. I. J. ISSUANCE OF AN OSHA NOTICE. .................................................................................................13-17 COVER LETTER FOR FEDERAL A GENCIES . ...................................................................................13-18 VIOLATIONS OF CITABLE PROGRAM ELEMENTS OF 29 CFR PART 1960....................................13-18 REPEAT OSHA NOTICE FOR FEDERAL A GENCIES .......................................................................13-19 M ULTI-EMPLOYER W ORKSITE POLICY FOR FEDERAL A GENCIES . .............................................13-19 INFORMAL CONFERENCE PROCEDURES FOR FEDERAL A GENCIES ..............................................13-19 FEDERAL A GENCY APPEALS PROCEDURE....................................................................................13-20 VERIFICATION OF ABATEMENT . ...................................................................................................13-22 PETITION FOR M ODIFICATION OF A BATEMENT DATES (PMA)...................................................13-22 FAILURE TO A BATE.......................................................................................................................13-23 CHAPTER 14 HEALTH INSPECTION ENFORCEMENT POLICY I. HEALTH ENFORCEMENT PROGRAMS [RESERVED]......................... 14-1 CHAPTER 15 LEGAL ISSUES I. ADMINISTRATIVE SUBPOENAS............................................................. 15-1 A. B. C. D. E. F. G. H. W HEN TO ISSUE...............................................................................................................................15-1 TWO TYPES OF SUBPOENAS ............................................................................................................15-1 A REA DIRECTOR DELEGATED A UTHORITY TO ISSUE A DMINISTRATIVE SUBPOENAS . ................15-1 REGIONAL A DMINISTRATOR A UTHORITY TO ISSUE A DMINISTRATIVE SUBPOENAS . ..................15-2 A DMINISTRATIVE SUBPOENA CONTENT AND SERVICE. ................................................................15-2 COMPLIANCE WITH THE SUBPOENA. ..............................................................................................15-3 REFUSAL TO HONOR SUBPOENA. ...................................................................................................15-3 A NTICIPATORY SUBPOENA. ............................................................................................................15-3 xii 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. B. C. D. E. F. G. W ARRANT A PPLICATIONS ...............................................................................................................15-4 GENERAL INFORMATION NECESSARY TO OBTAIN A W ARRANT ...................................................15-4 SPECIFIC W ARRANT INFORMATION BASED ON INSPECTION TYPE. ..............................................15-5 W ARRANT PROCEDURES .................................................................................................................15-6 SECOND W ARRANT .........................................................................................................................15-6 REFUSED ENTRY OR INTERFERENCE. .............................................................................................15-6 FEDERAL M ARSHAL ASSISTANCE. .................................................................................................15-6 IV. EQUAL ACCESS TO JUSTICE ACT (EAJA)............................................ 15-7 A. PREVAILING PARTY M AY BE AWARDED FEES ...............................................................................15-7 B. OSHA'S POSITION M UST BE SUBSTANTIALLY JUSTIFIED.............................................................15-7 C. EAJA SHOULD NOT A FFECT HOW THE A GENCY OPERATES ........................................................15-7 V. NOTICE OF CONTEST. ............................................................................. 15-7 A. TIME LIMIT FOR FILING A