OSHA Field Inspection Reference Manual CPL 2.103
Section 4 - TOC - Table of Contents


OSHA Field Inspection Reference Manual - Table of ContentsOSHA Field Inspection Reference Manual - Table of Contents
  • Chapter Number: TOC
  • Chapter Title: Table of Contents

Archive Notice - OSHA Archive

NOTICE: This is an OSHA Archive Document, and no longer represents OSHA Policy. It is presented here as historical content, for research and review purposes only.


                            TABLE OF CONTENTS 


CHAPTER I. PRE-INSPECTION PROCEDURES

A. GENERAL RESPONSIBILITIES AND ADMINISTRATIVE PROCEDURES 1. Regional Administrator.. . . . . . . . . . . . . . . I-1 2. Area Director. . . . . . . . . . . . . . . . . . . . I-1 3. Assistant Area Director. . . . . . . . . . . . . . . I-1 4. Compliance Safety and Health Officer.. . . . . . . . I-1 a. General. . . . . . . . . . . . . . . . . . . . . I-1 b. Subpoena Served on CSHO. . . . . . . . . . . . . I-2 c. Testifying in Hearings . . . . . . . . . . . . . I-2 d. Release of Inspection Information. . . . . . . . I-2 e. Disposition of Inspection Records. . . . . . . . I-2 5. General Area Office Responsibilities . . . . . . . . I-2

B. INSPECTION SCHEDULING 1. Program Planning . . . . . . . . . . . . . . . . . . I-3 2. Inspection/Investigation Types . . . . . . . . . . . I-3 a. Unprogrammed . . . . . . . . . . . . . . . . . . I-3 b. Unprogrammed Related . . . . . . . . . . . . . . I-3 c. Programmed . . . . . . . . . . . . . . . . . . . I-3 d. Programmed Related . . . . . . . . . . . . . . . I-3 3. Inspection Priorities. . . . . . . . . . . . . . . . I-4 a. Order of Priority. . . . . . . . . . . . . . . . I-4 b. Efficient Use of Resources . . . . . . . . . . . I-4 c. Followup Inspections . . . . . . . . . . . . . . I-4 4. Inspection Selection Criteria. . . . . . . . . . . . I-4 a. General Requirements . . . . . . . . . . . . . . I-4 b. Employer Contacts. . . . . . . . . . . . . . . . I-5

C. COMPLAINTS AND OTHER UNPROGRAMMED INSPECTIONS 1. General. . . . . . . . . . . . . . . . . . . . . . . I-5 2. Definitions. . . . . . . . . . . . . . . . . . . . . I-6 3. Identity of Complaint. . . . . . . . . . . . . . . . I-6 4. Formalizing Oral Complaints. . . . . . . . . . . . . I-6 5. Imminent Danger Report Received by the Field . . . . I-7 6. Formal Complaints. . . . . . . . . . . . . . . . . . I-7 7. Nonformal Complaints . . . . . . . . . . . . . . . . I-8 8. Results of Inspection to Complainant . . . . . . . . I-9 9. Discrimination Complaints. . . . . . . . . . . . . . I-9 10.Referrals. . . . . . . . . . . . . . . . . . . . . . I-10 11.Accidents. . . . . . . . . . . . . . . . . . . . . . I-10

D. PROGRAMMED INSPECTIONS. . . . . . . . . . . . . . . . . I-10

E. INSPECTION PREPARATION 1. General. . . . . . . . . . . . . . . . . . . . . . . I-10 2. Planning . . . . . . . . . . . . . . . . . . . . . . I-10 3. Advance Notice of Inspections. . . . . . . . . . . . I-11 4. Preinspection Compulsory Process . . . . . . . . . . I-12 5. Expert Assistance. . . . . . . . . . . . . . . . . . I-12 6. Personal Security Clearance. . . . . . . . . . . . . I-13 7. Disclosure of Records. . . . . . . . . . . . . . . . I-13 8. Classified and Trade Secret Information. . . . . . . I-13

CHAPTER II. INSPECTIONS PROCEDURES

A. GENERAL INSPECTION PROCEDURES 1. Inspection Scope . . . . . . . . . . . . . . . . . . II-1 a. Comprehensive. . . . . . . . . . . . . . . . . . II-1 b. Partial. . . . . . . . . . . . . . . . . . . . . II-1 2. Conduct of the Inspection. . . . . . . . . . . . . . II-1 a. Time of Inspection . . . . . . . . . . . . . . . II-1 b. Presenting Credentials . . . . . . . . . . . . . II-1 c. Refusal to Permit Inspection . . . . . . . . . . II-2 (1) Refusal of Entry or Inspection . . . . . . II-2 (2) Employer Interference. . . . . . . . . . . II-2 (3) Administrative Subpoena. . . . . . . . . . II-3 (4) Obtaining Compulsive Process . . . . . . . II-3 (5) Compulsory Process . . . . . . . . . . . . II-6 (6) Action to be Taken Upon Receipt of Compulsory Process. . . . . . . . . . . . II-7 (7) Federal Marshal Assistance . . . . . . . . II-7 (8) Refused Entry or Interference with a Compulsory Process. . . . . . . . . . . . II-8 d. Forcible Interference with Conduct of Inspection or Other Official Duties . . . . . . II-8 e. Release for Entry. . . . . . . . . . . . . . . . II-8 f. Bankrupt or Out of Business. . . . . . . . . . . II-8 g. Strike or Labor Dispute. . . . . . . . . . . . . II-9 h. Employee Participation . . . . . . . . . . . . . II-9 3. Opening Conference . . . . . . . . . . . . . . . . . II-10 a. Attendance at Opening Conference . . . . . . . . II-10 b. Scope. . . . . . . . . . . . . . . . . . . . . . II-10 c. Forms Completion . . . . . . . . . . . . . . . . II-10 d. Employees of Other Employers . . . . . . . . . . II-10 e. Voluntary Compliance Programs. . . . . . . . . . II-10 (1) Section 7(c)(1) and Contract Consultations II-11 (2) Voluntary Protection Programs (VPP). . . . II-11 f. Walkaround Representatives . . . . . . . . . . . II-11 (1) Employees Represented by a Certified or Recognized Bargaining Agent . . . . . . . II-12 (2) Safety Committee . . . . . . . . . . . . . II-12 (3) No Certified or Recognized Bargaining Agent . . . . . . . . . . . . . . . . . . II-12 g. Preemption by Another Agency . . . . . . . . . . II-12 h. Disruptive Conduct . . . . . . . . . . . . . . . II-12 i. Trade Secrets. . . . . . . . . . . . . . . . . . II-12 j. Classified Areas . . . . . . . . . . . . . . . . II-13 k. Examination of Record Programs and Posting Requirements. . . . . . . . . . . . . . . . . . II-13 (1) Records. . . . . . . . . . . . . . . . . . II-13 (2) Lost Workday Injury (LWDI) Rate. . . . . . II-13 (3) Posting. . . . . . . . . . . . . . . . . . II-14 4. Walkaround Inspection. . . . . . . . . . . . . . . . II-14 a. Evaluation . . . . . . . . . . . . . . . . . . . II-14 b. Record All Facts Pertinent to an Apparent Violation . . . . . . . . . . . . . . . . . . . II-14 c. Collecting Samples . . . . . . . . . . . . . . . II-14 d. Taking Photographs and/or Videotapes . . . . . . II-15 e. Interviews . . . . . . . . . . . . . . . . . . . II-15 (1) Purpose. . . . . . . . . . . . . . . . . . II-15 (2) Employee Right of Complaint. . . . . . . . II-15 (3) Time and Location. . . . . . . . . . . . . II-15 (4) Privacy. . . . . . . . . . . . . . . . . . II-15 (5) Interview Statements . . . . . . . . . . . II-16 f. Employer Abatement Assistance. . . . . . . . . . II-16 (1) Policy . . . . . . . . . . . . . . . . . . II-16 (2) Disclaimers. . . . . . . . . . . . . . . . II-17 g. Special Circumstances. . . . . . . . . . . . . . II-17 (1) Trade Secrets. . . . . . . . . . . . . . . II-17 (2) Violations of Other Laws . . . . . . . . . II-18 5. Closing Conference . . . . . . . . . . . . . . . . . II-18

B. SPECIAL INSPECTION PROCEDURES 1. Followup and Monitoring Inspections. . . . . . . . . II-19 a. Inspection Procedures. . . . . . . . . . . . . . II-19 b. Failure to Abate . . . . . . . . . . . . . . . . II-20 c. Reports. . . . . . . . . . . . . . . . . . . . . II-20 d. Followup Files . . . . . . . . . . . . . . . . . II-20 2. Fatality/Catastrophe Investigations. . . . . . . . . II-20 a. Definitions. . . . . . . . . . . . . . . . . . . II-20 b. Selection of CSHO. . . . . . . . . . . . . . . . II-21 c. Families of Victims. . . . . . . . . . . . . . . II-21 d. Criminal . . . . . . . . . . . . . . . . . . . . II-22 e. Rescue Operations. . . . . . . . . . . . . . . . II-22 f. Public Information Policy. . . . . . . . . . . . II-22 3. Imminent Danger Investigations . . . . . . . . . . . II-22 a. Definition . . . . . . . . . . . . . . . . . . . II-22 b. Requirements . . . . . . . . . . . . . . . . . . II-23 c. Inspection . . . . . . . . . . . . . . . . . . . II-23 4. Construction Inspections . . . . . . . . . . . . . . II-24 a. Standards Applicability. . . . . . . . . . . . . II-24 b. Definition . . . . . . . . . . . . . . . . . . . II-24 c. Employer Worksite. . . . . . . . . . . . . . . . II-24 d. Entry of the Workplace . . . . . . . . . . . . . II-25 e. Closing Conference . . . . . . . . . . . . . . . II-25 5. Federal Agency Inspections . . . . . . . . . . . . . II-25

CHAPTER III INSPECTION DOCUMENTATION

A. FOUR STAGE CASE FILE DOCUMENTATION 1. General. . . . . . . . . . . . . . . . . . . . . . . III-1 2. Case File Stages . . . . . . . . . . . . . . . . . . III-1

B. SPECIFIC FORMS 1. Narrative, Form OSHA-1A. . . . . . . . . . . . . . . III-3 2. Photo Mounting Worksheet, Form OSHA-89 . . . . . . . III-4 3. Inspection Case File Activity Diary Insert . . . . . III-4

C. VIOLATIONS 1. Basis of Violations. . . . . . . . . . . . . . . . . III-4 a. Standards and Regulations. . . . . . . . . . . . III-4 b. Employee Exposure. . . . . . . . . . . . . . . . III-5 2. Types of Violations. . . . . . . . . . . . . . . . . III-6 a. Other-than-serious . . . . . . . . . . . . . . . III-6 b. Serious. . . . . . . . . . . . . . . . . . . . . III-7 c. Violations of the General Duty Clause. . . . . . III-8 (1) Evaluation of Potential Section 5(a)(1) Situations. . . . . . . . . . . . . . . . III-8 (2) Discussion of Section 5(a)(1) Elements . . III-8 (3) Limitations on Use of the General Duty Clause. . . . . . . . . . . . . . . . . . III-12 (4) Pre-Citation Review. . . . . . . . . . . . III-13 d. Willful. . . . . . . . . . . . . . . . . . . . . III-13 e. Criminal/Willful . . . . . . . . . . . . . . . . III-15 f. Repeated . . . . . . . . . . . . . . . . . . . . III-17 g. De Minimis . . . . . . . . . . . . . . . . . . . III-19 3. Health Standard Violations . . . . . . . . . . . . . III-20 a. Citation of Ventilation Standards. . . . . . . . III-20 b. Violations of the Noise Standard . . . . . . . . III-21 c. Violations of the Respirator Standard. . . . . . III-23 d. Additive and Synergistic Effects . . . . . . . . III-25 e. Absorption and Ingestion Hazards . . . . . . . . III-25 f. Biological Monitoring. . . . . . . . . . . . . . III-25 4. Writing Citations. . . . . . . . . . . . . . . . . . III-25 5. Combining and Grouping of Violations . . . . . . . . III-26 a. Combining. . . . . . . . . . . . . . . . . . . . III-26 b. Grouping . . . . . . . . . . . . . . . . . . . . III-26 c. When Not to Group. . . . . . . . . . . . . . . . III-27 6. Multiemployer Worksites. . . . . . . . . . . . . . . III-28 7. Employer/Employee Responsibilities . . . . . . . . . III-29 8. Affirmative Defenses . . . . . . . . . . . . . . . . III-29 a. Definition . . . . . . . . . . . . . . . . . . . III-29 b. Burden of Proof. . . . . . . . . . . . . . . . . III-29 c. Explanations . . . . . . . . . . . . . . . . . . III-30

CHAPTER IV. POST-INSPECTION PROCEDURES

A. ABATEMENT 1. Period . . . . . . . . . . . . . . . . . . . . . . . IV-1 2. Reasonable Abatement Date. . . . . . . . . . . . . . IV-1 3. Verification of Abatement. . . . . . . . . . . . . . IV-1 4. Effect of Contest Upon Abatement Period. . . . . . . IV-1 5. Long-Term Abatement Date for Implementation of Feasible Engineering Controls . . . . . . . . . . . IV-2 6. Feasible Administrative, Work Practice and Engineering Controls. . . . . . . . . . . . . . . . IV-3 a. Definitions. . . . . . . . . . . . . . . . . . . IV-3 b. Responsibilities . . . . . . . . . . . . . . . . IV-4 c. Reducing Employee Exposure . . . . . . . . . . . IV-4

B. CITATIONS 1. Issuing Citations. . . . . . . . . . . . . . . . . . IV-4 2. Amending or Withdrawing Citation and Notification of Penalty. . . . . . . . . . . . . . . . . . . . . IV-5 a. Citation Revision Justified. . . . . . . . . . . IV-5 b. Citation Revision Not Justified. . . . . . . . . IV-5 c. Procedures for Amending or Withdrawing Citations . . . . . . . . . . . . . . . . . . . IV-6

C. PENALTIES 1. General Policy . . . . . . . . . . . . . . . . . . . IV-7 2. Civil Penalties. . . . . . . . . . . . . . . . . . . IV-8 a. Statutory Authority. . . . . . . . . . . . . . . IV-8 b. Minimum Penalties. . . . . . . . . . . . . . . . IV-8 c. Penalty Factors. . . . . . . . . . . . . . . . . IV-8 d. Gravity of Violation . . . . . . . . . . . . . . IV-9 e. Severity Assessment. . . . . . . . . . . . . . . IV-9 f. Probability Assessment . . . . . . . . . . . . . IV-9 g. Gravity-Based Penalty. . . . . . . . . . . . . . IV-10 h. Gravity Calculations for Combined or Grouped Violations. . . . . . . . . . . . . . . . . . . IV-12 i. Penalty Adjustment Factors . . . . . . . . . . . IV-13 j. Effect on Penalties if Employer Immediately Corrects. . . . . . . . . . . . . . . . . . . . IV-15 k. Failure to Abate . . . . . . . . . . . . . . . . IV-15 l. Repeated Violations. . . . . . . . . . . . . . . IV-16 m. Willful Violations . . . . . . . . . . . . . . . IV-17 n. Violation of 29 CFR Parts 1903 and 1904 Regulatory Requirements . . . . . . . . . . . . IV-19 3. Criminal Penalties . . . . . . . . . . . . . . . . . IV-24

D. POST-CITATION PROCESSES 1. Informal Conferences . . . . . . . . . . . . . . . . IV-24 a. General. . . . . . . . . . . . . . . . . . . . . IV-24 b. Procedures . . . . . . . . . . . . . . . . . . . IV-24 c. Participation by OSHA Officials. . . . . . . . . IV-24 d. Conduct of the Informal Conference . . . . . . . IV-25 e. Decisions. . . . . . . . . . . . . . . . . . . . IV-25 f. Failure to Abate . . . . . . . . . . . . . . . . IV-26 2. Petitions for Modification of Abatement Date (PMA) . IV-26 a. Filing Date. . . . . . . . . . . . . . . . . . . IV-26 b. Failure to Meet All Requirements . . . . . . . . IV-26 c. Delayed Decisions. . . . . . . . . . . . . . . . IV-26 d. Area Office Position on the PMA. . . . . . . . . IV-27 e. Employee Objections. . . . . . . . . . . . . . . IV-27 3. Services Available to Employers. . . . . . . . . . . IV-28 4. Settlement of Cases by Area Directors. . . . . . . . IV-28 a. General. . . . . . . . . . . . . . . . . . . . . IV-28 b. Pre-Contest Settlement (Informal Settlement Agreement). . . . . . . . . . . . . . . . . . . IV-29 c. Procedures for Preparing an Informal Settlement Agreement . . . . . . . . . . . . . . . . . . . IV-31 d. Post-Contest Settlement (Formal Settlement Agreement). . . . . . . . . . . . . . . . . . . IV-31 e. Corporate-Wide Settlement Agreement. . . . . . . IV-31 5. Guidance for Determining Final Dates of Settlements and Review Commission Orders. . . . . . . . . . . . IV-31

E. REVIEW COMMISSION 1. Transmittal of Notice of Contest and Other Documents to Review Commission . . . . . . . . . . . . . . . IV-32 a. Notice of Contest. . . . . . . . . . . . . . . . IV-32 b. Documents to Executive Secretary . . . . . . . . IV-33 c. Petitions for Modification of Abatement Dates (PMAs). . . . . . . . . . . . . . . . . . . . . IV-34 2. Transmittal of File to Regional Solicitor. . . . . . IV-35 a. Notification of the Regional Solicitor . . . . . IV-35 b. Subpoena . . . . . . . . . . . . . . . . . . . . IV-35 3. Communications with Commission Employees . . . . . . IV-35 4. Dealings with Parties while Proceedings are Pending Before the Commission . . . . . . . . . . . . . . . IV-35

Archive Notice - OSHA Archive

NOTICE: This is an OSHA Archive Document, and no longer represents OSHA Policy. It is presented here as historical content, for research and review purposes only.



OSHA Field Inspection Reference Manual - Table of ContentsOSHA Field Inspection Reference Manual - Table of Contents