Directives - Table of Contents Directives - Table of Contents
• Record Type: Instruction
• Directive Number: CPL 02-00-045
• Old Directive Number: CPL 2.45B CH-4
• Title: Changes to the Field Operations Manual (FOM)
• Information Date: 12/13/1993

 
OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

SUBJECT:  Changes to the Field Operations Manual (FOM) 

A.   Purpose.  This instruction transmits page changes to the FOM, OSHA 
     Instruction CPL 2.45B, June 15, 1989. 

B.   Scope.  This instruction applies OSHA-wide. 

C.   References. 

     1.   OSHA Instruction CPL 2.51H, March 22, 1993, Exemptions and 
          Limitations under the Current Appropriations Act. 

     2.   OSHA Instruction CPL 2.95, February 10, 1992, Enforcement 
          Authority at the Department of Energy's (DOE) Government-Owned, 
          Contractor-Operated (GOCO) Sites. 

     3.   OSHA Instruction CPL 2.97, January 26, 1993, Fatality/Catastrophe 
          Reports to the National Office ("Flash Reports"). 

     4.   OSHA Instruction DIS .4B, August 29, 1988, Investigator's Manual. 

D.   Background.  This OSHA Instruction will update the Field 
     Operations Manual (FOM) by providing guidance to the field 
     on a variety of policy and program changes.  It will also 
     serve as interim guidance until the reinvented FOM, which is 
     being developed by the FOM Revision Team, is issued sometime 
     in early 1994. 

E.   Action.  Replace existing pages with the attached CH-4 
     pages as listed below: 

          Existing Pages                Replacement Pages

          Table of Contents, 1 thru 17  Table of Contents, 1 through 16 
          I-11 through 12               I-11 through 12 
          II-1 through 36               II-1 through 34 
          III-37 through 48             III-37 through 48 
          III-57 through 58             III-57 through 58 
          III-73 through 88             III-73 through 88 
          IV-9 through 10               IV-9 through 10 
          IV-19 through 22              IV-19 through 22 
          IV-27 through 42              IV-27 through 42 
          VI-1 through 2                VI-1 through 2 
          VI-9 through 10               VI-9 through 10 
          VI-15 through 16              VI-15 through 16 
          VI-19 through 20              VI-19 through 20 
          VIII-5 through 10             VIII-5 through 9 
          IX-1 through 4                IX-1 through 4 
          IX-9 through 12               IX-9 through 12 
          X-1 through 15                X-1 
          XIII-1 through 36             XIII-1 through 28 
          None                          XIII-A-1 through 8 
          None                          Index-1 through Index-21 

F.   Federal Agencies.  This instruction describes a change 
     that affects Federal agencies.  Executive Order 12196, 
     Section 1-201, and 29 CFR 1960.16, maintains that Federal 
     agencies must also follow the enforcement policy and 
     procedures contained in this instruction. 

G.   Federal Program Change.  This instruction describes a 
     Federal program change which affects State programs.  Each 
     Regional Administrator shall: 

     1.   Ensure that this change is promptly forwarded to each 
          State designee using a format consistent with the Plan 
          Change Two-way Memorandum in Appendix P, OSHA 
          Instruction STP 2.22A, CH-2. 

     2.   Explain the content of this change to the State designees 
          as requested. 

     3.   Advise the State designees of the changes made to the 
          Field Operation Manual (FOM).  The States now have six 
          months from the issuance date of this instruction to 
          submit a plan supplement (I.1.a.(3)(a) of the SPM) 
          documenting changes set forth therein.  States which 
          have not yet submitted their revised FOM in response to 
          OSHA Instruction CPL 2.45B and 2.45B CH-1, CH-2 and CH-3 
          shall not delay those submissions to incorporate the 
          changes being transmitted by this instruction. 

     4.   Ensure that State designees are asked to acknowledge 
          receipt of this Federal program change in writing to 
          the Regional Administrator as soon as the State's 
          intention is known, but not later than 70 calendar days 
          after the date of issuance (10 days for mailing and 60 
          days for response).  In the acknowledgment, the State 
          should address the State's intent with regard to new, 
          significant changes listed in Paragraph H. of this 
          instruction. 

          a.   If the State intends to follow Federal policies 
               and procedures described in the changes to the 
               FOM, the State must submit revised pages, adapted 
               as appropriate to refer to State law, regulations 
               and administrative structure, or a revised cover 
               page which has been incorporated into the State's 
               adopted manual indicating that the revisions to 
               the Federal FOM had been adopted for State use, 
               how references in the Federal FOM correspond to 
               the State structure, and how it will be applied. 

          b.   If the State adopts an alternative to the Federal 
               FOM, the State must submit replacement pages to 
               the FOM within 6 months of the issuance date of 
               the directive transmitting the FOM changes.  The 
               plan change supplement must identify and provide a 
               rationale for all substantial differences from the 
               Federal policies and procedures in order for OSHA 
               to judge whether a different State procedure is as 
               effective as comparable Federal procedure. 

          c.   The State plan supplement must address the 
               significant changes noted in paragraph H. of this 
               instruction.  The following are clarifications and 
               instructions to the States on specific policies 
               and procedures: 

               (1)  Targeting - States that use OSHA safety list 
                    for high-hazard targeting should be aware 
                    that it is now based on Federal OSHA 
                    violation history by SIC - not BLS rates (II-10). 

               (2)  Case file documentation for willful 
                    violations related to fatalities (IV-28). 
                    The State revised manual should reflect that 
                    when a willful violation is related to a 
                    fatality, the case file must contain adequate 
                    documentation for not referring the case for 
                    criminal prosecution. 

               (3)  Where serious penalty calculation would 
                    result in a penalty less than $100, then a 
                    $100 penalty shall be proposed (VI-2 and VI-19). 
                    OSHA has revised its procedure for the 
                    calculation of serious penalties to 
                    administratively set a $100 minimum penalty 
                    when the adjusted proposed penalty for a 
                    serious violation would amount to less than 
                    $100.  In the States' response to this 
                    change, they are to follow procedures in the 
                    revised FOM or at least as effective 
                    alternative procedures. 

               (4)  Deleted Discrimination Complaints Chapter - 
                    (X-1.)  OSHA has deleted Discrimination 
                    Complaints Chapter from the FOM and will use 
                    only OSHA Instruction DIS .4B, Investigator's 
                    Manual.  States may similarly delete this 
                    chapter. 

               (5)  Complaints can allege general duty violations 
                    - not just standards and regulations (IX-1). 
                    States revised manual should indicate that 
                    complaints can also allege general duty 
                    violations -- not just standards and 
                    regulations. 

          d.   The State plan supplement must also: 

               (1)   Incorporate the State's own policies in such 
                     areas where Federal policy does not apply 
                     directly to the State's operations or has not 
                     been adopted by a State. 

               (2)   Describe how the policies and procedures 
                     apply to State and local government sectors, 
                     though a separate chapter or appropriate 
                     references where a State's FOM is intended to 
                     cover both public and private sectors. 

     6.   Ensure, upon receipt of the State plan supplement 
          submitted in response to this Federal program change, 
          that a line-by-line review of the State plan supplement 
          is performed, identifying and evaluating the relative 
          effectiveness of all substantive differences from the 
          Federal provisions. 

          a.   If the Regional review shows that the State's plan 
               supplement is incomplete or otherwise less 
               effective than Federal requirements, the Regional 
               administrator shall negotiate with the State to 
               make the necessary changes. 

          b.   The Regional Office shall provide any technical 
               assistance for a State to resolve deficiencies in 
               its plan supplement. 

     7.   After Regional review of the State plan supplement and 
          resolution of any comments thereon, forward the State 
          submission to the National Office in accordance with 
          established procedures.  The Regional Administrator 
          shall provide a judgment on the relative effectiveness 
          of each substantial difference in the State plan change 
          and an overall assessment thereon with a recommendation 
          as to approval by the Assistant Secretary. 

     8.   In light of the critical importance of a State's FOM to 
          its program effectiveness and some States' historical 
          delinquency in responding to previous compliance policy 
          changes, closely monitor the States' progress in 
          responding to this Federal program change to ensure 
          compliance with its requirements within the specified 
          6-month period. 

H.   Significant Changes. 

     1.   Updates References to the Appropriation Act in OSHA 
          Instruction CPL 2.51H. (Pages I-12, II-2, II-19, II-36, 
          III-30 and VI-2). 

     2.   Adds Metric System Conversion (Pages II-20, III-47 & 
          48, IV-9, 10, 19, 20, 22, and 32). 

     3.   Changes "shall" to "may" Regarding Partial 
          Inspections (Page II-2).  An exception is provided 
          concerning the mandatory review of employer's injury 
          and illness records and assessment of employer's 
          programs. 

     4.   Adds NOTE Concerning Documentation of Unusual 
          Circumstances that Require Modification of Inspection 
          Priorities (Page II-5). 

     5.   Changes Definition of "High Hazard Industry" in Area 
          of Safety (Page II-9). 

     6.   Replaces BLS Rate Data with IMIS Violation Data 
          Safety Priority (Pages II-10 through 12). Industry 
          priority for safety inspections for FY '94 will be 
          based on a ratio similar to that used for health 
          inspections, which is the number of serious violations 
          of safety standards per safety inspection in that 
          industry. 

     7.   Replaces Reference to "Dodge Reports" and "Dodge 
          Slips" with "OSHA Inspection Construction Reports" 
          (Pages II-11, 21, 22, and 24). 

     8.   Deletes Firms with IMIS Identified Valid Deletion 
          Criteria (Page II-12).  Beginning with the FY '94 
          establishment lists, all establishments with valid 
          deletion criteria will be deleted by the National 
          Office.  Caution should be taken when adding 
          establishments to the establishment lists, since 
          establishments will have been deleted in that SIC or 
          may be included in a different SIC. 

     9.   Deletes Sites with Ten or Fewer Employees (Page II-12). 
          In the past all sites with ten or fewer employees were 
          deleted from the list.  For FY '94, sites with ten 
          or fewer employees that are part of larger employers 
          will not be deleted.  This includes branch locations 
          that show no employment on the Dun's file, but may have 
          large employment. 

     10.  Adds NOTE to Clarify the Calculation of Five Percent 
          Low Hazard and Non-manufacturing (Page II-16).  The 
          intent of this provision is that "up to" five percent 
          in each of these categories are to be included for 
          inspection.  When the calculation yields a fractional 
          establishment, the factional part is dropped and the 
          integer part is the number to be included. 

     11.  Creates a Single Cycle for the Year (Pages II-17 to 
          18).  One cycle early in the fiscal year should 
          contain the number of planned inspections estimated for 
          the year.  If more establishments are needed, another 
          cycle can be selected late in the year to provided 
          enough establishments to finish the year. 

     12.  Merges Lists for Two Consecutive Months for 
          Construction (Page II-20).  The lists for two 
          consecutive months may be merged and worked from at the 
          same time.  The first month is consider carryover when 
          the second month is merged with the third month. 

     13.  Provides that the Area Office will Directly Notify 
          the Construction Resource Analysis (CRA) Group at the 
          University of Tennessee by Telephone or FAX (Page II-22). 

     14.  Changes Approval Requirements of Local Emphasis 
          Programs (Page II-30).  The Director of Compliance 
          Programs no longer has to give approval for all LEPs. 

     15.  Adds a Statement Regarding Construction Activities 
          within DOE Sites (Pages II-34 and III-38). Reference 
          is made to OSHA Instruction CPL 2.95 

     16.  Adds a NOTE Regarding Exception for Partial 
          Inspections (Page III-40).  An exception is provided 
          concerning the mandatory review of employer's injury 
          and illness records and assessment of employer's 
          programs. 

     17.  Reserves Section on Hazard Communication (Page III-41). 

     18.  Makes an Editorial Correction in the Second Line of 
          Paragraph D.8.a.(2)(b) 2 e by Striking Out "and 
          investigations" (Page III-45) 

     19.  Adds the Statement "Follow-ups will Normally be 
          Conducted within Three Years."  (Page III-46). 

     20.  Removes the Requirement to Provide Copies of 
          Standards to the Employer and Employee Representatives 
          (Page III-58). 

     21.  Replaces Material that was Inadvertently Removed by 
          CH-3, and Adds a NOTE that Lists the Nine Standards 
          which Prohibit Employee Rotation as a Means of Reducing 
          the Hazard as an Administrative Control (Pages III-74 & 
          75). 

     22.  Corrects a Discrepancy between the FOM and 29 CFR 
          1903 Regulations to State that the Area Director Shall 
          Make a Determination 15 Days after the Posting, not 15 
          Days after the Certification (Page III-79). 

     23.  Adds a Requirement for Adequate Documentation of 
          Decisions not to Pursue Criminal Investigations When 
          there is a Willful Violation Related to a Fatality 
          (Page IV-28). 

     24.  Removes Welding from the List of Primary Hazards 
          Regarding the Ventilation Standards (Page IV-34). 

     25.  Adds a Provision Stating the Smallest Proposed 
          Penalty for a Serious Violation will be $100 
          (Page VI-2). 

     26.  Removes "and history" to Clarify When NOT to Give 
          "Good Faith" (Pages VI-9 and VI-15). 

     27.  Amends Penalty Chart to Replace "Zeros" with "$100," 
          and Adds a Second NOTE (Page VI-19). 

     28.  Replaces Superseded Report Procedures with Reference 
          to CPL 2.97, Fatality/Catastrophe Reports to the 
          National Office ("Flash Reports") (Page VIII-6). 

     29.  Adds "General Duty Clause" (Page IX-1).  This 
          clarifies that a complaint can allege a serious hazard 
          that is not covered by a standard. 

     30.  Adds "such as recordkeeping" (Page IX-4).  This 
          clarifies what violations are to be considered informal 
          complaints. 

     31.  Removes Requirement to Supply Employer Copy of 
          Standards in Paragraph A.8.a. (Page IX-9). 

     32.  Removes Provisions Regarding Tenth Letter Inspections 
          (Page IX-10). 

     33.  Changes the Time Frame for Informing Complainants 
          about Delays in Issuing a Citation from 15 Working Days 
          to 30 Working Days (Page IX-11).  The paperwork 
          burden is increased because of the length of time 
          necessary to receive laboratory results is usually 
          greater than 15 working days. 

     34.  Removes Discrimination Complaints from the FOM and 
          References DIS .4B, Investigator's Manual (Page X-1). 

     35.  Clarifies and Expands the Scope, Jurisdiction, and 
          Definitions Applicable to Federal Agencies 
          (Pages XIII-1 through 4). 

     36.  Eliminates the Requirement for Federal Agencies to 
          Provide OSHA with an Establishment Safety and Health 
          Action Plan for Targeted Inspections (Page XIII-4). 

     37.  Adds Requirement under Conduct of Targeted 
          Inspections to Inspect for Violations of 29 CFR 1960 
          Citable Program Elements (Page XIII-6).  OSHA will 
          not give Federal agencies advance notice when 
          inspections will be conducted (except Federal prisons). 

     38.  Adds Requirement to Inspect for Violations of 29 CFR 
          1960 Citable Program Elements  in Fatality/Catastrophe 
          Investigations (Page XIII-6). 

     39.  Changes Inspection Time Frames for Responding to 
          Complaints to be Consistent with Private Sector (Page 
          XIII-8). 

     40.  Adds Appropriate Instructions when Responding to 
          Complaints when the Agency has a Certified Committee 
          (Page XIII-9).  Provision allows announced 
          inspections at agencies with Certified Committees. 

     41.  Adds Provisions to Investigate Reports of Safety and 
          Health Program Violations and to Cite Violations of 29 
          CFR 1960 Citable Program Elements (Page XIII-11). 

     42.  Adds New Procedure that Decentralizes the Handing of 
          Reprisal Reports to the Regional Administrator (Page 
          XIII-12). 

     43.  Clarifies and Expands Recordkeeping and Reporting 
          Requirements for Federal Agencies (Page XIII-14). 

     44.  Adds Requirement to Include Technical Assistance with 
          Complying with 29 CFR 1960 Citable Program Elements 
          (Page XIII-22). 

                               7 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     45.  Clarifies and Expands Procedures for Issuing the OSHA 
          Notice of Unsafe or Unhealthful Working Conditions, 
          OSHA-2H Form (Page XIII-23).  The procedures for 
          issuing the OSHA Notice with regard to violations of 29 
          CFR 1960 citable program elements, general duty clause, 
          and repeat violations, and the multiemployer worksite 
          policy are expanded and clarified. 

     46.  Expands Requirements for Assuring Verification of 
          Abatement (Page XIII-27). 

     47.  Clarifies Position Concerning Federal Agency Requests 
          for Petitions for Modification of Abatement Dates (Page 
          XIII-27).  Emphasizes that requests for PMAs should 
          be similar to that for the private industry in Chapter 
          III, even though Review Commission rules do not apply 
          to Federal agencies. 

     48.  Replaces Old Text with more Effective Procedures for 
          Handling Failure to Abate Situations (Page XIII-27). 

     49.  Replaces Appendix (Pages XIII-A-1 through XIII-A-8). 
          Removed old appendix that provided guidance on 
          action plans and replaced it with the citable program 
          elements. 

     50.  Adds an Index (Pages Index-1 through Index-20). 
          After 20 years the FOM now has an index! 



Joseph A. Dear 
Assistant Secretary 

DISTRIBUTION:       National, Regional, and Area Offices 
                    All Compliance Officers 
                    State Designees 
                    NIOSH Regional Program Directors 
                    7(c)(1) Project Managers 

                               8 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

CHAPTER                                                     PAGE 
                           TABLE OF CONTENTS 


I.    GENERAL RESPONSIBILITIES AND ADMINISTRATIVE PROCEDURES 

      A.  Director, Office of Field Programs.. . . . . . . . . . . . I-1 
      B.  Regional Administrator.. . . . . . . . . . . . . . . . . . I-2 
      C.  Area Director. . . . . . . . . . . . . . . . . . . . . . . I-2 
      D.  Supervisor.. . . . . . . . . . . . . . . . . . . . . . . . I-4 
      E.  Compliance Safety and Health Officer.. . . . . . . . . . . I-5 
      F.  Area Office as Full Service Resource Center. . . . . . . . I-7 
          1.    Outreach Program Plan. . . . . . . . . . . . . . . . I-7 
          2.    Regional Office Support Services.. . . . . . . . . . I-8 
          3.    Training and Education Services. . . . . . . . . . . I-9 
          4.    Referral Services. . . . . . . . . . . . . . . . . . I-10 
          5.    Other Services . . . . . . . . . . . . . . . . . . . I-11 
          6.    Public Information Policy. . . . . . . . . . . . . . I-13 

II.   COMPLIANCE PROGRAMMING 

      A.  Program Planning . . . . . . . . . . . . . . . . . . . . . II-1 
      B.  Inspection/Investigation Types . . . . . . . . . . . . . . II-1 
      C.  Inspection Scope . . . . . . . . . . . . . . . . . . . . . II-2 
      D.  Inspection Selection Criteria. . . . . . . . . . . . . . . II-2 
      E.  Inspection Priorities. . . . . . . . . . . . . . . . . . . II-3 
      F.  Inspection Scheduling. . . . . . . . . . . . . . . . . . . II-4 
          1.    Unprogrammed Inspections . . . . . . . . . . . . . . II-4 
                a.   Priorities. . . . . . . . . . . . . . . . . . . II-4 
                b.   Scope . . . . . . . . . . . . . . . . . . . . . II-4 
                c.   Followup Inspections. . . . . . . . . . . . . . II-5 
                d.   Monitoring Inspections. . . . . . . . . . . . . II-7 
                e.   Reinspection Referrals. . . . . . . . . . . . . II-9 
          2.    Programmed Inspections . . . . . . . . . . . . . . . II-9 
                a.   General . . . . . . . . . . . . . . . . . . . . II-9 
                     (1)  Policy . . . . . . . . . . . . . . . . . . II-9 
                     (2)  Description. . . . . . . . . . . . . . . . II-10 
                b.   Guidelines and Procedures . . . . . . . . . . . II-11 
                     (1)  Inspection Scheduling for General Industry 
                          (Safety and Health). . . . . . . . . . . . II-11 
                          (a)  Industry Rank Report. . . . . . . . . II-11 
                          (b)  Establishment Lists . . . . . . . . . II-12 
                               1  High Hazard Establishment Lists for 
                                  Safety . . . . . . . . . . . . . . II-12 
                               2  Low Hazard Establishment List for 
                                  Safety . . . . . . . . . . . . . . II-12 
                               3  Nonmanufacturing Establishment List 
                                  for Safety . . . . . . . . . . . . II-13 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                               4  Health Establishment List 
                                   . . . . . . . . . . . . . . . . . II-13 
                               5  Adjustments 
                                   . . . . . . . . . . . . . . . . . II-13 
                                  a Additions 
                                   . . . . . . . . . . . . . . . . . II-14 
                                  b Deletions 
                                   . . . . . . . . . . . . . . . . . II-14 
                     (1)  (c)  Inspection Register . . . . . . . . . II-16 
                          (d)  Inspection Cycle 
                               . . . . . . . . . . . . . . . . . . . II-17 
                          (e)  Inspection Scheduling . . . . . . . . II-17 
                          (f)  Deletions and Additions . . . . . . . II-20 
                     (2)  Inspection Scheduling for Construction . . II-20 
                          (a)  Inspection List . . . . . . . . . . . II-21 
                          (b)  OSHA Construction Inspection Reports 
                               . . . . . . . . . . . . . . . . . . . II-21 
                          (c)  Limitation on Frequency of Selection. II-21 
                          (d)  Scheduling Cycle. . . . . . . . . . . II-22 
                          (e)  Completion of Inspection List . . . . II-23 
                          (f)  Carryovers. . . . . . . . . . . . . . II-23 
                          (g)  Area Director Administration of 
                               Inspection List . . . . . . . . . . . II-24 
                          (h)  Health Construction Inspections . . . II-24 
                     (3)  Inspection Scheduling for Maritime . . . . II-25 
                          (a)  Maritime Industries Scheduled with General 
                               Industry Inspections. . . . . . . . . II-25 
                          (b)  Maritime Inspections Scheduled with 
                               Construction. . . . . . . . . . . . . II-25 
                          (c)  Water Transportation Services (Longshoring, 
                               Marine Terminals, Voyage Repair . . . II-25 
                               1  Inspection List 
                                   . . . . . . . . . . . . . . . . . II-26 
                               2  Numbering of List 
                                   . . . . . . . . . . . . . . . . . II-27 
                               3  Quarterly Inspection Cycle for Port 
                                  Areas. . . . . . . . . . . . . . . II-27 
                               4  Annual Inspection Cycle for 
                                  Employers. . . . . . . . . . . . . II-28 
                               5  Inspection Scheduling 
                                   . . . . . . . . . . . . . . . . . II-28 
                               6  Deletions. . . . . . . . . . . II-30 
                               7  Other Maritime Industry 
                                  Inspections. . . . . . . . . . . . II-30 
                               8  Health Maritime. . . . . . . . II-31 
                     (4)  Special Emphasis Programs. . . . . . . . . II-31 
                          (a)  Description . . . . . . . . . . . . . II-31 
                          (b)  Scheduling Inspections. . . . . . . . II-32 
                          (c)  Program Evaluation. . . . . . . . . . II-32 
                     (5)  Other Special Programs . . . . . . . . . . II-32 
      G.  Exemptions and Limitations . . . . . . . . . . . . . . . . II-35 

III.  GENERAL INSPECTION PROCEDURES 

      A.  CSHO Responsibilities. . . . . . . . . . . . . . . . . . . III-1 
      B.  Preparation. . . . . . . . . . . . . . . . . . . . . . . . III-1 
          1.    General Planning . . . . . . . . . . . . . . . . . . III-1 
          2.    Preinspection Planning . . . . . . . . . . . . . . . III-2 
          3.    Preinspection Compulsory Process . . . . . . . . . . III-2 
          4.    Inspection Materials and Equipment . . . . . . . . . III-2 
          5.    Expert Assistance. . . . . . . . . . . . . . . . . . III-3 
          6.    Safety and Health Rules of the Employer. . . . . . . III-3 
          7.    Immunization and Other Special Entrance Requirements III-4 
          8.    Personal Security Clearance. . . . . . . . . . . . . III-4 
      C.  Advance Notice of Inspections. . . . . . . . . . . . . . . III-6 
          1.    Policy . . . . . . . . . . . . . . . . . . . . . . . III-6 
          2.    Procedures . . . . . . . . . . . . . . . . . . . . . III-8 
      D.  Conduct of the Inspection. . . . . . . . . . . . . . . . . III-9 
          1.    Entry of the Workplace . . . . . . . . . . . . . . . III-9 
                a.   Time of Inspection. . . . . . . . . . . . . . . III-9 
                b.   Severe Weather Conditions . . . . . . . . . . . III-10 
                c.   Presenting Credentials. . . . . . . . . . . . . III-10 
                d.   Refusal to Permit Inspection. . . . . . . . . . III-11 
                     (1)  Refusal of Entry or Inspection . . . . . . III-11 
                     (2)  Questionable Refusal . . . . . . . . . . . III-12 
                     (3)  Employer Interference. . . . . . . . . . . III-12 
                     (4)  Administrative Subpoena. . . . . . . . . . III-12 
                     (5)  Obtaining Compulsory Process . . . . . . . III-13 
                     (6)  Compulsory Process . . . . . . . . . . . . III-17 
                     (7)  Action to be Taken Upon Receipt of Compulsory 
                          Process. . . . . . . . . . . . . . . . . . III-17 
                     (8)  Refused Entry or Interference With a Compulsory 
                          Process. . . . . . . . . . . . . . . . . . III-18 
                     (9)  Federal Marshal Assistance . . . . . . . . III-18 
                e.   Forcible Interference with Conduct of Inspection or 
                     Other Official Duties . . . . . . . . . . . . . III-18 
                f.   Release for Entry . . . . . . . . . . . . . . . III-19 
                g.   Bankrupt or Out of Business . . . . . . . . . . III-19 
                h.   Strike or Labor Dispute . . . . . . . . . . . . III-20 
                i.   No Inspection . . . . . . . . . . . . . . . . . III-20 
          2.    Employee Participation . . . . . . . . . . . . . . . III-20 
          3.    Opening Conference . . . . . . . . . . . . . . . . . III-21 
                a.   Purpose of the Inspection . . . . . . . . . . . III-21 
                b.   Health Inspections. . . . . . . . . . . . . . . III-22 
                c.   Attendance At Opening Conference. . . . . . . . III-23 
                d.   Scope . . . . . . . . . . . . . . . . . . . . . III-23 
                e.   Handouts and Additional Items . . . . . . . . . III-24 
                f.   Program Mix . . . . . . . . . . . . . . . . . . III-24 
                g.   Form Completion . . . . . . . . . . . . . . . . III-24 
                h.   Employees of Other Employers. . . . . . . . . . III-24 
                i.   Voluntary Compliance Programs . . . . . . . . . III-25 
                j.   Other Opening Conference Topics . . . . . . . . III-30 
          4.    Records Review . . . . . . . . . . . . . . . . . . . III-30 
                a.   Procedures for Determining Lost Workday Injury 
                     (LWDI) Rate . . . . . . . . . . . . . . . . . . III-30 
                b.   Results of Establishment's LWDI Rate. . . . . . III-36 
          5.    Walkaround Representatives . . . . . . . . . . . . . III-36 
                a.   Employer Representatives. . . . . . . . . . . . III-36 
                b.   Employee Representatives. . . . . . . . . . . . III-36 
          6.    Special Situations . . . . . . . . . . . . . . . . . III-37 
                a.   Preemption by Another Agency. . . . . . . . . . III-37 
                b.   Labor Relations Disputes. . . . . . . . . . . . III-38 
                c.   Expired Collective Bargaining Agreement . . . . III-38 
                d.   Employee Representatives Not Employees of the 
                     Employer. . . . . . . . . . . . . . . . . . . . III-39 
                e.   More Than One Representative. . . . . . . . . . III-39 
                f.   Disruptive Conduct. . . . . . . . . . . . . . . III-39 
                g.   Trade Secrets . . . . . . . . . . . . . . . . . III-39 
                h.   Classified Areas. . . . . . . . . . . . . . . . III-40 
                i.   Apparent Violations Observed Prior to the 
                     Walkaround. . . . . . . . . . . . . . . . . . . III-40 
                j.   Use of Tape Recorders . . . . . . . . . . . . . III-40 
          7.    Examination of Record Programs and Posting 
                Requirements . . . . . . . . . . . . . . . . . . . . III-40 
                a.   Records . . . . . . . . . . . . . . . . . . . . III-40 
                b.   Posting . . . . . . . . . . . . . . . . . . . . III-42 
                c.   Additional Information. . . . . . . . . . . . . III-42 
          8.    Walkaround Inspection. . . . . . . . . . . . . . . . III-43 
                a.   General Procedures. . . . . . . . . . . . . . . III-43 
                b.   Health Inspections. . . . . . . . . . . . . . . III-50 
                c.   Taking Photographs and/or Videotapes. . . . . . III-54 
                d.   Interviews. . . . . . . . . . . . . . . . . . . III-54 
                e.   Special Circumstances . . . . . . . . . . . . . III-57 
          9.    Closing Conference . . . . . . . . . . . . . . . . . III-58 
                a.   General . . . . . . . . . . . . . . . . . . . . III-58 
                b.   Specific. . . . . . . . . . . . . . . . . . . . III-59 
                     (1)  Citation Issued  . . . . . . . . . . . . . III-60 
                     (2)  Citation Posting . . . . . . . . . . . . . III-60 
                     (3)  Complying with Citation and Notification of 
                          Penalty. . . . . . . . . . . . . . . . . . III-61 
                     (4)  Informal Conference. . . . . . . . . . . . III-61 
                     (5)  Penalties  . . . . . . . . . . . . . . . . III-62 
                     (6)  Contesting Citation and Notification of 
                          Penalty. . . . . . . . . . . . . . . . . . III-62 
                     (7)  Abatement Action . . . . . . . . . . . . . III-64 
                     (8)  Petition for Modification of Abatement 
                          Date . . . . . . . . . . . . . . . . . . . III-64 
                     (9)  Followup Inspection. . . . . . . . . . . . III-64 
                     (10) Failure to Abate . . . . . . . . . . . . . III-65 
                     (11) False Information. . . . . . . . . . . . . III-65 
                     (12) Employee Discrimination. . . . . . . . . . III-65 
                     (13) Variance . . . . . . . . . . . . . . . . . III-65 
                     (14) SBA Loans. . . . . . . . . . . . . . . . . III-65 
                     (15) De Minimis Violations. . . . . . . . . . . III-66 
                     (16) Referral Inspection. . . . . . . . . . . . III-66 
                     (17) OSHA-funded State Consultation Services. . III-66 
                     (18) Other Agency Services and Program. . . . . III-66 
      E.  Abatement. . . . . . . . . . . . . . . . . . . . . . . . . III-67 
          1.    Period . . . . . . . . . . . . . . . . . . . . . . . III-67 
          2.    Reasonable Abatement Date. . . . . . . . . . . . . . III-67 
          3.    Abatement Periods Exceeding 30 Calendar Days . . . . III-68 
          4.    Verification of Abatement. . . . . . . . . . . . . . III-68 
          5.    Effect of Contest Upon Abatement Period. . . . . . . III-69 
          6.    Feasible Administrative, Work Practice and Engineering 
                Controls in Health Inspections . . . . . . . . . . . III-69 
          7.    Long-term Abatement Date for Implementation of 
                Feasible Engineering Controls. . . . . . . . . . . . III-72 
          8.    Multistep Abatement. . . . . . . . . . . . . . . . . III-73 
          9.    Petitions for Modification of Abatement. . . . . . . III-76 
      F.  Employer Abatement Assistance. . . . . . . . . . . . . . . III-81 
          1.    Policy . . . . . . . . . . . . . . . . . . . . . . . III-81 
          2.    Type of Assistance . . . . . . . . . . . . . . . . . III-81 
          3.    Disclaimers. . . . . . . . . . . . . . . . . . . . . III-81 
          4.    Procedures . . . . . . . . . . . . . . . . . . . . . III-81 
          5.    Services Available to Employers. . . . . . . . . . . III-82 
      G.  Informal Conferences . . . . . . . . . . . . . . . . . . . III-82 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . III-82 
          2.    Procedures . . . . . . . . . . . . . . . . . . . . . III-82 
                a.   Notification of Participants. . . . . . . . . . III-82 
                b.   Telephone Conference. . . . . . . . . . . . . . III-82 
                c.   Participants by OSHA Officials. . . . . . . . . III-83 
                d.   Conduct of the Informal Conference. . . . . . . III-84 
                e.   Decisions . . . . . . . . . . . . . . . . . . . III-85 
                f.   Failure to Abate. . . . . . . . . . . . . . . . III-85 
      H.  Followup Inspections . . . . . . . . . . . . . . . . . . . III-86 
          1.    Inspection Procedures. . . . . . . . . . . . . . . . III-86 
          2.    Failure to Abate . . . . . . . . . . . . . . . . . . III-86 
          3.    Reports. . . . . . . . . . . . . . . . . . . . . . . III-87 
          4.    Followup Files . . . . . . . . . . . . . . . . . . . III-88 
      I.  Conduct of Monitoring Inspection (PMAs and Long-Term 
          Abatement) . . . . . . . . . . . . . . . . . . . . . . . . III-88 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . III-88 
          2.    Procedures . . . . . . . . . . . . . . . . . . . . . III-88 

APPENDIX A 

      Narrative, OSHA-1A Form. . . . . . . . . . . . . . . . . . . . III-A-1 
      Industrial Hygiene Inspection Outline. . . . . . . . . . . . . III-A-6 
      Notice of Alleged Imminent Danger, OSHA-8 Form . . . . . . . . III-A-13 
      Photo Mounting Worksheet, OSHA-89 Form . . . . . . . . . . . . III-A-17 
      Note Taking Sheet, OSHA-94 Form. . . . . . . . . . . . . . . . III-A-21 
      Inspection Case File Activity Diary. . . . . . . . . . . . . . III-A-25 

IV.   VIOLATIONS 

      A.  Basis of Violations. . . . . . . . . . . . . . . . . . . . IV-1 
          1.    Standards and Regulations. . . . . . . . . . . . . . IV-1 
                a.   Definition and Application of Horizontal and Vertical 
                     Standards . . . . . . . . . . . . . . . . . . . IV-1 
                b.   Violation of Variances. . . . . . . . . . . . . IV-3 
          2.    General Duty Requirement . . . . . . . . . . . . . . IV-4 
                a.   Evaluation of Potential 5(a)(1) Situations. . . IV-4 
                b.   Discussion of 5(a)(1) Elements. . . . . . . . . IV-4 
                     (1)  A Hazard To Which Employees Were Exposed . IV-4 
                     (2)  The Hazard Must be Recognized. . . . . . . IV-7 
                     (3)  The Hazard Was Causing or Was Likely to Cause 
                          Death or Serious Physical Harm . . . . . . IV-9 
                     (4)  The Hazard May Be Corrected by a Feasible and 
                          Useful Method. . . . . . . . . . . . . . . IV-10 
                c.   Use of the General Duty Clause. . . . . . . . . IV-11 
                d.   Limitations on Use of the General Duty Clause . IV-12 
                e.   Classification of Violations Cited Under the General 
                     Duty Clause . . . . . . . . . . . . . . . . . . IV-14 
                f.   Procedures for Implementation of Section 5(a)(1) 
                     Enforcement . . . . . . . . . . . . . . . . . . IV-15 
                g.   Reporting Hazards Not Covered by a Standard . . IV-16 
          3.    Employee Exposure. . . . . . . . . . . . . . . . . . IV-16 
                a.   Definition of Employee. . . . . . . . . . . . . IV-16 
                b.   Observed Exposure . . . . . . . . . . . . . . . IV-16 
                c.   Unobserved Exposure . . . . . . . . . . . . . . IV-16 
                d.   Documenting Employee Exposure . . . . . . . . . IV-17 
          4.    Regulatory Requirements. . . . . . . . . . . . . . . IV-18 
          5.    Hazard Communication . . . . . . . . . . . . . . . . IV-18 
      B.  Types of Violations. . . . . . . . . . . . . . . . . . . . IV-18 
          1.    Serious Violations . . . . . . . . . . . . . . . . . IV-18 
          2.    Other-than-serious Violations. . . . . . . . . . . . IV-24 
          3.    Willful Violations . . . . . . . . . . . . . . . . . IV-24 
          4.    Criminal/Willful Violations. . . . . . . . . . . . . IV-25 
          5.    Repeated Violations. . . . . . . . . . . . . . . . . IV-28 
          6.    De Minimis Violations. . . . . . . . . . . . . . . . IV-31 
      C.  Health Standard Violations . . . . . . . . . . . . . . . . IV-32 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . IV-32 
          2.    Citation of Ventilation Standards. . . . . . . . . . IV-32 
          3.    Violations of the Noise Standard . . . . . . . . . . IV-34 
          4.    Violations of the Respirator Standard. . . . . . . . IV-36 
          5.    Violations of Air Contaminant Standards 
                (29 CFR 1910.1000 Series). . . . . . . . . . . . . . IV-37 
          6.    Classification of Violations of Air Contaminant 
                Standards. . . . . . . . . . . . . . . . . . . . . . IV-38 
                a.   Principles of Classification. . . . . . . . . . IV-38 
                b.   Effect of Respirator Protection Factors . . . . IV-39 
                c.   Additive and Synergistic Effects. . . . . . . . IV-39 
          7.    Guidelines for Issuing Citations of Air Contaminant 
                Violations. (Reserved) . . . . . . . . . . . . . . . IV-39 
          8.    Violations of the Hazard Communication Standard 
                (Reserved). . . . . . . . . . . . . . . . . . . . . .IV-39 
          9.    Citing Improper Personal Hygiene Practices . . . . . IV-39 
          10.   Classification of Violations for the New Health 
                Standards  . . . . . . . . . . . . . . . . . . . . . IV-41 

V.    CITATIONS 

      A.  Pre-Citation Consultation. . . . . . . . . . . . . . . . . V-1 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . V-1 
          2.    Procedures . . . . . . . . . . . . . . . . . . . . . V-1 
      B.  Writing Citations  . . . . . . . . . . . . . . . . . . . . V-2 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . V-2 
          2.    Specific Instructions  . . . . . . . . . . . . . . . V-2 
                a.   Standards and Regulations . . . . . . . . . . . V-2 
                b.   SAVEs Manual. . . . . . . . . . . . . . . . . . V-3 
                c.   Alternative Standards . . . . . . . . . . . . . V-3 
                d.   Ordering of Violations on the Citation. . . . . V-3 
      C.  Grouping and Combining of Violations . . . . . . . . . . . V-3 
          1.    Definitions. . . . . . . . . . . . . . . . . . . . . V-3 
          2.    Combining. . . . . . . . . . . . . . . . . . . . . . V-4 
          3.    Grouping . . . . . . . . . . . . . . . . . . . . . . V-5 
                a.   When to Group . . . . . . . . . . . . . . . . . V-5 
                b.   When Not to Group . . . . . . . . . . . . . . . V-5 
      D.  Employer/Employee Responsibilities . . . . . . . . . . . . V-6 
          1.    Section 5(b) of the Act. . . . . . . . . . . . . . . V-6 
          2.    Employee Refusal to Comply . . . . . . . . . . . . . V-7 
      E.  Affirmative Defenses . . . . . . . . . . . . . . . . . . . V-7 
          1.    Definition . . . . . . . . . . . . . . . . . . . . . V-7 
          2.    Burden of Proof. . . . . . . . . . . . . . . . . . . V-7 
          3.    Explanations . . . . . . . . . . . . . . . . . . . . V-7 
      F.  Issuing Citations - Special Circumstances  . . . . . . . . V-9 
          1.    Follow-up Inspections. . . . . . . . . . . . . . . . V-9 
          2.    Multi-Employer Worksites . . . . . . . . . . . . . . V-9 
          3.    Violation by Violation . . . . . . . . . . . . . . . V-10 
      G.  Amending or Withdrawing Citation and Notification 
          of Penalty in Part or In Its Entirety. . . . . . . . . . . V-10 
          1.    Citation Revision Justified. . . . . . . . . . . . . V-10 
          2.    Citation Revision Not Justified. . . . . . . . . . . V-11 
          3.    Procedures for Amending or Withdrawing Citations . . V-11 
      H.  Settlement of Cases By Area Directors. . . . . . . . . . . V-12 
          1.    General (Section 17 Designation) . . . . . . . . . . V-12 
          2.    Pre-Contest Settlement (Informal Settlement 
                Agreement) . . . . . . . . . . . . . . . . . . . . . V-14 
          3.    Post-Contest Settlement (Formal Settlement 
                Agreement) . . . . . . . . . . . . . . . . . . . . . V-16 
          4.    Procedures for Preparing the Informal Settlement 
                Agreement  . . . . . . . . . . . . . . . . . . . . . V-17 
          5.    Corporate-wide Settlement Agreements . . . . . . . . V-18 

APPENDIX  (SAVEs and AVDs) 

      A.  General. . . . . . . . . . . . . . . . . . . . . . . . . . V-17 
      B.  SAVEs Manual . . . . . . . . . . . . . . . . . . . . . . . V-17 
          1.    Purpose. . . . . . . . . . . . . . . . . . . . . . . V-17 
          2.    Scope. . . . . . . . . . . . . . . . . . . . . . . . V-17 
          3.    General Instructions . . . . . . . . . . . . . . . . V-18 
          4.    SAVEs Options. . . . . . . . . . . . . . . . . . . . V-18 
          5.    Violations Without SAVEs . . . . . . . . . . . . . . V-18 
      C.  Examples . . . . . . . . . . . . . . . . . . . . . . . . . V-19 
      D.  Citing Health Violations . . . . . . . . . . . . . . . . . V-25 
      E.  Examples of Health SAVEs . . . . . . . . . . . . . . . . . V-25 

VI.   PENALTIES 

      A.  General Policy . . . . . . . . . . . . . . . . . . . . . . VI-1 
      B.  Civil Penalties. . . . . . . . . . . . . . . . . . . . . . VI-1 
          1.    Type of Violation as a Factor.   . . . . . . . . . . VI-1 
          2.    Statutory Authority. . . . . . . . . . . . . . . . . VI-1 
          3.    Minimum Penalty. . . . . . . . . . . . . . . . . . . VI-2 
          4.    Penalty Factors  . . . . . . . . . . . . . . . . . . VI-2 
          5.    Gravity of Violation . . . . . . . . . . . . . . . . VI-2 
          6.    Severity Assessment  . . . . . . . . . . . . . . . . VI-3 
          7.    Probability Assessment . . . . . . . . . . . . . . . VI-3 
          8.    Gravity-based Penalty. . . . . . . . . . . . . . . . VI-6 
          9.    Gravity Calculations for Combined or Grouped 
                Violations . . . . . . . . . . . . . . . . . . . . . VI-7 
          10.   Penalty Adjustment Factors . . . . . . . . . . . . . VI-8 
          11.   Imminent Danger Situations . . . . . . . . . . . . . VI-11 
          12.   Effect on Penalties if Employer Immediately Corrects or 
                Initiates  Corrective Action . . . . . . . . . . . . VI-11 
          13.   Failure to Abate . . . . . . . . . . . . . . . . . . VI-11 
          14.   Repeated Violations. . . . . . . . . . . . . . . . . VI-14 
          15.   Willful Violations . . . . . . . . . . . . . . . . . VI-15 
          16.   Violation of 29 CFR 1903 and 1904 Regulatory 
                Requirements . . . . . . . . . . . . . . . . . . . . VI-15 
                Table VI-1 (PENALTY TABLES). . . . . . . . . . . . . VI-19 
      C.  Criminal Penalties . . . . . . . . . . . . . . . . . . . . VI-20 
      D.  Handling Monies Received from Employers  . . . . . . . . . VI-20 
          1.    Responsibility of Area Director. . . . . . . . . . . VI-20 
          2.    Receiving Payments . . . . . . . . . . . . . . . . . VI-20 
                a.   Methods of Payment. . . . . . . . . . . . . . . VI-20 
                b.   Identifying Payment . . . . . . . . . . . . . . VI-20 
                c.   Adjustments to Payments . . . . . . . . . . . . VI-21 
                d.   Incorrect, Unhonored or Foreign Payments. . . . VI-21 
                e.   Endorsing Payments. . . . . . . . . . . . . . . VI-22 
                f.   Depositing Payments . . . . . . . . . . . . . . VI-22 
                g.   Records . . . . . . . . . . . . . . . . . . . . VI-22 
          3.    Returning Penalty Payments . . . . . . . . . . . . . VI-23 
      E.  Debt Collection Procedures . . . . . . . . . . . . . . . . VI-23 
          1.    Policy . . . . . . . . . . . . . . . . . . . . . . . VI-23 
          2.    Time Allowed for Payment of Penalties. . . . . . . . VI-23 
          3.    Guidance for Determining Final Dates of 
                Settlements and Review Commission Orders . . . . . . VI-24 
          4.    Notification Procedures (First Demand Letter)  . . . VI-25 
          5.    Notification of Overdue Debt (Second Demand Letter). VI-25 
          6.    Assessment of Additional Charges . . . . . . . . . . VI-26 
          7.    Assessment Procedures. . . . . . . . . . . . . . . . VI-26 
          8.    Application of Payments. . . . . . . . . . . . . . . VI-28 
          9.    Uncollectible Penalties. . . . . . . . . . . . . . . VI-28 
          10.   National Office Debt Collection Procedures . . . . . VI-28 
          11.   Referral of an Uncollected Debt to the Solicitor . . VI-29 
          12.   Compromise of Debts Over $100,000. . . . . . . . . . VI-30 

VII.  IMMINENT DANGER 

      A.  General. . . . . . . . . . . . . . . . . . . . . . . . . . VII-1 
          1.    Definition . . . . . . . . . . . . . . . . . . . . . VII-1 
          2.    Requirements . . . . . . . . . . . . . . . . . . . . VII-1 
      B.  Preinspection Procedures for Handling Imminent Danger 
          Situations . . . . . . . . . . . . . . . . . . . . . . . . VII-1 
          1.    When an Imminent Danger Report Is Received by the 
                Field. . . . . . . . . . . . . . . . . . . . . . . . VII-1 
          2.    Technical Considerations . . . . . . . . . . . . . . VII-2 
          3.    Scheduling . . . . . . . . . . . . . . . . . . . . . VII-3 
      C.  Inspection . . . . . . . . . . . . . . . . . . . . . . . . VII-3 
          1.    Scope. . . . . . . . . . . . . . . . . . . . . . . . VII-3 
          2.    Procedures . . . . . . . . . . . . . . . . . . . . . VII-3 
                a.   Advance Notice. . . . . . . . . . . . . . . . . VII-3 
                b.   Refusal to Permit Inspection. . . . . . . . . . VII-4 
                c.   Preemption Question . . . . . . . . . . . . . . VII-4 
          3.    Elimination of the Imminent Danger . . . . . . . . . VII-4 
                a.   Voluntary Elimination of the Imminent Danger. . VII-4 
                     (1)  What Constitutes Voluntary Elimination . . VII-4 
                     (2)  Action Where Voluntary Elimination Is 
                          Accomplished . . . . . . . . . . . . . . . VII-5 
                b.   Action Where Voluntary Elimination Is Not 
                     Accomplished. . . . . . . . . . . . . . . . . . VII-6 
          4.    Issuing Notice of Alleged Imminent Danger. . . . . . VII-6 
          5.    Reporting the Issuance of Imminent Danger Notices 
                (OSHA-8 Form). . . . . . . . . . . . . . . . . . . . VII-7 
      D.  Citations and Proposed Penalties . . . . . . . . . . . . . VII-7 
          1.    Citations and Penalties. . . . . . . . . . . . . . . VII-7 
          2.    Effect of Court Action . . . . . . . . . . . . . . . VII-7 
      E.  Followup Inspection. . . . . . . . . . . . . . . . . . . . VII-8 
          1.    Court Action . . . . . . . . . . . . . . . . . . . . VII-8 
          2.    No Court Action. . . . . . . . . . . . . . . . . . . VII-8 
          3.    Immediate Correction . . . . . . . . . . . . . . . . VII-8 
      F.  Removal of Imminent Danger Notice. . . . . . . . . . . . . VII-8 

VIII. FATALITY/CATASTROPHE INVESTIGATIONS 

      A.  General. . . . . . . . . . . . . . . . . . . . . . . . . . VIII-1 
          1.    Policy . . . . . . . . . . . . . . . . . . . . . . . VIII-1 
          2.    Definitions  . . . . . . . . . . . . . . . . . . . . VIII-1 
          3.    Fatality/Catastrophe Investigations  . . . . . . . . VIII-1 
      B.  Action . . . . . . . . . . . . . . . . . . . . . . . . . . VIII-2 
          1.    Preinvestigation Activities. . . . . . . . . . . . . VIII-2 
                a.   Area Director . . . . . . . . . . . . . . . . . VIII-2 
                b.   Preliminary Investigation . . . . . . . . . . . VIII-2 
                c.   Investigation Team. . . . . . . . . . . . . . . VIII-2 
                d.   Selection of CSHO . . . . . . . . . . . . . . . VIII-2 
                e.   Equipment . . . . . . . . . . . . . . . . . . . VIII-3 
                f.   Other Agency. . . . . . . . . . . . . . . . . . VIII-3 
          2.    Investigation Procedures . . . . . . . . . . . . . . VIII-3 
                a.   Scope . . . . . . . . . . . . . . . . . . . . . VIII-3 
                b.   Inspection Strategy When a Comprehensive Inspection Is 
                     To Be Performed . . . . . . . . . . . . . . . . VIII-3 
                c.   Abbreviated Opening Conference. . . . . . . . . VIII-3 
                d.   Families of Victims . . . . . . . . . . . . . . VIII-4 
                e.   Criminal. . . . . . . . . . . . . . . . . . . . VIII-6 
      C.  Reports    Removed.  Refer to OSHA Instruction 
                     CPL 2.97. . . . . . . . . . . . . . . . . . . . VIII-6 
      D.  Special Situations . . . . . . . . . . . . . . . . . . . . VIII-6 
          1.    Preemption . . . . . . . . . . . . . . . . . . . . . VIII-6 
                a.   General . . . . . . . . . . . . . . . . . . . . VIII-6 
                b.   Agency Cooperation. . . . . . . . . . . . . . . VIII-7 
          2.    Use of Expert Assistance . . . . . . . . . . . . . . VIII-7 
                a.   National Office Contact . . . . . . . . . . . . VIII-7 
                b.   Choice of Experts . . . . . . . . . . . . . . . VIII-7 
                c.   Other Federal Agency. . . . . . . . . . . . . . VIII-8 
                d.   Consultants . . . . . . . . . . . . . . . . . . VIII-8 
                e.   Legal Advice. . . . . . . . . . . . . . . . . . VIII-8 
          3.    Rescue Operations. . . . . . . . . . . . . . . . . . VIII-8 
                a.   Consultation. . . . . . . . . . . . . . . . . . VIII-8 
                b.   Rescue Operations . . . . . . . . . . . . . . . VIII-8 
                c.   Application of Standards. . . . . . . . . . . . VIII-8 
                d.   Emergency Situations. . . . . . . . . . . . . . VIII-9 
          4.    Public Information Policy. . . . . . . . . . . . . . VIII-9 
                a.   Area Director . . . . . . . . . . . . . . . . . VIII-9 
                b.   Information Officer . . . . . . . . . . . . . . VIII-9 
                c.   Other Officials . . . . . . . . . . . . . . . . VIII-9 

IX.   COMPLAINTS AND REFERRALS 

      A.  Complaints . . . . . . . . . . . . . . . . . . . . . . . . IX-1 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . IX-1 
                a.   Agency Response . . . . . . . . . . . . . . . . IX-1 
                b.   Complainant Identity. . . . . . . . . . . . . . IX-1 
          2.    Definitions. . . . . . . . . . . . . . . . . . . . . IX-1 
                a.   Complaint . . . . . . . . . . . . . . . . . . . IX-1 
                b.   Employee. . . . . . . . . . . . . . . . . . . . IX-2 
                c.   Representative of Employees . . . . . . . . . . IX-2 
                d.   Formal Complaint. . . . . . . . . . . . . . . . IX-2 
                e.   Nonformal Complaint . . . . . . . . . . . . . . IX-3 
          3.    Receiving Complaints . . . . . . . . . . . . . . . . IX-4 
          4.    Evaluating Complaints. . . . . . . . . . . . . . . . IX-5 
          5.    Information Needed for Complaint Evaluation  . . . . IX-6 
                a.   Taking Complaints . . . . . . . . . . . . . . . IX-6 
                b.   Additional Information. . . . . . . . . . . . . IX-6 
          6.    Responding to Complaints Alleging Imminent Danger 
                Conditions . . . . . . . . . . . . . . . . . . . . . IX-8 
          7.    Responding to Formal Complaints. . . . . . . . . . . IX-8 
                a.   Determination . . . . . . . . . . . . . . . . . IX-8 
                b.   Priorities for Responding by Inspections to Formal 
                     Complaints. . . . . . . . . . . . . . . . . . . IX-8 
          8.    Responding to Nonformal Complaints . . . . . . . . . IX-9 
                a.   Responding by Letter to Nonformal Complaints. . IX-9 
                b.   Responding by Inspection to Nonformal 
                     Complaints. . . . . . . . . . . . . . . . . . . IX-9 
          9.    Scope of Inspection. . . . . . . . . . . . . . . . . IX-10 
          10.   Procedures . . . . . . . . . . . . . . . . . . . . . IX-10 
                a.   Copy of the Complaint . . . . . . . . . . . . . IX-10 
                b.   Identity of Complainant . . . . . . . . . . . . IX-11 
                c.   Walkaround Rights . . . . . . . . . . . . . . . IX-11 
                d.   Results of Inspection to Complainant. . . . . . IX-11 
                e.   Notification of Delays. . . . . . . . . . . . . IX-11 
                f.   Citation Not Warranted. . . . . . . . . . . . . IX-11 
                g.   Communication to Complainant. . . . . . . . . . IX-12 
      B.  Referrals. . . . . . . . . . . . . . . . . . . . . . . . . IX-12 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . IX-12 
          2.    Definitions. . . . . . . . . . . . . . . . . . . . . IX-12 
          3.    Procedures . . . . . . . . . . . . . . . . . . . . . IX-15 

X.    DISCRIMINATION COMPLAINTS 

          Removed.  Refer to OSHA Instruction DIS .4B 

XI.   TEMPORARY LABOR CAMP INSPECTIONS 

      A.  General. . . . . . . . . . . . . . . . . . . . . . . . . . XI-1 
          1.    Background . . . . . . . . . . . . . . . . . . . . . XI-1 
          2.    Definitions. . . . . . . . . . . . . . . . . . . . . XI-1 
      B.  Enforcement of Temporary Labor Camp Standards. . . . . . . XI-1 
          1.    Choice of Standards. . . . . . . . . . . . . . . . . XI-1 
          2.    Informing Employers  . . . . . . . . . . . . . . . . XI-2 
      C.  Migrant Camp Inspection Procedures . . . . . . . . . . . . XI-2 
          1.    Targeted Inspections . . . . . . . . . . . . . . . . XI-2 
          2.    Regional Liaison with Other Agencies . . . . . . . . XI-2 
          3.    Referrals and Complaints . . . . . . . . . . . . . . XI-3 
          4.    Worker Occupied Housing. . . . . . . . . . . . . . . XI-3 
          5.    Primary Concern. . . . . . . . . . . . . . . . . . . XI-3 
          6.    Dimensions . . . . . . . . . . . . . . . . . . . . . XI-4 
      D.  Documentation for Migrant Housing Inspections  . . . . . . XI-4 

XII.  CONSTRUCTION 

      A.  General CSHO Responsibilities. . . . . . . . . . . . . . . XII-1 
      B.  Standards. . . . . . . . . . . . . . . . . . . . . . . . . XII-1 
          1.    Applicability  . . . . . . . . . . . . . . . . . . . XII-1 
          2.    Enforcement  . . . . . . . . . . . . . . . . . . . . XII-2 
      C.  Employer Worksite. . . . . . . . . . . . . . . . . . . . . XII-2 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . XII-2 
          2.    Beyond Single Area Office. . . . . . . . . . . . . . XII-2 
          3.    Administrative Convenience . . . . . . . . . . . . . XII-2 
      D.  Advance Notice . . . . . . . . . . . . . . . . . . . . . . XII-2 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . XII-2 
          2.    Authorized . . . . . . . . . . . . . . . . . . . . . XII-2 
      E.  Entry of the Workplace . . . . . . . . . . . . . . . . . . XII-3 
          1.    Severe Weather Conditions. . . . . . . . . . . . . . XII-3 
          2.    Right to Enter--Refusal to Permit Inspection . . . . XII-3 
          3.    Opening Conference . . . . . . . . . . . . . . . . . XII-3 
                a.   Subcontractors. . . . . . . . . . . . . . . . . XII-3 
                b.   Employee Representatives. . . . . . . . . . . . XII-3 
                c.   Other Agency. . . . . . . . . . . . . . . . . . XII-4 
                d.   Closing Conference. . . . . . . . . . . . . . . XII-4 
                e.   Responsibilities for Common Services. . . . . . XII-4 
                f.   Complaints. . . . . . . . . . . . . . . . . . . XII-4 
          4.    Selecting Employer and Employee Representatives  . . XII-4 
                a.   Authorized Representative . . . . . . . . . . . XII-4 
                b.   Employee Interviews . . . . . . . . . . . . . . XII-5 
                c.   Walkaround Provisions . . . . . . . . . . . . . XII-5 
                d.   Too Many Representatives. . . . . . . . . . . . XII-5 
      F.  Closing Conference . . . . . . . . . . . . . . . . . . . . XII-6 
          1.    General. . . . . . . . . . . . . . . . . . . . . . . XII-6 
          2.    Contractor Names and Addresses . . . . . . . . . . . XII-6 
      G.  Citations and Penalties. . . . . . . . . . . . . . . . . . XII-6 
          1.    Mailing. . . . . . . . . . . . . . . . . . . . . . . XII-6 
          2.    Where to Post Citations  . . . . . . . . . . . . . . XII-6 

XIII. FEDERAL AGENCY SAFETY AND HEALTH PROGRAMS 

      A.  Scope. . . . . . . . . . . . . . . . . . . . . . . . . . . XIII-1 
          1.    Statutory Requirements . . . . . . . . . . . . . . . XIII-1 
          2.    Jurisdiction . . . . . . . . . . . . . . . . . . . . XIII-1 
          3.    General Guidance . . . . . . . . . . . . . . . . . . XIII-2 
          4.    Definitions. . . . . . . . . . . . . . . . . . . . . XIII-3 
          5.    References . . . . . . . . . . . . . . . . . . . . . XIII-4 
      B.  Compliance . . . . . . . . . . . . . . . . . . . . . . . . XIII-4 
          1.    Targeted Inspections . . . . . . . . . . . . . . . . XIII-4 
                a.   Targeting List. . . . . . . . . . . . . . . . . XIII-5 
                b.   Special Emphasis Targeting. . . . . . . . . . . XIII-6 
                c.   Scheduling of Targeted Inspections. . . . . . . XIII-6 
                d.   Conduct of Targeted Inspections . . . . . . . . XIII-6 
          2.    Fatality/Catastrophe Investigations  . . . . . . . . XIII-6 
                a.   Excluded Agencies . . . . . . . . . . . . . . . XIII-6 
                b.   Receipt of Fatality/Catastrophe Reports . . . . XIII-6 
                c.   Agency Investigation. . . . . . . . . . . . . . XIII-7 
                d.   OSHA Investigation Decision . . . . . . . . . . XIII-7 
          3.    Reports of Unsafe or Unhealthful Working Conditions 
                (Complaints) . . . . . . . . . . . . . . . . . . . . XIII-7 
                a.   Receipt and Recording of Complaints . . . . . . XIII-7 
                b.   Responding to Complaints. . . . . . . . . . . . XIII-8 
                c.   Responding to Complaints When the Agency Has 
                     Certified Committees. . . . . . . . . . . . . . XIII-9 
                d.   Responding to Complaints When OSHA Does Not 
                     Have Authority. . . . . . . . . . . . . . . . . XIII-11 
          4.    Reports of Safety and Health Program Violations. . . XIII-11 
          5.    Reports of Reprisal. . . . . . . . . . . . . . . . . XIII-12 
          6.    Refusal of Entry . . . . . . . . . . . . . . . . . . XIII-13 
          7.    Warrants/Subpoenas . . . . . . . . . . . . . . . . . XIII-13 
          8.    Recordkeeping and Reporting Requirements . . . . . . XIII-14 
                a.   Occupational Injury/illness Logs (OSHA Logs). . XIII-14 
                b.   OWCP Compensation Forms . . . . . . . . . . . . XIII-14 
      C.  Evaluation . . . . . . . . . . . . . . . . . . . . . . . . XIII-14 
          1.    Purpose. . . . . . . . . . . . . . . . . . . . . . . XIII-14 
          2.    Time Frames. . . . . . . . . . . . . . . . . . . . . XIII-15 
          3.    National Office Responsibilities . . . . . . . . . . XIII-16 
          4.    Regional/Area Office Responsibilities for 
                Evaluations  . . . . . . . . . . . . . . . . . . . . XIII-18 
      D.  Agency Technical Assistance Requests (ATARS) . . . . . . . XIII-22 
      E.  Notice of Unsafe or Unhealthful Working Conditions, 
          OSHA-2H Form, (OSHA Notice)  . . . . . . . . . . . . . . . XIII-23 
          1.    Issuance of OSHA Notice  . . . . . . . . . . . . . . XIII-23 
          2.    Cover Letter . . . . . . . . . . . . . . . . . . . . XIII-25 
      F.  Informal Conference Procedures . . . . . . . . . . . . . . XIII-26 
      G.  Verification of Abatement. . . . . . . . . . . . . . . . . XIII-27 
      H.  Petitions for Modification of Abatement Dates (PMAs) . . . XIII-27 
      I.  Failure-to-Abate . . . . . . . . . . . . . . . . . . . . . XIII-27 

APPENDIX A  29 CFR 1960 Citable Program Elements 
            . . . . . . . . . . . . . . . . . . . . . . . . XIII-A-1 

XIV.  DISCLOSURE 

      A.  Policy and Procedures. . . . . . . . . . . . . . . . . . . XIV-1 
          1.    Policy . . . . . . . . . . . . . . . . . . . . . . . XIV-1 
          2.    Procedures . . . . . . . . . . . . . . . . . . . . . XIV-1 
      B.  Specific Guidelines. . . . . . . . . . . . . . . . . . . . XIV-1 
          1.    Enforcement Proceedings. . . . . . . . . . . . . . . XIV-1 
          2.    Disclosability of Records. . . . . . . . . . . . . . XIV-1 
          3.    Requests for Records . . . . . . . . . . . . . . . . XIV-2 
          4.    Disclosable Information on Case File Forms . . . . . XIV-2 
          5.    Nondisclosable Information on Case File Forms. . . . XIV-5 
          6.    Information Which May be Exempt from Disclosure 
                in Whole or in Part on Case File Forms . . . . . . . XIV-7 
          7.    Disclosure of Witnesses' Statements. . . . . . . . . XIV-11 
          8.    Medical Records. . . . . . . . . . . . . . . . . . . XIV-11 
          9.    State Plan Monitoring Files. . . . . . . . . . . . . XIV-11 
          10.   Retention of FOIA Files. . . . . . . . . . . . . . . XIV-12 
          11.   Waiver of Fees . . . . . . . . . . . . . . . . . . . XIV-12 

XV.   REVIEW COMMISSION 

      A.  General. . . . . . . . . . . . . . . . . . . . . . . . . . XV-1 
      B.  Transmittal of Notice of Contest and Other Documents 
          to Commission. . . . . . . . . . . . . . . . . . . . . . . XV-1 
          1.    Notice of Contest  . . . . . . . . . . . . . . . . . XV-1 
          2.    Documents to Executive Secretary . . . . . . . . . . XV-2 
                a.   All Notices of Contest  . . . . . . . . . . . . XV-2 
                b.   All Contested Citations and Notices of Proposed Penalty 
                     or Notice of Failure to Abate Issued in the 
                     Case. . . . . . . . . . . . . . . . . . . . . . XV-2 
                c.   Certification Form. . . . . . . . . . . . . . . XV-2 
                d.   Pamphlet or OSHA Forms. . . . . . . . . . . . . XV-3 
          3.    Petitions for Modification of Abatement Dates (PMAs) XV-4 
      C.  Transmittal of File to Regional Solicitor  . . . . . . . . XV-4 
          1.    Notification of The Regional Solicitor . . . . . . . XV-4 
          2.    Information Required in Case File. . . . . . . . . . XV-4 
          3.    Parties Served Notice of Contest . . . . . . . . . . XV-5 
          4.    Other Legal Documents. . . . . . . . . . . . . . . . XV-6 
          5.    Subpoena . . . . . . . . . . . . . . . . . . . . . . XV-6 
      D.  Communications with Commission Employees . . . . . . . . . XV-6 
      E.  Dealings With Parties While Proceedings Are Pending 
          Before the Commission. . . . . . . . . . . . . . . . . . . XV-6 
          1.    Clearance with Regional Solicitor. . . . . . . . . . XV-6 
          2.    Inquiries. . . . . . . . . . . . . . . . . . . . . . XV-6 


OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

F.  4.    b.   The specific offerings of each of the resources identified 
               shall be determined so that proper use may be made of them. 

          c.   Lists of these resources with names of contact persons, 
               addresses and telephone numbers shall be developed and kept 
               on file.  They shall be updated at least once a year. 

          d.   Caution shall be exercised in making referrals to particular 
               consultants or other private safety and health services or 
               equipment distributors.  OSHA does not wish to promote or to 
               give the appearance of promoting specific enterprises.  There 
               are organizations to which interested parties can be 
               referred for lists of such businesses. 

          e.   In State plan Area Offices, referral services would, of 
               course, include referral to available State plan program 
               services, such as enforcement and other compliance services, 
               and training and education. 

     5.   Other Services. 

          a.   Voluntary Compliance Programs.  OSHA offers a large 
               variety of voluntary compliance programs which employers shall 
               be encouraged to investigate and in which to participate, when 
               appropriate. 

               (1)  Voluntary Protection Programs.  The Area Director and 
                    staff shall be familiar with the various VPP 
                    possibilities and should encourage and assist employers 
                    who may be apt participants in such programs. 

               (2)  Labor/Management Programs.  The Area Director and 
                    staff shall also be familiar with programs being 
                    conducted.  While potential participants in such programs 
                    may be limited, appropriate employers shall be 
                    encouraged and assisted to develop a program for 
                    consideration. 

          b.   Abatement Assistance.  It is OSHA policy to offer 
               assistance in every feasible manner toward the removal of 
               safety or health hazards from the workplace.  Such assistance 
               shall be offered to any interested party as deemed appropriate 
               and feasible by the Area Director in consultation with the 
               Regional Administrator.  Abatement assistance may be offered 
               in connection with an enforcement inspection or independently 
               of such an inspection. 

               (1)  When connected with citations issued as a result of an 
                    inspection, abatement assistance shall be governed by 
                    the guidelines in the FOM, Chapter III, F. 

               (2)  When no inspection is involved, OSHA shall offer any 
                    appropriate off-site assistance in removing hazards from 
                    the workplace. 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (a)  Employers and employee representatives shall be 
                         encouraged to seek such assistance whenever it could 
                         be helpful. 

                    (b)  The offering of such assistance shall be a part of 
                         the outreach program plan developed by each Area 
                         Director.  The means of making known OSHA's policy 
                         of offering hazard removal assistance shall be 
                         determined as a part of that program plan. 

                    NOTE:     Full Service Area Office assistance is 
                              appropriate when notice of an unsafe or 
                              unhealthful working condition comes to the 
                              Area Director's attention in an establishment 
                              otherwise exempt from enforcement activity by 
                              virtue of an industry exemption under the 
                              Appropriations Act.  (See OSHA Instruction CPL 
                              2.51H, or the most current version.)  For 
                              example, if a nonformal complaint or a referral 
                              is received for such an establishment, it would 
                              be appropriate to write a letter to the 
                              employer noting the allegation, outlining the 
                              requirements of OSHA standards, suggesting 
                              voluntary abatement action and either offering 
                              offsite abatement assistance or informing the 
                              employer of consultation services available. 

               (3)  Onsite consultation services shall be made available to 
                    Federal agencies which request such assistance.  (See 
                    Chapter XIII.) 

          c.   Other Technical Services.  It is OSHA policy to offer 
               technical assistance whenever appropriate. 

               (1)  Such services shall be available to any interested party 
                    within the Area Office community.  They shall not be 
                    limited only to employers covered by the OSH Act. 

               (2)  The Area Office may loan out selected technical equipment 
                    on a limited basis to other Federal agencies, State 
                    program administrators, and OSHA contractors, such as 
                    7(c)(1) consultation managers, provided that the 
                    borrowers are trained in the use of the equipment, 
                    for the purpose of conducting initial monitoring to 
                    identify potential health hazards, emergency monitoring, 
                    single case monitoring when processes have been changed, 
                    or for other legitimate purposes.  Loans of equipment for 
                    routine monitoring are not feasible. 

               (3)  Guidelines shall be developed in each Region governing 
                    the lending policies and procedures to be followed in the 
                    Area Office.  Such policies and procedures shall include 
                    the following national guidelines: 

                                  I-12 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                             CHAPTER II 

                        COMPLIANCE PROGRAMMING 

A.   Program Planning. 

     1.   Purpose.  Compliance Programming provides general guidelines 
          to the Regional Administrator and Area Director in planning 
          compliance operations and related activities and instructions 
          for their implementation. 

     2.   Primary Consideration.  The primary consideration in 
          conducting compliance operations is the attainment of maximum 
          effective inspection coverage.  To achieve this goal, the 
          guidelines in this chapter shall be used for scheduling 
          inspections. 

B.   Inspection/Investigation Types. 

     1.   Unprogrammed.  Inspections scheduled in response to alleged 
          hazardous working conditions that have been identified at a 
          specific worksite are unprogrammed.  This type of inspection 
          responds to imminent dangers, fatalities/catastrophes, complaints 
          and referrals.  It also includes followup and monitoring 
          inspections scheduled by the Area Office. 

          NOTE:     This category includes all employers 
                    directly affected by the subject of the 
                    unprogrammed activity. 

     2.   Unprogrammed Related.  Inspections of employers at 
          multi-employer worksites whose operations are not 
          directly affected by the subject of the conditions 
          identified in the  complaint, accident, or referral are 
          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.  Inspections of worksites which have 
          been scheduled based upon objective or neutral 
          selection criteria are programmed.  The worksites are 
          selected according to national scheduling plans for 
          safety and for health or special emphasis programs. 

     4.   Programmed Related.  Inspections of employers at 
          multi-employer worksites whose activities were not 
          included in the programmed assignment such as a low 
          hazard employer at a worksite where programmed 
          inspections are being conducted for all high hazard 
          employers.  All high hazard employers at the 
          worksite shall normally be included in the programmed 
          inspections.   (See Chapter III, D.3.h.(1).) 

                                  II-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

C.   Inspection Scope.  Inspections, either programmed or 
     unprogrammed, may fall into one of two categories depending 
     on the scope of the inspection: 

     1.   Comprehensive.  A substantially complete inspection 
          of the potentially high hazard areas of the 
          establishment.  An inspection may be deemed 
          comprehensive even though, as a result of the exercise 
          of professional judgment, not all potentially hazardous 
          conditions, operations and practices within those areas 
          are inspected. 

     2.   Partial.  An inspection whose focus is limited to 
          certain potentially hazardous areas, operations, 
          conditions or practices at the establishment. 

          a.   A partial inspection, whether programmed or 
               unprogrammed, may include, in addition to its 
               principal focus, a review of injury and illness 
               records, an assessment of the employer's hazard 
               communication and lockout/tagout programs, an 
               evaluation of the employer's safety and health 
               management program, and a brief walkaround to 
               survey, as deemed appropriate, those areas, 
               conditions, operations, and practices that, based 
               on the exercise of discretion and professional 
               judgment, are believed to have the greatest hazard 
               potential, but see Chapter III, D.1.d.(5)(b) 
               regarding inspection warrants. 

          b.   The information gathered during this review and 
               walkaround shall be used to confirm or revise the 
               determination made in accordance with the FOM, 
               Chapter III, D.7.c., as to whether the 
               inspection's scope should be expanded. 

D.   Inspection Selection Criteria 

     1.   General Requirements.  OSHA's priority system for 
          conducting inspections is designed to distribute 
          available OSHA resources as effectively as possible to 
          ensure that maximum feasible protection is provided to 
          the working men and women of this country. 

          a.   Scheduling.  The Area Director shall ensure 
               that inspections are scheduled within the 
               framework of the priorities outlined in this 
               chapter, that they are consistent with the 
               objectives of the Agency, and that appropriate 
               documentation of scheduling practices is 
               maintained.  (See OSHA Instruction CPL 2.51H (or 
               most current version) for current congressional 
               exemptions and limitations on OSHA inspection 
               activity.) 

          b.   Effect of Contest.  If an employer scheduled 
               for inspection, either programmed or unprogrammed, 
               has contested a citation and/or a penalty received 
               as a result of a previous inspection and the case 
               is still pending before the Review Commission, the 
               following guidelines apply: 

                                  II-2 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (1)  If the employer has contested the penalty 
                    only, the inspection shall be scheduled in 
                    accordance with the guidelines given under F, 
                    that is, it shall be scheduled as though 
                    there were no contest. 

               (2)  If the employer has contested the citation 
                    itself or any items thereon, then: 

                    (a)  Unprogrammed inspections shall be 
                         scheduled in accordance with the 
                         guidelines in E.1.  The scope of such an 
                         inspection normally shall be partial. 
                         All items under contest shall be 
                         excluded from the inspection unless a 
                         potential imminent danger is involved. 

                    (b)  Programmed inspections may be carried 
                         over to the next cycle in accordance 
                         with the guidelines given under 
                         F.2.b.(1)(e) 1, F.2.b.(2)(e) 3, 
                         and F.2.b.(3)(c) 5 b.  Such 
                         inspections may continue to be carried 
                         over until the case is no longer before 
                         the Commission.  If the inspection is 
                         done, all items under contest shall be 
                         excluded from the inspection unless a 
                         potential imminent danger is involved. 

                    (c)  On rare occasions, when warranted 
                         by the particular circumstances 
                         involved, programmed safety 
                         inspections may be carried over to 
                         the next cycle when the employer 
                         has contested a previously issued 
                         health citation.  The same is true 
                         for programmed health inspections 
                         when the employer has contested a 
                         previously issued safety citation. 
                         The decision to carry such an 
                         inspection over shall be made only 
                         after consultation with the 
                         Regional Administrator. 

     2.   Employer Contacts.  Contacts for information 
          initiated by employers or their representatives shall 
          not trigger an inspection, nor shall such employer 
          inquiries protect them against regular inspections 
          conducted pursuant to guidelines established by the 
          agency.  Further, if an employer or his representative 
          indicates that an imminent danger exists or that a 
          fatality or catastrophe has occurred, the Area Director 
          shall act in accordance with established inspection 
          priority procedures. 

E.   Inspection Priorities. 

     1.   Order of Priority.  Unless otherwise noted in 
          particular cases, priority of accomplishment and 
          assignment of manpower resources for inspection 
          categories shall be as follows: 

               Priority                     Category 

                First                        Imminent Danger 

                Second                       Fatality/Catastrophe 
                                             Investigations 

                                  II-3 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                Third                        Investigation of 
                                             Complaints/Referrals 

                Fourth                       Programmed 
                                             Inspections 

     2.   Efficient Use of Resources.  Unprogrammed 
          inspections normally shall be scheduled and conducted 
          prior to programmed inspections.  For efficient use of 
          resources, or when agency objectives so dictate, 
          programmed inspections may occasionally receive a 
          higher priority than unprogrammed inspections.  For 
          example, a programmed inspection may be conducted 
          during the response period for a formal 
          other-than-serious complaint. 

F.   Inspection Scheduling. 

     1.   Unprogrammed Inspections.  Those inspections 
          conducted in response to specific evidence of hazardous 
          conditions at a worksite are considered unprogrammed 
          inspections. 

          a.   Priorities.  Unprogrammed inspections 
               (excluding followups and monitoring) shall 
               normally be scheduled with the following 
               priorities: 

               (1)  Reports of alleged imminent danger situations 
                    from any source, including referrals and 
                    complaints regardless of formality (Chapter 
                    VII); 

               (2)  Fatalities/catastrophes (Chapter VIII); 

               (3)  Formal complaints, CSHO referrals, 
                    reinspection referrals, and referrals from 
                    other agencies, classified as serious 
                    (Chapter IX); 

               (4)  Media and employer reports of accidents 
                    involving serious injuries or hazards of a 
                    serious nature (Chapter IX, B.2.b.(6) and 
                    (7)); 

               (5)  11(c) nonformal complaint referrals (Chapter 
                    IX, B.2.b.(4)); 

               (6)  Formal other-than-serious complaints (Chapter 
                    IX); 

               (7)  Nonformal complaints requiring an inspection 
                    (Chapter IX, A.8.b.). 

          b.   Scope.  Unprogrammed inspections of an 
               establishment are normally partial inspections 
               limited to the specific working conditions or 
               practices forming the basis of the unprogrammed 
               inspection.  Depending upon available resources, 
               the scope may be expanded under any of the 
               following circumstances which shall be documented 
               in the case file: 

                                  II-4 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (1)  The establishment is listed on the current 
                    Area Office safety or health inspection 
                    register and the deletion criteria given in 
                    Chapter II or OSHA Instruction ADM 1-1.30, 
                    Chapter X, do not apply. 

               (2)  A substantially complete inspection of a 
                    construction or maritime establishment has 
                    not been conducted within the preceding 3 
                    months. 

               (3)  OSHA inspection records for the establishment 
                    or for the employer in the case of a mobile 
                    worksite, indicate a history of significant 
                    violations. 

               (4)  The allegations providing the basis for the 
                    unprogrammed inspection indicate the 
                    existence of potential hazards which can be 
                    identified by expanding the inspection. 

               (5)  Any other legitimate reason as determined by 
                    the Area Director. 

               NOTE:     Any establishment or worksite covered 
                         under the Inspection Exemption through 
                         the Consultation Program, the Voluntary 
                         Protection Program or another similar 
                         qualifying program, normally shall not 
                         receive a comprehensive inspection 
                         unless the Regional Administrator for 
                         good reason decides otherwise. 

          c.   Followup Inspections.  In cases where a 
               followup inspection is necessary, it shall be 
               conducted as promptly as resources permit. 

               (1)  Followup Inspection Priority.  Except in 
                    unusual circumstances, followup inspections 
                    shall be conducted no later than 30 working 
                    days after the latest violation abatement 
                    date and shall take priority over all 
                    programmed inspections and any unprogrammed 
                    inspection with hazards evaluated as other- 
                    than-serious.  The seriousness of the hazards 
                    requiring abatement shall determine the 
                    priority among followup inspections. 

                    NOTE:     If unusual circumstances require 
                              modification of inspection 
                              priorities, the case file shall be 
                              documented regarding the unusual 
                              circumstances. 

               (2)  Required Followup Inspection.  Followup 
                    inspections normally are required in the 
                    following situations: 

                    (a)  Willful, repeated and high gravity 
                         serious violations; 

                    (b)  Failure to abate notifications; 

                    (c)  Citations related to an imminent danger 
                         situation; 

                                  II-5 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (d)  When the employer fails to respond to a 
                         request for notification of abatement 
                         action by letter or other means after 
                         having been contacted several times; and 

                    (e)  Whenever the Area Director believes that 
                         particular circumstances (e.g., the 
                         number and/or the type of violations, 
                         past history of the employer, complex 
                         engineering controls, and etc.) indicate 
                         the need for a followup. 

                         NOTE:     See Chapter III, D.9.b.(9). 

               (3)  Exceptions to Required Followup 
                    Inspections.  It will not be necessary to 
                    conduct a followup inspection if any of the 
                    following applies: 

                    (a)  Unquestionable Proof of Abatement. 
                         A followup inspection will not be 
                         necessary where unquestionable proof of 
                         abatement has been presented such as 
                         when the CSHO observed and documented 
                         the correction of the cited condition 
                         during the inspection. 

                    (b)  Area Director Determination.  The 
                         Area Director may determine that a 
                         followup inspection is not required. 
                         Justification for not conducting 
                         followup inspections may include 
                         statements by the employee or employer 
                         representative or other knowledgeable 
                         professionals attesting to the 
                         correction of the violation. 

                         NOTE:     Written signed statements are 
                                   preferred; however, verbal 
                                   communications are acceptable 
                                   if summarized by OSHA 
                                   personnel in a written 
                                   memorandum for the case file. 

                    (c)  Administrative Closing of Case File. 
                         Where a required followup inspection has 
                         not been conducted within 6 months of 
                         the final correction date (and the case 
                         has become a final order of the 
                         Commission), the case file normally 
                         shall be administratively closed after 
                         consultation with the Regional 
                         Administrator.  All administratively 
                         closed case files shall contain 
                         verification of abatement as well as 
                         documentation as to the reasons why the 
                         required followup inspection was not 
                         conducted. 

               (4)  Multiple Abatement Dates.  If a followup 
                    inspection is to be conducted where an 
                    employer has been cited for a number of 
                    violations with varying abatement dates, the 
                    followup inspection normally shall not be 
                    scheduled until after most, if not all, of 
                    the abatement dates set forth for the more 
                    serious violations in the citation(s) have 
                    passed.  If satisfactory corrective action 
                    has been taken by the employer, additional 
                    followup activity normally 

                                  II-6 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    shall not be scheduled unless the Area 
                    Director believes that complex engineering 
                    controls or other special factors involved 
                    in the case warrant such activity. 

               (5)  Notice of Contest Not Filed.  Followup 
                    inspections may be conducted during the 15- 
                    day notice of contest period provided the 
                    date set for abatement has passed and the 
                    employer has not actually filed such a 
                    notice.  Normally, however, only those 
                    conditions considered high gravity serious 
                    shall  subject an employer to being scheduled 
                    for followup during the contest period.  If 
                    such a followup inspection reveals a failure 
                    to abate, a Notification of Failure to Abate 
                    Alleged Violation (OSHA-2B) may be issued 
                    immediately without regard to the contest 
                    period of the initial citation.   (See 
                    Chapter V, F.1. and Chapter VI, B.13.a.) 

               (6)  Notice of Contest Filed.  When a citation 
                    is currently under contest, a followup 
                    inspection shall not be scheduled regarding 
                    the contested items. 

                    (a)   If the employer contests the proposed penalty 
                          but not the underlying citation, a followup 
                          inspection normally shall not be conducted 
                          unless the violations are considered high 
                          gravity and the Area Director decides that a 
                          followup is necessary. 

                    (b)   If a followup inspection is conducted at 
                          establishments involved in proceedings before 
                          the Review Commission, the CSHO shall 
                          explain in the opening conference that the 
                          inspection will not involve matters before the 
                          Commission. 

               (7)  Final Order.  When the notice of contest 
                    is withdrawn, the proceeding is settled, or 
                    the Commission affirms alleged violations 
                    that are contested, the abatement period 
                    begins; and a followup inspection may be 
                    scheduled as appropriate after the Area 
                    Director has received clearance from the 
                    Regional Solicitor. 

          d.   Monitoring Inspections.  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 a petition for 
               modification of abatement date (PMA) (Chapter III, 
               E.9); a corporate-wide settlement agreement (CSA) 
               (OSHA Instruction CPL 2.90); or to ensure that 
               terms of a permanent variance are being carried 
               out. 

               (1)  Monitoring visits shall be conducted for each 
                    (PMA) date on serious, willful and repeated 
                    violations which extends the final abatement 
                    date by more than one year from the citation 
                    issuance date. 

                                  II-7 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (a)  These inspections shall be conducted as 
                         soon as possible after first contact 
                         with the employer but no later than 15 
                         working days following the receipt of 
                         certification of posting unless an 
                         extension is requested and granted by 
                         the Review Commission.   (See Chapter 
                         III, E.9.f. and g.) 

                    (b)  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. 

               (2)  Monitoring visits in response to PMAs for 
                    other-than-serious violations or for serious, 
                    willful, or repeated violations which would 
                    result in a final abatement date of one year 
                    or less from the citation issuance date shall 
                    be scheduled at the discretion of the Area 
                    Director, based on the gravity of the 
                    violation and on resource availability. 

                    (a)  These inspections shall be conducted as 
                         soon as possible after first contact 
                         with the employer but not later than 15 
                         working days following the receipt of 
                         certification of posting unless an 
                         extension is requested and granted by 
                         the Review Commission.  (See Chapter 
                         III, E.9.f. and g.) 

                    (b)  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. 

               (3)  Monitoring visits shall be scheduled to check 
                    on progress made on long-term or multistep 
                    abatement plans whenever abatement dates 
                    extend beyond one year from the issuance date 
                    of the citation. 

                    (a)  These inspections shall be conducted 
                         every 6 months, counted from the 
                         citation date until final abatement has 
                         been achieved for all cited violations. 
                         If the case has been contested, the 
                         final order date shall be used as a 
                         starting point, instead of the citation 
                         date.  A settlement agreement may 
                         specify an alternative monitoring 
                         schedule. 

                    (b)  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 
                         adequate interim protection for 
                         employees, a monitoring inspection may 
                         be conducted every 12 months. 

                    (c)  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. 

                                  II-8 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (4)  Monitoring visits shall be scheduled to 
                    verify compliance with the terms of granted 
                    variances. 

                    (a)  The Directorate of Technical Support 
                         shall provide to each affected Area 
                         Office an updated list of granted 
                         variances at the beginning of each 
                         fiscal year. 

                    (b)  The Area Director shall review each 
                         variance annually to determine if an 
                         inspection is warranted based on: 

                         1    Significant differences from 
                              standards; 

                         2    No monitoring for current and 
                              previous two fiscal years; or 

                         3    Employer not in compliance 
                              with terms on previous 
                              inspections. 

                    (c)  Such inspections shall have priority 
                         equal to that of a serious formal 
                         complaint. 

                    (d)  A report on the results of these 
                         monitoring visits shall be forwarded to 
                         the Director of Technical Support 
                         through the Directors of Field Programs 
                         and Compliance Programs. 

               (5)  Monitoring visits may also be made for other 
                    reasons, as outlined in Chapter III, I.1. 

          e.   Reinspection Referrals.  Once a determination 
               is made that a reinspection referral is required, 
               based on the definition in Chapter IX, B.2.b.(2), 
               the inspection shall be conducted in accordance 
               with the priorities given at F.1.a.(3). 

     2.   Programmed Inspections.  A programmed inspection 
          generally is a comprehensive inspection of the worksite 
          but may be limited as necessary in view of resource 
          availability and other enforcement priorities.  (Low 
          hazard areas, such as office space, may be excluded 
          from inspection without affecting the comprehensiveness 
          of the inspection.) 

          a.   General.  Certain considerations are 
               fundamental to the implementation of OSHA's 
               targeting system. 

               (1)  Policy.  It is OSHA policy that 
                    inspections conducted as programmed 
                    inspections be primarily in the "high hazard" 
                    sectors of employment. 

                    (a)  In the area of safety, the Agency 
                         considers a "high hazard industry" to be 
                         one within a Standard Industrial 
                         Classification (SIC) with a previous 
                         history of serious OSHA safety 
                         violations. 

                                  II-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (b)  In the area of health, the agency 
                         considers a "high hazard" industry to be 
                         one with a previous history of serious 
                         OSHA health citations. 

                    (c)  For the purpose of scheduling programmed 
                         inspections, construction and maritime 
                         are considered to be categories of high 
                         hazard employment. 

                    (d)  Other specific industries, such as 
                         logging, and oil and gas extraction, are 
                         also high hazard industries and are 
                         frequently scheduled for inspection as 
                         special emphasis programs. 

               (2)  Description.  Both programmed safety 
                    inspections and programmed health inspections 
                    are scheduled using a multiple-step process. 

                    (a)  The initial selection of a particular 
                         category of employment (e.g., Federal 
                         Agency, high hazard general industry, 
                         construction, maritime, or high hazard 
                         health) is made in accordance with 
                         current agency policy with actual 
                         numbers of planned inspections taken 
                         from the annual Field Operations Program 
                         Plan projections made at the Area Office 
                         level, reviewed at the Regional and 
                         National Office levels and approved by 
                         the Assistant Secretary.  (See OSHA 
                         Instruction PAE 1.1B.) 

                    (b)  Within a category, priority is 
                         established by grouping, such as by 
                         industry.  Within the grouping 
                         establishments are selected for 
                         inspection and placed in an inspection 
                         cycle. 

                         1    For Federal Agencies, the 
                              priority is based on the Lost 
                              Time Claims Rate (LTCR) List 
                              based on the Office of Worker 
                              Compensation Programs LTCR and 
                              a list of targeted agencies 
                              will be supplied by the 
                              National Office after 
                              consultations with the 
                              Regional Administrator and the 
                              agency DASHO.  (See Chapter 
                              XIII.) 

                         2    For General Industry safety, 
                              the priority is based on the 
                              number of serious safety 
                              violations per safety 
                              inspection by industry and the 
                              List of establishments within 
                              these industries will be 
                              provided by the National 
                              Office. 

                         3    For General Industry health, 
                              the priority is based on the 
                              number of serious health 
                              violations per health 
                              inspection by industry and the 
                              list of establishments within 
                              these industries will be 
                              provided by the National 
                              Office. 

                         4    For Construction, the universe 
                              of active construction sites 
                              is maintained by the 
                              Construction Resource Analysis 
                              (CRA) group at the University 
                              of Tennessee.  Each month CRA 
                              randomly selects 

                                  II-10 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              active worksites for inspection. 
                              Each area office receives the 
                              list from CRA and the OSHA 
                              Construction Inspection 
                              Reports for each site from 
                              F.W. Dodge. 

                         5    For Low Hazard Manufacturing 
                              and Nonmanufacturing safety, 
                              the National Office supplies a 
                              list of establishments 
                              randomly selected from those 
                              available in each category and 
                              the Area Office selects the 
                              number needed from this list. 

                    (c)  Where no establishment list is provided 
                         by the National Office (e.g., maritime 
                         and logging categories), the Area 
                         Director shall compile a complete list 
                         of active establishments (worksites) 
                         considering all establishments 
                         (worksites) within the coverage of the 
                         office and using the best available 
                         information (commerce directories, 
                         commercial telephone listings, local 
                         permits, local knowledge, etc.).  From 
                         this list worksites for inspection will 
                         be selected randomly. 

          b.   Guidelines and Procedures.  Programmed 
               inspections shall be conducted jointly by both 
               safety and health personnel whenever resources are 
               available and it is likely, based on experience in 
               inspecting similar workplaces, that both safety 
               hazards and health hazards exist to a significant 
               degree.  If an inspection is begun as safety only 
               or as health only but the CSHO determines during 
               the course of the inspection that it should be 
               expanded, the CSHO shall contact the Area Director 
               or supervisor, as appropriate.  A decision will 
               then be made on the basis of the information 
               available whether the inspection should be 
               expanded and, if so, to what extent.  A decision 
               may also be made, based on resource availability, 
               to handle the information as a CSHO referral for 
               inspection at a later time. 

               NOTE:     Establishments which appear on both the 
                         safety and health registers should be 
                         scheduled for a joint safety/health 
                         inspection whenever practicable.   (See 
                         F.2.b.(1)(e) 1 g.) 

               (1)  Inspection Scheduling for General Industry 
                    (Safety & Health).  The following 
                    procedures are to be adhered to in 
                    programming General Industry safety and 
                    health inspections. 

                    NOTE:     Federal Agency Program targeted 
                              inspections and onsite evaluations 
                              have a priority equal to that of 
                              private sector general industry 
                              programmed inspections.  The 
                              scheduling system for these 
                              inspections is outlined in Chapter 
                              XIII. 

                    (a)  Industry Rank Report.  The National 
                         Office shall provide each Area/District 
                         Office with a Statewide Industry Rank 
                         Report (SIC List), listing industries by 
                         their 4-digit Standard Industrial 
                         Classification (SIC) 

                                  II-11 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         codes where available.  These lists are 
                         sent electronically at the beginning of 
                         each fiscal year.  (See OSHA Instructions 
                         CPL 2.25H and ADM 1-1.30.) 

                         1    The Safety SIC Lists are 
                              statewide listings of 
                              industries with a previous 
                              history of serious OSHA safety 
                              violations.  A list is 
                              provided with the top 200 
                              safety industries ranked by 
                              the industry's number of 
                              serious safety violations per 
                              inspection.  The number of 
                              serious safety violations per 
                              inspection is calculated by 
                              dividing the number of serious 
                              safety violations for the 
                              previous three calendar years 
                              in the industry by the number 
                              of safety inspections 
                              conducted in the industry. 

                         2    The Health SIC Lists are a 
                              statewide listing of 
                              industries with a previous 
                              history of serious OSHA health 
                              violations.  A list is 
                              provided  with the top 200 
                              health industries ranked by 
                              the industry's number of 
                              serious health violations per 
                              inspection.  The number of 
                              serious health violations per 
                              inspection is calculated by 
                              dividing the number of serious 
                              health violations for the 
                              previous five calendar years 
                              in the industry by the number 
                              of health inspections 
                              conducted in the industry.  A 
                              list in SIC order is also 
                              provided. 

                    (b)  Establishment Lists.  The National 
                         Office will also provide a series of 
                         establishment lists (in rank order) for 
                         use by the Area Office in programming 
                         inspections.  These lists are provided 
                         electronically when needed. 

                         NOTE:     Establishments showing 10 or 
                                   fewer employees, unless they 
                                   are part of a larger employer, 
                                   will be deleted from 
                                   establishment lists provided 
                                   by the National Office. 

                         1    High Hazard Establishment 
                              List for Safety.  A list of 
                              establishments located within 
                              the Area/District Office 
                              jurisdiction for each SIC code 
                              on the High Hazard SIC List 
                              (the top 200 safety 
                              industries) will be provided 
                              by the National Office as 
                              available to all Area/ 
                              District Offices.  This list 
                              is divided into groups and 
                              made available electronically 
                              to all Area/District Offices. 
                              (See OSHA Instructions CPL 
                              2.25H, Appendix B and 
                              ADM 1-1.30, Chapter X.) 

                         2    Low Hazard Establishment 
                              List for Safety.  A list of 
                              randomly selected establishments 
                              in industries not included in 
                              the top 200 safety industries 
                              located within the Area/District 
                              Office jurisdiction will be 
                              provided by the National 
                              Office to all Area/District 
                              Offices.  A randomly selected 
                              pool of these establishments 
                              is included in 

                                  II-12 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              each group of establishments made 
                              available electronically to all 
                              Area/District Offices.  (See OSHA 
                              Instruction ADM 1-1.30, Chapter 
                              X.) 

                        3    Nonmanufacturing Establishment 
                              List for Safety. A list of 
                              establishment randomly 
                              selected from industries with 
                              SIC codes in the ranges 0100 
                              through 0799 and 4000 through 
                              8999 and located within the 
                              Area/District Office 
                              jurisdiction will be provided 
                              by the National Office to all 
                              Area/District Offices.  A 
                              randomly selected pool of 
                              these establishments is 
                              included in each group of 
                              establishments made available 
                              electronically to all 
                              Area/District Offices.  (See 
                              OSHA Instruction ADM 1-1.30, 
                              Chapter X.) 

                         4    Health Establishment List.  A 
                              list of establishments located 
                              within the Area/District Office 
                              jurisdiction for each SIC code on 
                              the Health SIC List will be 
                              provided by the National Office as 
                              available to all Area/District 
                              Offices.  This list is divided into 
                              groups and made available 
                              electronically to all Area/District 
                              Offices.  (OSHA Instruction CPL 
                              2.25H, Appendix A, and ADM 1-1.30, 
                              Chapter X.) 

                         5    Adjustments.  Prior to use 
                              of establishment lists provided by 
                              the National Office for scheduling 
                              purposes, the Area Director 
                              shall make appropriate additions 
                              and deletions as follows: 

                              NOTE #1:  IMIS Codes for additions 
                                        and deletions are also 
                                        found in OSHA Instruction 
                                        ADM 1-1.30, Chapter X, 
                                        Table I, Update Codes. 
                                        Additions and deletions 
                                        may be applied to the 
                                        inspection register (as 
                                        defined in F.2.b.(1)(c)). 
                                        No additions should be 
                                        made to the Low Hazard 
                                        Manufacturing and the 
                                        Nonmanufacturing 
                                        programmed inspection 
                                        lists because the lists 
                                        are a random sample of 
                                        all establishments in 
                                        each of these categories. 
                                        The planning guide 
                                        software will select the 
                                        appropriate number of 
                                        establishments for low 
                                        hazard manufacturing and 
                                        nonmanufacturing for each 
                                        safety cycle. 

                              NOTE #2:  Beginning with the FY 
                                        1994 establishment lists, 
                                        all establishments with 
                                        valid deletion criteria 
                                        will be deleted by the 
                                        National Office.  Caution 
                                        should be taken when 
                                        adding establishments to 
                                        the establishment list, 
                                        since establishments will 
                                        have been deleted in that 
                                        SIC or may be included in 
                                        a different SIC. 

                                  II-13 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              a    Additions. The following 
                                   updated code shall be used for 
                                   adding establishments to the 
                                   list: 

                                   Code      Description 

                                   AA        When information 
                                             received from local 
                                             sources reliably 
                                             indicates that an 
                                             establishment is 
                                             classified within a 
                                             SIC code on one of 
                                             the SIC Lists but 
                                             does not appear on 
                                             the corresponding 
                                             establishment list 
                                             provided.  Additions 
                                             shall be placed on 
                                             the proper SIC List 
                                             in accordance with 
                                             the listing 
                                             criterion used; 
                                             e.g., 
                                             alphabetically, by 
                                             size, etc. 

                              b    Deletions.  The following 
                                   deletion codes shall be used 
                                   to update establishment lists. 
                                   Deletions for any other reason 
                                   shall be requested from 
                                   the Regional Administrator and 
                                   approved by the Director of 
                                   Compliance Programs. 

                                   EXCEPTION:  Approval from the 
                                   National Office is not 
                                   required when the deletion 
                                   code is used to eliminate 
                                   duplicate listings or 
                                   establishments not within 
                                   OSHA's jurisdiction. 

                                   Activity Code  Description 
                                                  (# = last digit 
                                                   of the fiscal 
                                                   year) 

                                   A#    Activity ceased or process not 
                                         active. 

                                   B#    Business Closed -- Establishment 
                                         is no longer in business. 

                                   C#    Consultation -- Establishment has 
                                         been approved for exemption from 
                                         inspection through consultation. 

                                   H#    Health ispection -- A substantially 
                                         complete health inspection was 
                                         conducted within the current or 
                                         previous 3 fiscal years with no 
                                         serious violations cited; or, where 
                                         serious violations were cited, an 
                                         acceptable abatement letter or a 
                                         followup inspection has documented 
                                         "good faith" efforts to abate all 
                                         serious hazards. 

                                   I#    Incorrect SIC code -- The correct 
                                         SIC code for the establishment 
                                         is not on the current Safety High 
                                         Hazard SIC List or the current 
                                         Health High Hazard SIC List or the 
                                         current Health SIC Lists.  This 
                                         deletion also applies when the 
                                         correct estblishment 

                                  II-14 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                         SIC code is not on the Low Hazard 
                                         SIC List when used for scheduling 
                                         according to F.2.b.(1)(e) 
                                         4 a (i.e., when the correct 
                                         SIC code is a nonmanufacturing 
                                         code). 

                                         EXAMPLES:  Establishment is 
                                         listed an incorrect SIC code which 
                                         is on the High Hazard SIC 
                                         List but the correct SIC code for 
                                         the establishment is not on the 
                                         High Hazard SIC List. 

                                         Establishment is listed in a SIC 
                                         code which was on the High Hazard 
                                         SIC List for the fiscal year in 
                                         which the Inspection Register was 
                                         made up initially, but is no 
                                         longer on the High Hazard SIC 
                                         List at the time the inspection is 
                                         scheduled. 

                                         NOTE:  If an establishment is 
                                                listed on the Low Hazard 
                                                or the Nonmanufacturing 
                                                Establishment List for 
                                                Safety under an incorrect 
                                                SIC code, the establishment 
                                                shall not be deleted from 
                                                those lists unless the 
                                                correct SIC code is Listed 
                                                on the High Hazard SIC 
                                                List.  In that case, the 
                                                establishment shall be 
                                                removed from the Low 
                                                Hazard or Nonmanufacturing 
                                                Establishment List for Safety 
                                                and added to the High 
                                                Hazard Establishment List 
                                                following F.2.b.(1)(f). 

                                   J#    Jurisdictional error -- Not within 
                                         Area Office geographic area 
                                         or jurisdiction. 

                                   L#    Location of establishment--Could 
                                         ot be found. 

                                   O#    Other reasons for deletion not listed 
                                         above.  Approval for deletion shall 
                                         be requested from the Regional 
                                         Administrator and approved by the 
                                         Director of Compliance Programs. 

                                   P#    Plant office or headquarters -- 
                                         Nonplant facility. 

                                   S#    Safety inspection -- Any comprehensive 
                                         programmed safety inspection or a 
                                         substantially complete unprogrammed 
                                         safety inspection conducted within 
                                         the current or previous two (2) 
                                         fiscal years. 

                                  II-15 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                   T#    Ten  or fewer employees -- 
                                         Employers who had no more 
                                         than 10 employees at any time 
                                         during the previous 12 months. 

                                   V#    Voluntary protection program 
                                         participation approved. 
                                         Establishment has been approved to 
                                         participation in the voluntary 
                                         protection program. 

                                   W#    Reserved. 

                                   Y#    Carryover 

                    (c)  Inspection Register.  After all the 
                         appropriate additions and deletions are 
                         made, the Area Office inspection 
                         registers shall be made up by 
                         determining which establishments are to 
                         be scheduled for inspection during the 
                         current fiscal year.  The number of 
                         projected programmed inspections is 
                         taken from the revised OSHA-146 Form 
                         (OSHA-146 EZ).  This number shall be 
                         adjusted to reflect the number of 
                         planned inspections in each category 
                         that are expected to be done in the next 
                         year.  The number of carryover 
                         establishments shall be subtracted to 
                         determine the number of establishments 
                         required to meet the projected number. 

                         1    The Safety Inspection Register 
                              shall consist of the following 
                              elements: 

                              a    Five percent of the total 
                                   number of projected programmed high 
                                   hazard safety inspections to be 
                                   conducted shall be scheduled from 
                                   the Low Hazard Establishment 
                                   List; 

                              b    Five percent of the total 
                                   number of projected programmed high 
                                   hazard safety inspections to be 
                                   conducted shall be scheduled from the 
                                   Nonmanufacturing Establishment List; 

                                   NOTE:     Since a fractional 
                                             establishment cannot 
                                             be inspected, five 
                                             percent should be 
                                             read to mean up to, 
                                             but not exceeding 
                                             five percent.  If, 
                                             for example the 
                                             total number is 50, 
                                             five percent would 
                                             be 2.5, but only 2, 
                                             not 3, 
                                             establishments 
                                             should be inspected. 

                              c    Ninety percent of the 
                                   total number of projected programmed 
                                   high hazard safety inspections shall 
                                   be selected in rank order from the High 
                                   Hazard Establishment List, for 
                                   the purpose of inspection scheduling. 

                                  II-16 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         2    The Health Inspection Register 
                              shall consist of the total number of 
                              projected programmed health inspections 
                              selected in rank order from the Health 
                              Establishment List. 

                         3    The inspection registers, 
                              together with adequate documentation on all 
                              additions, deletions, or other modifications, 
                              shall be maintained in the Area Office 
                              for 3 years following their completion.  (See 
                              OSHA Instruction ADM 12.5 Appendix 
                              F, A.l. and B.1., Records Disposition 
                              Schedule NC1-100-82-1, Item 1a.) 

                    (d)  Inspection Cycle.  An inspection 
                         cycle is a group of establishments which 
                         have been selected for inspection.  The                          cycle has two characteristics:  1) once 
                         started all establishments within the 
                         cycle must be inspected, and 2) the 
                         establishments within the cycle may be 
                         inspected in any order.  Ideally, the 
                         size of the cycle should be such that 
                         all establishments will be inspected 
                         during the course of the fiscal year and 
                         there would be no carry over.  It is 
                         best to estimate a cycle size of 
                         sufficient size to last 10 to 12 months. 
                         If the cycle is not large enough to 
                         cover the entire fiscal year, when it is 
                         about to be finished another cycle can 
                         be chosen that is of a size to cover the 
                         balance of the fiscal year.  The next 
                         year's cycle will be selected from next 
                         year's register which will have 
                         refreshed data. 

                    (e)  Inspection Scheduling.  Within a cycle, 
                         establishments may be scheduled and inspected 
                         in any order that makes efficient use of available 
                         resources. 

                         1    Each inspection cycle shall be completed 
                              before another cycle is begun.  The only 
                              exceptions are as follows: 

                              a    An establishment may be carried over 
                                   to another cycle if the establishment is 
                                   not operating normally because of strikes, 
                                   seasonal fluctuations, or other factors. 

                              b    An establishment may be carried over 
                                   to another cycle if necessary equipment 
                                   or personnel with necessary experience 
                                   and qualifications to perform the 
                                   inspection are not presently available. 

                              c    An establishment may be carried over 
                                   to another cycle if it is the last 
                                   remaining establishment in a cycle, its 
                                   inspection would require travel in excess 
                                   of 50 miles and it cannot be combined with 
                                   other inspection activity. 

                                  II-17 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              d    An establishment may be carried over 
                                   to another cycle if the employer has not 
                                   yet completed abatement action required 
                                   as a result of a previous comprehensive 
                                   OSHA inspection of the same inspection 
                                   type (safety or health) because the 
                                   final abatement date has not yet come. 

                              e    An establishment may be carried over 
                                   to another cycle if the employer has 
                                   contested a citation item issued as a 
                                   result of a previous OSHA inspection 
                                   and the case is still pending before the 
                                   Review Commission. 

                              f    An establishment may be carried over 
                                   to another cycle if the inspection 
                                   cannot be completed due to the employer's 
                                   refusal to allow the inspection. 

                              g    An establishment may be carried over 
                                   to another cycle if the inspection 
                                   must be deferred because of the 
                                   presence of a  at the worksite or 
                                   because the establishment has applied 
                                   has not yet been approved in the 
                                   Inspection Exemption through has 
                                   has Consultation Program or a 
                                   Voluntary Protection Program which 
                                   carries a temporary exemption from 
                                   inspection. 

                              h    Approval for carrying 
                                   over an establishment for reasons not 
                                   listed above be requested from the 
                                   Regional  and approved by the 
                                   Director, Office of Field Programs. 

                                   NOTE:     Although the Area 
                                             Director is 
                                             authorized to carry 
                                             over inspections to 
                                             another cycle for 
                                             the reasons given in 
                                             this subparagraph, 
                                             in most cases there 
                                             is no requirement to 
                                             do so. 

                                             o    There may be good 
                                                  reasons for not 
                                                  carrying an 
                                                  establishment over 
                                                  to another cycle; in 
                                                  that case, the Area 
                                                  Director is free to 
                                                  schedule the 
                                                  inspection. 

                                             o    If an inspection is 
                                                  conducted rather 
                                                  than carried over 
                                                  and if there are 
                                                  items under contest 
                                                  or with an abatement 
                                                  date that is still 
                                                  open, those items 
                                                  shall be excluded 
                                                  from the scope of 
                                                  the inspection 
                                                  unless monitoring of 
                                                  abatement is 
                                                  required; e.g., 
                                                  pursuant to a 
                                                  settlement 
                                                  agreement.  (See 
                                                  OSHA Instruction CPL 
                                                  2.90.) 

                                  II-18 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         2    As previously described, the 
                              inspection cycle is established with 
                              the number of projected at the beginning 
                              of the fiscal year.  Number of inspections 
                              actually performed, however, will depend on 
                              factors such as staffing, unprogrammed 
                              inspection activity and special programs. 
                              If all establishments in the 
                              inspection cycle are inspected before the 
                              end of the fiscal year, another cycle 
                              shall be prepared by extending the 
                              inspection register.  The number of 
                              establishments on this inspection cycle 
                              will be equal to the estimate of the 
                              number of inspections that the Area Office 
                              projects it can conduct prior to the end of 
                              the fiscal year.  The planning guide 
                              software will give the 90/5/5 split for 
                              high hazard, low hazard and non- 
                              manufacturing as each cycle is generated. 

                              a    If all establishments in the current 
                                   cycle are inspected before the end 
                                   of the fiscal year, another cycle 
                                   shall be prepared by extending the 
                                   inspection register to the next group 
                                   consecutively numbered establishments 
                                   on the high hazard list and randomly 
                                   generated low hazard and non- 
                                   manufacturing establishments. 

                              b    The number of establishments on the 
                                   extended inspection register will be 
                                   equal to an estimate of the number of 
                                   inspections that the Area Office projects 
                                   it can conduct prior to the end of the 
                                   fiscal year. 

                         3    Any cycle begun but not yet completed at 
                              the end of the fiscal year shall be completed, 
                              subject to the exceptions set forth in 
                              F.2.b.(1) (e) 1, before beginning the new 
                              fiscal year inspection cycle.  The number 
                              of inspections yet to be completed shall be 
                              taken into account in setting the new 
                              fiscal year inspection cycle. 

                         4    In the event that inspections have been 
                              conducted in all eligible establishments on 
                              the Establishment Lists received from the 
                              National Office befor completing the planned 
                              number of inspections, the Area Director 
                              shall: 

                              a    For safety, request from 
                                   the National Office, 
                                   through the Regional 
                                   Administrator, additional 
                                   establishments from the 
                                   Low Hazard Establishment 
                                   List, selected in rank 
                                   order, making appropriate 
                                   adjustments, according to 
                                   F.2.b.(1)(b) 5. 

                              b    For health, request from the 
                                   National Office, through the 
                                   Regional Administrator, a list 
                                   of additional establishments 
                                   within the next group of 
                                   targeted health SIC codes. 

                                  II-19 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (f)  Deletions and Additions.  Once the 
                         inspection cycle itself begins, the 
                         following policy shall guide additions 
                         and deletions: 

                         1    An establishment shall be deleted 
                              from an inspection cycle whenever one of 
                              the criteria form deletion becomes applicable. 
                              For example, an establishment may be out of 
                              business or inactive. 

                         2    Where it is learned only after the 
                              compliance officer has arrived at the 
                              establishment that one of the criteria for 
                              deletion applies, the inspection shall not 
                              be conducted (or continued if already begun). 
                              Citations for the completed portion of the 
                              inspection shall still be issued, unless the 
                              SIC code is exempted.  (See OSHA Instruction 
                              2.51H, or most current version.) 

                         3    If the CSHO learns after arrival that 
                              the establishment has been classified in 
                              the wrong SIC code, but the correct SIC 
                              is on the safety or the health register, 
                              the CSHO shall conduct the inspection 
                              at that time. Otherwise, the inspection 
                              shall be deferred. 

                         4    A newly discovered establishment 
                              may be added at any time to the 
                              inspection register.  If the establishment's 
                              SIC was included in an already completed 
                              cycle, the inspection shall be performed 
                              as part of the next cycle. 

               (2)  Inspection Scheduling for Construction. 
                    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 construction employer, 
                    inspections shall be scheduled from a list of 
                    construction worksites rather than 
                    construction employers.  The National Office 
                    will provide to each Area/District Office a 
                    randomly selected list of construction 
                    projects from all covered active projects. 
                    This list should contain the projected number 
                    of sites the office plans on inspecting in 
                    the next month. 

                    (a)  Inspection List.  OSHA has 
                         contracted with F.W. Dodge and the 
                         Construction Resources Analysis (CRA) 
                         group of the University of Tennessee. 
                         Each month F.W. Dodge will provide to 
                         CRA information on construction projects 
                         which are expected to start in the next 
                         60 days.  CRA adds to the Dodge data a 
                         time period when each project is active 
                         and maintains a file containing all 
                         active construction projects.  From this 
                         file of active construction projects, 
                         CRA will generate monthly for each Area 
                         Office a randomly selected construction 
                         inspection list based upon: 

                         1    Counties located within Area Office 
                              boundaries; 

                                  II-20 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         2    Estimated number of worksites 
                              to be inspected during the monthly 
                              scheduling period (to be determined by 
                              the Area Director); 

                         3    The selection criteria are to 
                              be determined by the Area Director 
                              based on local conditions, approved 
                              by the Regional Administrator, and 
                              provided to CRA for entry into the 
                              system.  These selection criteria 
                              may be designed to include any class 
                              of worksites within the computerized 
                              selection process.  Some examples 
                              of such criteria are: 

                              a    A minimum dollar value of 
                                   the construction project. 

                              b    A minimum size of the 
                                   project in square meters. 

                              c    A certain length of time 
                                   the project is likely to 
                                   last. 

                              d    Specific stages of 
                                   construction project (in 
                                   percent complete). 

                              e    Specific types of 
                                   construction projects. 

                    (b)  OSHA Construction Inspection 
                         Reports.  CRA will order appropriate 
                         OSHA Construction Inspection Reports, 
                         corresponding to the sites on the 
                         randomly selected list for each Area 
                         Office. 

                    (c)  Limitation on Frequency of 
                         Selection.  Normally, no site shall be 
                         selected for inspection more frequently 
                         than once per trimester.  Therefore, CRA 
                         will remove from its master files any 
                         project selected for an inspection for a 
                         period of four months and reenter it in 
                         the fifth month if it is still active. 
                         Thus, if a list is not used, CRA should 
                         be notified so those sites will be 
                         returned to available status.  Refer to 
                         paragraph F.2.b.(2)(d)4 for return 
                         procedures. 

                    (d)  Scheduling Cycle.  The scheduling 
                         period (cycle) for construction 
                         inspections shall be one calendar month. 
                         Each month, each Area Office will 
                         receive its programmed construction 
                         inspection list from CRA.  Within the 
                         following 10 days it will receive the 
                         OSHA Construction Inspection Reports 
                         corresponding to the sites on the 
                         inspection list.  Offices receiving 10 
                         or fewer OSHA Construction Inspection 
                         Reports will receive them by FAX.  This 
                         list will be dated the following month. 
                         It can be used when received and should 
                         be completed by the end of the month it 
                         is dated.  The use of the current list 
                         is important because conditions change 
                         rapidly and the lists become out- dated. 
                         The best planning strategy is to receive 
                         from CRA the required number of sites 
                         for the month to ensure that the most 
                         current list is always being used. 

                                  II-21 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         1    All sites on the inspection list 
                              shall be inspected, and the sites 
                              can be scheduled in any order 
                              to make efficient use of resources. 

                         2    Complaints shall be treated in 
                              accordance with Chapter IX, A.  All 
                              other information indicating the 
                              possible need for a construction 
                              inspection at a specific worksite shall 
                              be treated as a referral, in accordance 
                              with Chapter IX, B. 

                         3    The Area Office shall make no 
                              deletions from the inspection list, except 
                              where the Area Director documents that: 

                              a    Little or no construction 
                                   activity at a worksite on the list has 
                                   begun or activity has already been 
                                   substantially completed before an 
                                   inspection can be made. 

                              b    A worksite has become 
                                   ineligible for any reason; e.g., where 
                                   a substantially complete inspection of 
                                   the worksite has been conducted as a 
                                   result of a complaint investigation. 

                              c    A worksite has been 
                                   approved for exemption from inspection 
                                   through or for participation in the 
                                   voluntary protection program. 

                         4    If a new list is received and it is 
                              anticipated that it will not be used, 
                              because of a large number of sites 
                              remaining on the current list, the 
                              CRA shall be notified directly by the 
                              Area Office by FAX or phone as 
                              soon as practicable so that the unused 
                              sites may be restored to be eligible 
                              for possible selection on the next list. 
                              The unused list shall be marked as such 
                              and retained in the scheduling file. 
                              (See F.2.b.(2)(g)1.) 

                    (e)  Completion of Inspection List.  By 
                         the middle of each cycle, the Area Director 
                         shall assess progress in inspecting all 
                         sites on the list in order to plan resources 
                         for the following cycle. 

                         1    If it appears that not all sites on the 
                              list will have been inspected by the end of 
                              the month, the Area Director may request 
                              a shortened list from CRA for the following 
                              month through the Assistant Regional 
                              Administrator for Federal-State Operations. 

                         2    If it appears that all sites on the list 
                              will have been inspected by the end of the 
                              third week of the month, or if fewer 
                              employers are inspected than originally 
                              the Area Director may request a 
                              supplemental inspection list from 
                              CRA through the Assistant Regional 
                              Administrator for Federal-State 
                              Operations. 

                                  II-22 

OSHA Instruction CPL 2.45B CH-4 
Office of General Industry Compliance Assistance 

                         3    Consecutive months' lists may 
                              be combined and used 
                              concurrently.  However, all 
                              sites from the first month of 
                              a combined list shall be 
                              inspected before worksites 
                              from the second month list are 
                              combined with a third month, 
                              except when a site is carried 
                              over as described at 
                              F.2.b.(2)(f) below.  That is, 
                              lists for two consecutive 
                              months can be combined to form 
                              one combined cycle; but the 
                              first month's list must be 
                              completed or classified as 
                              carryover before the second 
                              months list can be combined 
                              with the third months list and 
                              so on. 

                    (f)  Carryovers.  Worksites on one inspection 
                         list may be carried over to the next cycle only 
                         under the following circumstances: 

                         1    A worksite may be carried over to the 
                              next cycle if it is not operating normally 
                              at the time of the inspection because of 
                              strikes, weather or other factors. 

                         2    A worksite may be carried over to the 
                              next cycle if necessary equipment or 
                              personnel with experience and qualifications 
                              to perform the inspection are not presently 
                              available. 

                         3    A worksite may be carried over to the 
                              next cycle in the interest of efficient use 
                              of resources.  The number of such carryovers 
                              may not exceed 25% of the total number of 
                              sites on the original cycle.  Any worksite 
                              carried over in this manner may not be 
                              carried over a second time. 

                         4    A worksite may be carried over to the 
                              next cycle if the inspection cannot be 
                              completed due to the employer's refusal to 
                              allow it. 

                         5    A worksite may be carried over to the 
                              next cycle if conditions (construction 
                              activity at the site) have not changed 
                              substantially since a prior inspection. 

                         6    A worksite may be carried over to the 
                              next cycle if the inspection must be deferred 
                              because of the presence of a consultant at the 
                              worksite. 

                         7    Approval for carrying over a worksite for 
                              reasons not listed above must be requested 
                              from the Regional Administrator and approved 
                              by the Director of Field Programs. 

                              NOTE:     Although the Area Director is 
                                        authorized to carry over inspections 
                                        to another cycle for the reasons 
                                        given in this subparagraph, there 
                                        is no requirement to do so. 
                                        There 

                                  II-23 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                        may be good reasons for not 
                                        carrying a worksite over to another 
                                        cycle; in that case the Area 
                                        Director is free to schedule 
                                        the inspection. 

                    (g)  Area Director Administration of Inspection 
                         List.  The Area Director shall be responsible 
                         for maintaining documentation of the construction 
                         inspection list and for ensuring that selection 
                         criteria are current and appropriate. 

                         1    The monthly construction inspection 
                              lists received from CRA and the corresponding 
                              OSHA Construction Inspection Reports 
                              shall be maintained in the Area Office for a 
                              period of 3 years after completion of the 
                              cycle whether they are used or not.  (Records 
                              Disposition Schedule NC1-1800-82-1, Item 1a.) 

                         2    If circumstances indicate a need to modify 
                              the Area Office's selection criteria on file 
                              with CRA, the Area Director shall contact the 
                              Assistant Regional Administrator for Federal- 
                              State Operations.  All modifications to the 
                              Area Office's selection criteria shall be 
                              approved by the Regional Administrator and 
                              shall be effective for the month following 
                              entry into the computer if recieved by the 
                              23rd of the month. 

                    (h)  Health Construction Inspections.  No seperate 
                         scheduling method is applied for programmed 
                         construction health inspections.  Rather, the Area 
                         Director shall determine which construction 
                         inspections are to be conducted as a joint 
                         inspection where serious health hazards are likely 
                         to exist at the worksite.  However, a local emphasis 
                         plan may be submitted and approved for scheduling 
                         health construction inspections. 

               (3)  Inspection Scheduling for Maritime.  The maritime 
                    industry is made up of several industrial activities 
                    and, due to the unique differences among the industries, 
                    several scheduling methods are necessary.  Consequently, 
                    maritime inspections shall be scheduled either as local 
                    emphasis programs as outlined in F.2.b.(4) or as follows: 

                    (a)  Maritime Industries Scheduled With General 
                         Industry Inspections.  All fixed maritime 
                         (shipyard) establishments listed on the safety or 
                         the health inspection registers for each Area 
                         Office shall be scheduled and inspected with 
                         General Industry as outlined in F.2.b.(1). 

                    (b)  Maritime Inspections Scheduled With 
                         Construction.  Maritime construction 
                         shall be scheduled with other 
                         construction inspections as outlined in 
                         F.2.b.(2). 

                                  II-24 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (c)  Water Transportation Services 
                         (Longshoring, Marine Terminals, Voyage 
                         Repair).  Because of differences in 
                         conducting water transportation services 
                         operations in a large port, where, for 
                         example, many stevedores generally 
                         conduct longshoring operations, and on 
                         rivers and other waterways, where 
                         loading and unloading by a single 
                         employer is generally involved, water 
                         transportation services inspections may 
                         be scheduled either by port area or by 
                         employer. 

                         NOTE #1:  The method of selection shall 
                                   be determined at the beginning 
                                   of each fiscal year by each 
                                   Area Director, based on the 
                                   type of water transportation 
                                   services activities within the 
                                   Area Office jurisdiction and 
                                   on the ability to identify 
                                   active employers and their 
                                   worksites.  The selection 
                                   method shall be approved by 
                                   the Regional Administrator. 

                         NOTE #2:  Inspections may be scheduled 
                                   by employer in large ports 
                                   when the Area Director is able 
                                   to identify all of the 
                                   employers (stevedores) working 
                                   within the port and, when a 
                                   particular employer is to be 
                                   inspected, all active 
                                   worksites (vessels) of that 
                                   employer. 

                         NOTE #3:  All marine terminals, which 
                                   may be associated with a port 
                                   area or with an employer, and 
                                   all voyage (mobile, nonfixed 
                                   or dockside) ship repair 
                                   operations which may be under 
                                   way at the time of the 
                                   scheduled water transportation 
                                   services inspection shall be 
                                   inspected along with the 
                                   inspection of all active 
                                   longshoring operations. 

                         1    Inspection List.  This list shall 
                              consist of the worksites from which water 
                              transportation services inspections will 
                              be scheduled.  It may be constructed in 
                              either of two ways: 

                              a    By Port Area.  A list of Port 
                                   Areas shall 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. 

                                   EXAMPLES:  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. 

                                   (i)       The list shall be 
                                             arranged alphabetically by 
                                             port and within each port 
                                             by Port Area (location name). 

                                  II-25 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                                   (ii)      This list shall be 

                                             reviewed and revised as necessary 
                                             each year and submitted to the 
                                             Regional Administrator for 
                                             approval. 

                                   (iii)     The Area Director 
                                             shall use the Port Area List 
                                             to prepare a list of all 
                                             stevedores, marine terminals, 
                                             and ship-building and repair 
                                             employers working each Port 
                                             Area.  All of these employers 
                                             who are actively working in 
                                             the Port Area at the time of 
                                             the scheduled inspection of 
                                             the Port Area shall be included 
                                             in the programmed inspection 
                                             of the Port Area.  (See, 
                                             however, F.2.b.(3)(c) 5 
                                             a.) 

                                   (iv)      No employer shall be 
                                             inspected at more than one 
                                             worksite (vessel) during any 
                                             Port Area inspection except 
                                             for imminent danger reports, 
                                             fatalities, formal complaints 
                                             and referrals. 

                                   (v)       Port Areas which 
                                             have received a substantially 
                                             complete inspection within the 
                                             preceding quarter (i.e., at 
                                             least one worksite was inspected 
                                             each employer working a Port 
                                             Area at the time of the 
                                             scheduled inspection) shall be 
                                             deleted from the Port Area List 
                                             for the next quarter. 

                              b    By Employer.  A list of all 
                                   water transportation services employers 
                                   within the Area Office jurisdiction 
                                   shall be prepared, based on OSHA 
                                   inspection history, local knowledge and 
                                   experience, company schedules, and other 
                                   sources. 

                                   (i)       If all employers 
                                             identified are programmed for 
                                             inspection within a cycle, no 
                                             additional selection procedure 
                                             is necessary except as outlined 
                                             in F.2.b.(3)(c)5. 

                                   (ii)      If not all employers 
                                             are to be inspected, the list 
                                             shall be arranged alphabetically 
                                             by employer name and by location. 

                                   (iii)     Employers who have 
                                             received a substantially 
                                             complete inspection in the 
                                             previous fiscal year shall be 
                                             deleted from the list for the 
                                             next fiscal year unless all 
                                             employers on the list received 
                                             such an inspection. 

                                  II-26 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                                   (iv)      The list of employees 
                                             shall be reviewed and 
                                             revised as necessary each 
                                             year and submitted to the 
                                             Regional Administrator 
                                             for approval initially 
                                             and whenever revised. 

                         2    Numbering of List.  After a list of 
                              Port Areas or a list of employers has been 
                              prepared and adjusted as necessary, the 
                              list is sorted alphabetically by name 
                              and location and each Port Area or each 
                              employer on the list shall be numbered 
                              consecutively, beginning with the number 1. 

                         3    Quarterly Inspection Cycle for Port 
                              Areas.  Using the number of water 
                              transportation services inspections projected 
                              for the year on the OSHA-146 EZ Form and 
                              divide by 4, a quarterly inspection cycle 
                              shall be prepared as follows: 

                              a    Apply the random number table to 
                                   the Port Area List which has been 
                                   prepared as directed in F.2.b.(3)(c)2 
                                   a. 

                              b    Select Port Areas in the order 
                                   prescribed by the random numbers until 
                                   the number of inspections estimated 
                                   (i.e., total number of employers) at 
                                   least equals the number of inspections 
                                   projected for the applicable quarter. 

                         4    Annual Inspection Cycle for Employers. 
                              Using the number of water transportation 
                              services inspections projected for the year 
                              in the OSHA-146 EZ Form, one annual inspection 
                              cycle shall be prepared as follows: 

                              a    Apply the random number table to the 
                                   Employer List which has been prepared 
                                   as directed in F.2.b.(3)(c)2 b. 

                              b    Select employers in the order 
                                   prescribed by the random numbers until the 
                                   number of inspections estimated at least 
                                   equals the number of inspections projected 
                                   projected for the fiscal year. 

                              c    Random numbers would not be used if 
                                   all employers on the list are to be 
                                   inspected. 

                         5    Inspection Scheduling.  Within a cycle 
                              Port Areas or employers may be scheduled and 
                              inspected in any order that makes efficient 
                              use of available resources. 

                              a    When scheduling workplaces in a 
                                   larger port either by Port Area or by 
                                   employer in accordance with 
                                   F.2.b.(3)(c)1 a or c 

                                  II-27 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                   and all active workplaces of the 
                                   scheduled employer are not to be 
                                   inspected, the Area Director may 
                                   select any of the active workplaces 
                                   for inspection.  Due consideration 
                                   shall be given to resource 
                                   availability, size and type of 
                                   project involved, previous activity 
                                   at the various locations, the 
                                   potential presence of other related 
                                   activities such as terminal 
                                   operations and dockside repair 
                                   activities, and other relevant 
                                   factors in selecting the particular 
                                   worksite(s) to be inspected. 

                              b    Each inspection cycle shall be 
                                   completed before the next cycle is 
                                   begun.  The only exceptions 
                                   are as follows: 

                                   (i)      A worksite may be 
                                            carried over to the next 
                                            cycle if it is not operating 
                                            normally because of strikes, 
                                            or other factors. 

                                   (ii)     A worksite may be 
                                            carried over to the next cycle 
                                            if necessary equipment or 
                                            personnel with experience and 
                                            qualifications to perform the 
                                            inspection are not presently 
                                            available. 

                                   (iii)    A worksite may be 
                                            carried over to the next cycle 
                                            if its inspection would require 
                                            travel in excess of 50 miles 
                                            and it cannot be combined with 
                                            other inspection activity. 

                                   (iv)     (NOT FOR PORT AREAS) 
                                            An employer may be carried over 
                                            to another cycle if the employer 
                                            has not yet completed abatement 
                                            action required as a result of a 
                                            previous comprehensive OSHA 
                                            maritime inspection of the same 
                                            inspection type (safety or 
                                            health) because the final 
                                            abatement date has not yet come. 

                                   (v)      (NOT FOR PORT AREAS) 
                                            An employer may be carried over 
                                            to another cycle if the 
                                            employer has contested a citation 
                                            or a citation item issued as a 
                                            result of a previous OSHA 
                                            inspection of the same inspection 
                                            type (safety or health) and the 
                                            case is still pending before 
                                            the Review Commission. 

                                   (vi)     A worksite may be 
                                            carried over to the next cycle 
                                            if the inspection cannot be 
                                            completed due to the employer's 
                                            refusal to allow it. 

                                  II-28 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                   (vii)    A worksite may be 
                                            carried over to another cycle 
                                            if the inspection must be 
                                            deferred because of the presence 
                                            of a consultant at the worksite 
                                            or because the worksite is a 
                                            participant in the Inspection 
                                            Exemption through Consultation 
                                            Program or a Voluntary 
                                            Protection Program which carries 
                                            a temporary exemption from 
                                            inspection. 

                                   (viii)   Approval for carrying 
                                            over a worksite for reasons not 
                                            listed above must be requested 
                                            from the Regional Administrator 
                                            and approved by the Director of 
                                            Compliance Programs. 

                                            NOTE:   Although the Area Director 
                                                    is authorized to carry 
                                                    over inspections to 
                                                    another cycle for the 
                                                    reasons given this 
                                                    subparagraph, there is 
                                                    no requirement to do 
                                                    so.  there may be good 
                                                    reasons for not carrying a 
                                                    worksite over to another 
                                                    cycle; in that case the 
                                                    Area Director is free 
                                                    to schedule the 
                                                    inspection. 

                              c    If all Port Areas in the quarterly 
                                   inspection cycle or all employers 
                                   in the annual cycle have been inspected 
                                   but fewer employers are inspected than 
                                   originally predicted, additional Port 
                                   Areas or employers shall be selected 
                                   appropriate list, using the order 
                                   prescribed by the random numbers, 
                                   until the additional number of 
                                   inspections at least equals the 
                                   number of inspections still needed to 
                                   meet the number of inspections 
                                   projected for the quarter or the year. 

                              d    Similarly, if the Area Office is 
                                   able to do more programmed water 
                                   transportation services inspections than 
                                   the number of inspections projected at the 
                                   beginning of the year, additional Port 
                                   Areas or employers shall be scheduled for 
                                   inspection in the order prescribed 
                                   by the random numbers. 

                              e    At the end of a fiscal year the 
                                   number of inspections yet to be 
                                   completed in that cycle shall be taken 
                                   into account in setting the new 
                                   inspection cycle. 

                                   EXAMPLE:  At the end of the fiscal year 
                                   an Area Office has 2 maritime employers 
                                   left to inspect.  If the projected 
                                   number of 

                                  II-29 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                   water transportation services 
                                   inspections for the new fiscal year is 
                                   10, the new list shall be used to select 
                                   8, rather than 10, maritime employers. 

                         6    Deletions.  After the beginning of an 
                              inspection cycle, a Port Area or employer 
                              shall be deleted from the inspection cycle 
                              if a substantially complete inspection of the 
                              Port Area or the employer has been conducted 
                              during an unprogrammed inspection. 

                              NOTE:     This paragraph does not preclude 
                                        further unprogrammed inspections 
                                        conducted in response to specific 
                                        evidence of conditions involving 
                                        imminent danger or serious hazards 
                                        at a worksite, such as those 
                                        obtained through direct observations. 
                                        These instances shall be evaluated 
                                        by the Area Director and, if 
                                        appropriate, investigated as 
                                        referral inspections. 

                         7    Other Maritime Industry Inspections. 
                              Maritime industries not covered by one of the 
                              above scheduling programs, such as oil and 
                              gas extraction and diving operations, shall 
                              be scheduled as local emphasis programs under 
                              the Special Emphasis Programs procedures 
                              outlined in F.2.b.(4). 

                         8    Health Maritime Construction and 
                              Water Transportation Services) Inspections. 
                              No seperate programmed maritime health 
                              inspections.  Rather, the Area Director shall 
                              determine which maritime inspections are to be 
                              conducted as joint inspections because serious 
                              health hazards are likely to exist at the 
                              worksite, or scheduled as a local emphasis 
                              program. 

               (4)  Special Emphasis Programs.  Special Emphasis 
                    Programs provide for programmed inspections in high 
                    potential injury or illness rate situations which are 
                    not covered by the scheduling systems outlined in the 
                    preceding subsections of F.2.b. or, if covered, are 
                    not addressed to the extent considered adequate under 
                    the specific circumstances present.  Special emphasis 
                    programs may also be used to set up alternative 
                    scheduling procedures or other departures from national 
                    procedures.  They include National Emphasis Programs and 
                    Local Emphasis Programs. 

                    (a)  Description.  The description of and the 
                         reasons for specific National Emphasis Programs 
                         will be set forth in appropriate instructions 
                         or notices as the occasion arises.  Local 
                         Emphasis Programs may be developed by the Area 
                         Office or by the Regional Office, depending 
                         on the matter addressed. 

                                  II-30 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                         1    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. 

                              f     Other identifying characteristic. 

                         2    The reasons for and the scope of a 
                              Special Emphasis Program shall be described 
                              described and may be limited by geographic 
                              boundaries, size of worksite, or similar 
                              considerations. 

                         3    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. 

                    (b) Scheduling Inspections.  The following 
                         guidelines shall apply in scheduling Special 
                         Emphasis Program inspections: 

                         1    Certain Special Emphasis Programs 
                              identify the specific worksites and/or 
                              industries that will be inspected; 
                              therefore, the only action remaining to 
                              be taken is the scheduling of inspections. 

                         2    Other Special Emphasis Programs identify 
                              only the subject matter of the program 
                              and contemplate that not all worksites within 
                              the program will necessarily be inspected. 

                         3    If no special worksites are identified 
                              within the program, the Regional Administrator 
                              or the Area Director shall use available 
                              information to compile a worksite list. 

                         4    Where no procedures for scheduling 
                              worksites for inspection are specified 
                              by the National Office, the Regional 
                              Administrator or the Area Director shall 
                              develop such procedures.  The procedures 
                              set forth in F.2.b.(2) for scheduling 
                              construction inspections may be used for 
                              scheduling worksites within Special 
                              Emphasis Programs. 

                                  II-31 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              Scheduling procedures other than those 
                              specified in F.2.b(2) shall be submitted 
                              for approval to the Director of Compliance 
                              Programs through the Regional Administrator. 

                    (c)  Program Evaluation.  Agency policy currently 
                         requires the Regional Administrator to evaluate 
                         any special emphasis program approved for inspection 
                         within the Region.  This evaluation shall consist of 
                         a report of the program's successes and 
                         difficulties in accomplishing its identified 
                         goals. Every program submitted for approval shall 
                         contain a program evaluation element. 

               (5)  Other Special Programs.  The Agency may develop 
                    programs to cover special categories of inspections 
                    which are not covered under the planning guide or under 
                    Special Emphasis Programs.  Currently migrant farmworker 
                    camp inspections have been designated as such a program. 

                    (a)  In accordance with 20 CFR Part 42, OSHA has 
                         agreed to conduct migrant farmworker camp 
                         inspections annually, the number to be assigned 
                         by the Assistant Secretary in accordance with 
                         in accordance with current program plan 
                         procedures.  These inspections are to be 
                         distributed among the Regions in accordance 
                         with traditional levels of such activity. 

                    (b)  At the beginning of each season, the Regional 
                         Administrators for the Employment Standards 
                         Administration (ESA) will provide each Regional 
                         Administrator with a list of migrant farmworker 
                         camps which ESA does not intend to inspect 
                         itself. 

                         1    The list will contain all known migrant 
                              camps except the ones to be inspected by ESA. 

                         2    The list will also contain all known 
                              migrant camps not subject to ESA inspection 
                              because they do not have farm labor 
                              contractors associated with them. 

                    (c)  When the list is received, the Regional 
                         Administrator shall determine what procedure is 
                         to be used for scheduling migrant camp inspections. 
                         These inspections may be scheduled either by the 
                         the Regional Office or by the Area Office.  If 
                         the scheduling is to be done by the Area Office, 
                         the list received from ESA shall be subdivided by 
                         geographical area and forwarded to the 
                         appropriate Area Office as soon as possible. 

                                  II-32 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (d)  The Regional Administrator is responsible, under 
                         either scheduling procedure, for ensuring that the 
                         minimum number of inspections mandated for the 
                         Region is accomplished.  Area Offices may be 
                         assigned a proportional number of the inspections 
                         for which the Region is responsible or some other 
                         equitable distribution procedure may be used. 

                    (e)  The office responsible for scheduling these 
                         inspections shall proceed as follows: 

                         1    Add to the ESA list (if one is recieved) 
                              all additional known migrant camps, using all 
                              available information, including OSHA 
                              inspection history, local knowledge and 
                              experience, and information from other 
                              relevant sources.  This list shall be reviewed 
                              and revised as necessary each year. 

                         2    Delete any camps known to be inactive 
                              from past experience or from other reliable 
                              sources from the list referred to in the 
                              preceding subparagraph. 

                         3    If the total number of camps on the list 
                              is equal to or less than the number of 
                              inspections to be conducted, all of the 
                              camps shall be scheduled for inspection. 

                         4    If the total number of camps exceed the 
                              number of inspections to be conducted, 
                              number the adjusted list consecutively 
                              beginning with 1. 

                         5    Using a random number method and following 
                              the guidelines in OSHA Instruction CPL 2.25H, 
                              Appendix C, select farmworker camp sites in 
                              the order prescribed by the random numbers 
                              numbers until the number of camps selected 
                              equals the number of projected inspections 
                              for the year.  The resulting list shall 
                              constitute the annual cycle. 

                         6    If the Regional Office has scheduled the 
                              inspections for the whole Region, the list 
                              shall be subdivided and assigned to the 
                              appropriate Area Offices for inspection. 

                         7    Camps on the list for inspection may 
                              be selected and inspected in any order that 
                              makes efficient use of available resources. 

                                  II-33 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         8    The inspection cycle shall be completed 
                              before the end of the current growing 
                              season.  The only exceptions are as follows: 

                              a    An establishment may be carried 
                                   over to the next cycle (next growing 
                                   season) if substantially all activity 
                                   has been completed at the site where 
                                   the migrant camp is located and the 
                                   camp itself has been vacated before 
                                   the inspection could be conducted. 

                              b    An establishment may be carried over 
                                   to the next cycle if the inspection 
                                   cannot be completed due to the employer's 
                                   refusal to allow it and there is not 
                                   enough time to obtain a warrant. 

                              c    Approval for carrying over a 
                                   worksite for reasons not listed above 
                                   must be requested from the Regional 
                                   Administrator and approved by the 
                                   Director, Office of Field Programs. 

                         9    As the cycle progresses, each time a 
                              camp is deleted as not inspectable or is 
                              carried over to the next cycle (year) for 
                              some legitimate reason, another camp shall 
                              be immediately selected from the migrant 
                              camp list in the order prescribed by the 
                              the random numbers and added to the 
                              inspection list until the number of 
                              inspections conducted equals the number of 
                              inspections needed to meet the total number 
                              projected for the Area (Regional) Office or 
                              until the list of known migrant camps is 
                              exhausted. 

G.   Exemptions and Limitations. 

     1.   Congress may place exemptions and limitations on OSHA 
          activities through the annual Appropriations Act. 
          Refer to current OSHA Instructions for guidelines on 
          how to apply current exemptions and limitations to 
          compliance programming.  (See OSHA Instruction CPL 
          2.51H., or most current version.) 

     2.   New construction activities within DOE sites will no 
          longer be considered part of OSHA's jurisdiction.  When 
          such sites appear on targeting lists, they shall be 
          deleted.  If inspections are underway at such sites, 
          they shall be terminated with appropriate explanations 
          to the employer and to employee representative. 
          Complaints from employees at such sites shall be 
          referred to the DOE for resolution. See CPL 2.95, 
          Enforcement Authority at the Department of Energy's 
          (DOE) Government-Owned, Contractor-Operated (GOCO) 
          Sites, February 10, 1992. 

                                  II-34 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (1)  Employees Represented by a Certified or 
                    Recognized Bargaining Agent.  During the opening 
                    conference, the highest ranking union official or 
                    union employee representative shall designate who will 
                    participate in the walkaround. 

               (2)  Safety Committee.  The employee members of an 
                    established plant safety committee or the employees 
                    at large may have designated an employee representative 
                    for OSHA inspection purposed or agreed to accept as 
                    purposes or agreed to accept as their representative 
                    the employee designated by the committee to accompany 
                    the CSHO during an OSHA inspection. 

               (3)  No Certified or Recognized Bargaining 
                    Agent.  Where employees are not represented by 
                    an authorized representative, where there is no 
                    established safety committee, or where employees have 
                    not chosen or agreed to an employee representative 
                    for OSHA inspection purposes whether or not there is 
                    a safety committee, the CSHO shall determine is 
                    the CSHO shall determine if any other employees would 
                    suitably represent the interests of employees on the 
                    walkaround. 

                    (a)  If selection of such employee representatives is 
                         impractical, the inspection shall be conducted 
                         without an accompanying employee representative; 
                         and the CSHO shall consult with a reasonable 
                         number of employees during the walkaround in 
                         accordance with the provisions of 29 CFR 
                         1903.8 and Section 8(e) of the Act. 

                    (b)  Employees selected for interviewing shall include 
                         individuals judged know knowledgeable about the 
                         area or process being inspected. 

     6.   Special Situations. 

          a.   Preemption by Another Agency.  Section 4(b)(1) states 
               that the OSH Act does not apply to working conditions over 
               which other Federal agencies exercose statutory 
               responsibility.  The determination of preemption by another 
               Federal agency is, in many cases, a highly complex matter. 
               To preclude as much as possible any misunderstanding with 
               other agencies and to avoid consequent adverse actions by 
               employers (or agencies) the Area Director shall observe the 
               following guidelines whenever a situation arises involving 
               a possible preemption of jurisdiction question: 

               (1)  The Area Director shall be alert to potential 
                    conflicts with other agencies at all times. If a 
                    question arises, usually upon receipt of a complaint, 
                    referral, or other inquiry, the OSHA Directives System 
                    shall be consulted immediately to determine if the 
                    issue has been addressed there in a Memorandum of 
                    Understanding or other agreement with the agency 
                    involved. 

                                  III-37 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    NOTE:     New construction activities within 
                              DOE sites are no longer considered 
                              part of OSHA's jurisdiction.  See 
                              CPL 2.95, Enforcement Authority at 
                              the Department of Energy's (DOE) 
                              Government-Owned, Contractor- 
                              Operated (GOCO) Sites, February 10, 
                              1992. 

               (2)  If not, the Area Director shall consult with the 
                    Regional Administrator who shall provide clarification 
                    of the issue after consulting with the Regional 
                    Solicitor, if appropriate, or with the other Federal 
                    agency's local or Regional Office. 

                    NOTE:     Routine contact with other Federal agencies 
                              at the local and regional levels is highly 
                              desirable where Section 4(b)(1) issues may 
                              arise.  Regional Administrators and Area 
                              Directors shall maintain active liason with 
                              their counterparts in other agencies to ensure 
                              full cooperation in the event a situation 
                              requires clarification. 

               (3)  If the Regional Office is unable to clarify the issue, 
                    it shall be referred to the Director, Office of Field 
                    Programs. 

               (4)  At times an inspection may have already begun when the 
                    Section 4(b)(1) question arises.  In such cases the CSHO 
                    shall interrupt the inspection and contact the supervisor 
                    for guidance. 

               (5)  If, following an inspection, there remains any doubt 
                    as to OSHA coverage, the proposed citation and penalty 
                    shall be cleared with the Regional Solicitor, through 
                    the Regional Administrator, and, if necessary, the 
                    Director of Compliance Programs, prior to issuance. 

               (6)  If it is determined that OSHA does not have jurisdiction, 
                    the case shall be referred to the appropriate agency if 
                    if there is reason to believe that violations may exist. 

          b.   Labor Relations Disputes.  The CSHO shall not become 
               involved in labor relations disputes either between a 
               recognized union and the employer or between two or more 
               unions competing for bargaining rights.  However, if there 
               is a recognixed union, the highest ranking official 
               available will designate the authorized walkaround 
               representative even though another union may be seeking 
               recognition. 

          c.   Expired Collective Bargaining Agreement.  When a union 
               contract has expired, the CSHO shall assume that the incumbent 
               union remains as the bargaining agent unless that union is 
               decertified officially replaced, or has abandoned bargaining 
               agent status. 

                                  III-38 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          d.   Employee Representatives Not Employees of the Employer. 
               Walkaround representatives authorized by employees will 
               usually be employees of the employer.  If, however, a 
               a non-employee (union official, industrial hygienist, safety 
               engineer, or other experienced safety or health person) is 
               designated by the employees as their representative to 
               accompany the CSHO during the inspection, such a person 
               inspection, such a person normally shall be accorded 
               walkaround rights consistent with 29 CFR 1903.8(c). 
               Questionable circumstances, including delays of more than one 
               hour, shall be referred to the supervisor.  A non-employee 
               representative shall be cautioned by the CSHO not to discuss 
               matters pertaining to operations of the employer during the 
               inspection. 

          e.   More Than One Representative.  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  More than one 
               employer and/or representative may accompany the CSHO 
               throughout or during any of an inspection if the CSHO 
               determines that such additional  will aid and not 
               interfere with the inspection (29 CFR 1903.8(a)). 

               (1)  Whenever appropriate to avoid a large group, the CSHO 
                    shall encourage multiple employers to agree upon and 
                    choose a limited number of for walkaround 
                    accompaniment purposes.  If necessary, during the 
                    employer representatives not on the walkaround shall 
                    be contacted to in particular phases of the inspection. 

               (2)  As an alternative, the CSHO shall divide a 
                    multi-employer inspection into separate  phases; 
                    e.g., excavation, steel erection, mechanical, 
                    electrical, etc., encourage employer representatives 
                    to in different phases, as appropriate. 

               (3)  The same principles shall govern the selection of 
                    employee representatives when several are involved. 

          f.   Disruptive Conduct.  The CSHO may deny the 
               right of accompaniment to any person whose conduct 
               interferes with a full and orderly inspection (29 
               1903.8(d)).  If disruption or interference occurs, the 
               CSHO shall use professional judgment to whether to 
               suspend the walkaround or take other action.  The 
               supervisor shall be consulted the walkaround is 
               suspended.  The employee representative shall be advised 
               that during the matters unrelated to the inspection shall 
               not be discussed with employees. 

          g.   Trade Secrets.  The CSHO shall ascertain from the 
               employer if the employee representative is authorized to 
               enter any trade secret area(s).  If the CSHO shall 
               consult with a reasonable number of employees who work in 
               the area (29 CFR 1903.9(d)). 

                                   III-39 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          h.   Classified Areas.  In areas containing 
               information classified by an agency of the U.S. Government 
               in the interest of national security, persons authorized 
               to have access to such information may accompany a CSHO 
               (29 CFR must also have the proper security clearances to 
               enter these areas. 

          i.   Apparent Violations Observed Prior to the Walkaround. 
               When an apparent violation is the CSHO prior to the 
               walkaround, it shall be noted.  All such apparent violations 
               during the walkaround and cited if appropriate.  When 
               possible, serious violations and documented immediately 
               at the commencement of the walkaround. 

          j.   Use of Tape Recorders.  The use of tape recorders during 
               the required conferences may inhibit the free exchange of 
               information, and care be exercised in their use.  Tape 
               recorders may be used by the CSHO only after authorization 
               by the supervisor. 

               (1)  The use of tape recorders may be authorized whenever 
                    circumstances justify it, such as where there is 
                    conflicting evidence that the preservation of 
                    statements is advisable or where securing  statements 
                    from affected employees will delay the expeditious 
                    completion of the investigation. 

               (2)  The tape recorder shall not be used in locations where 
                    it may be hazardous. 

               (3)  If the employer, employer representative, affected 
                    employees, or any other witnesses object to recording 
                    their statements during part of the investigation, the 
                    inspection shall be continued without the tape recorder. 

     7.   Examination of Record Programs and Posting Requirements. 

          a.   Records.  As appropriate, the CSHO shall comply with 
               the records review procedures that follow, and document 
               the findings in the case file. 

               NOTE:     Exception -- For partial inspections, 
                         whether programmed or unprogrammed, the 
                         CSHO may, but is not required to, 
                         include a review of the injury and 
                         illness records and an assessment of 
                         some or all of the employer's programs. 
                         See Chapter II, C.2.a. 

               (1)  Injury and Illness Records.  At the time of the 
                    inspection, all injury and illness records required by 
                    29 CFR 1904 shall be examined.  If the records have 
                    been examined during the current calendar year by a 
                    CSHO of same discipline, the CSHO need only review 
                    the injury and illness records since last inspection. 
                    The OSHA-200 data need not be entered on the OSHA-1, 
                    unless: 

                                   III-40 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (a)  The OSHA-200 data was not available at the time 
                         of the last inspection, but has now become 
                         available; or 

                    (b)  The calendar year has changed since the last 
                         inspection and new OSHA-200 data is available. 

                    NOTE:     The CSHO shall not request access to the 
                              Bureau of Labor Statistics survey questionnaire 
                              (OSHA-200S) or even ask if the employer has 
                              participated in the survey program. 

               (2)  Access to Employee Exposure and Medical 
                    Records.  During all health inspections and safety 
                    inspections when designated by the supervisor, whatever 
                    the LWDI rate, the CSHO shall determine if applicable 
                    exposure and medical records are being maintained in 
                    accordance with the medical surveillance recordkeeping 
                    requirements of applicable standards or of 29 CFR 1910.20. 
                    CSHO access to the employee medical records is authorized 
                    under Other Regulations and Procedures, 29 
                    CFR 1913.10(b)(4), for the limited purpose of verifying 
                    the existence of required records.  Review of the 
                    content of such medical records may require a written 
                    access order or express employee consent.  (See OSHA 
                    Instructions CPL 2-2.32, CPL 2-2.33, and CPL 2-2.46.) 

               (3)  Hazard Communication.  [RESERVED] 

               (4)  Lockout/Tagout.  Evaluations of compliance with 
                    lockout/tagout standards shall be conducted during 
                    all general industry inspections within the scope of 
                    the standard.  The review of records shall include 
                    special attention to injuries related to maintenance 
                    and servicing operations. (See OSHA 
                    Instruction STD 1-7.3.) 

                                  III-41 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


               (5)  Other Records.  Any other records which fall within 
                    the scope of the inspection and which are related 
                    directly to the purpose of the inspection (29 CFR 
                    1903.3(a)) shall be examined.  These may include, but 
                    are not limited to: 

                    (a)  Required certification records properly completed 
                         and any available equipment inspection and 
                         maintenance records; 

                    (b)  Medical surveillance or monitoring records, employee 
                         exposure records and other medical records not 
                         covered under the hazard communication standard. 
                         (See D.7.a.(3).) 

                    NOTE:     Whenever circumstances indicate or whenever 
                              assigned by their supervisors, adequately 
                              cross-trained CSHOs conducting a safety 
                              inspection shall also conduct a survey of 
                              records required by various health standards 
                              to be maintained by the employer.  These 
                              required records may be evaluated by the 
                              CSHO at the site or may be copied for 
                              examination by the health staff. 

                    (c)  Safety committee minutes; checklists; records of 
                         inspections conducted by plant safety and 
                         health committees, insurance companies, or 
                         consultants; if voluntarily supplied by the 
                         employer. 

                    (d)  Variance documentation. 

          b.   Posting.  The CSHO shall determine if posting requirements 
               are met in accordance with 29 CFR 1903 and CFR 1904.  These 
               include, but are not limited to: 

               (1)  OSHA poster informing employees of their rights and 
                    obligations under the Act. 

               (2)  Log and Summary of Occupational Injuries and Illnesses 
                    during the month of February. 

               (3)  Current citations, if any. 

               (4)  Petitions for Modification of Abatement Date (PMAs). 

          c.   Additional Information.  It is OSHA policy that all 
               safety and health inspections include an entry into and 
               survey of the workplace.  Physical inspection of the 
               workplace offers the opportunity not only to identify 
               hazards, but also to verify the effectiveness of safety 
               and health programs. 

                                  III-42 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


               (1)  Accordingly, for all safety and health inspections, 
                    the CSHO shall review the employer's overall safety 
                    and health management program and specific programs 
                    such as those related to personal protective 
                    equipment and respiratory protection to evaluate their 
                    effectiveness and identify deficiencies. 

               (2)  This review shall include a brief survey of the 
                    workplace, focusing on any high hazard areas. 

               (3)  A partial inspection may be expanded, in consultation 
                    with the Area Director, based on the following factors: 

                    (a)  Lack of comprehensive safety and health 
                         management program.  (See D.8.a.(2) and Chapter 
                         III Appendix, "Narrative," B.18.) 

                    (b)  Significant deficiencies in critical programs 
                         such as respiratory protection programs, hazard 
                         communication, lockout/tagout, wire rope 
                         inspection for cranes, or fire protection programs. 

                    (c)  Moderate to high gravity serious violations of 
                         safety and health standards uncovered during the 
                         plant tour. 

                    (d)  Concentrations of injuries or illnesses in 
                         specific areas of the plant. 

                    (e)  Has a high injury and illness rate relative to 
                         their industry (SIC). 

               (4)  If it is determined to expand the inspection, the 
                    employer shall be immediately so notified. 

               (5)  Observed violations shall be documented and cited 
                    appropriately. 

     8.   Walkaround Inspection.  The main purpose of the walkaround 
          is to identify potential safety and/or health hazards in the 
          workplace.  The CSHO shall conduct the inspection in such a 
          manner as to eliminate unnecessary personal exposure to hazards 
          and to minimize unavoidable personal exposure to the extent 
          possible. 

          a.   General Procedures.  It is essential during the walkaround 
               portion of every inspection for the CSHO to: 

               (1)  Become familiar with plant processes, collect information 
                    on hazards, observe employees' activities and interview 
                    them as appropriate. 

                    (a)  For health inspections, a preliminary tour of the 
                         establishment normally shall be accomplished 
                         before any decision to conduct an in-depth 
                         industrial hygiene investigation. 

                                  III-43 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                    (b)  Such a preliminary walkaround shall survey existing 
                         engineering controls and collect screening samples, 
                         when appropriate, to determine the need for 
                         full-scale sampling. 

                         1    If screening reveals potentially high 
                              exposure levels, a comprehensive health 
                              inspection shall be conducted. 

                         2    If screening samples must be sent to the 
                              laboratory for analysis, the employer shall 
                              be so informed. 

                              a    If the laboratory results show that 
                                   potentially high employee exposure 
                                   levels exist, full-scale sampling of the 
                                   potentially hazardous areas will be 
                                   conducted. 

                              b    If the results are negative, the file 
                                   will be closed. 

               (2)  Evaluate the employer's safety and health program 
                    (whether written or not) as follows: 

                    (a)  By ascertaining the degree to which the employer 
                         is aware of potential hazards present in the 
                         workplace and the methods in use to control them: 

                         1    What plans and schedules does the 
                              employer have to institute, upgrade and 
                              maintain engineering and administrative 
                              controls? 

                         2    What is the employer's work practices 
                              program? 

                    (b)  By determining employee knowledge of any hazards 
                         which exist in the establishment; the extent to 
                         which the employer's program covers the 
                         precautions to be taken by employees actually or 
                         potentially exposed to plant hazards; emergency 
                         procedures and inspection schedules for emergency 
                         personal protective equipment; the program for the 
                         selection, use and maintenance of routine personal 
                         protective equipment; and overall quality and 
                         extent of the educational and training program and 
                         the degree of employee participation in it. 

                         1    Compliance with the training requirements 
                              of any applicable safety and/or health 
                              standard shall be determined. 

                         2    The following specific elements of the 
                              establishment safety and health program 
                              shall be evaluated in the detail appropriate 
                              to the circumstances of the inspection: 

                                  III-44 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                              a    Comprehensiveness.  Evaluate the 
                                   degree to which the employer's safety and 
                                   health program addresses the full range 
                                   of hazards normally encountered in the 
                                   employers operations.  This is an overall 
                                   evaluation and shall take into account 
                                   the evalutions of the remaining categories. 
                                   Indicate whether the program is written. 

                              b    Communication. 
                                   Evaluate the employees' awareness of 
                                   the access to the safety and health 
                                   program, taking into account the principal 
                                   means by which the program is communicated 
                                   to them (e.g., oral instructions, booklets, 
                                   memorandums, posters, etc.). Consider 
                                   whether safety meetings are held by the 
                                   employer, their frequency and the persons 
                                   conducting them (e.g., crew foremen, 
                                   intermediate level supervisors, safety 
                                   director, etc.).  The effectiveness of 
                                   these means shall be considered in the 
                                   evaluation. 

                              c    Enforcement. Evaluate the degree 
                                   to which safety and health rules are 
                                   actually enforced, taking into account 
                                   the principal methods used  (e.g., 
                                   warnings, written disciplinary action, 
                                   discharge, etc.) and the effectiveness of 
                                   these methods.  Determine whether there 
                                   is a staff (or one specific person) 
                                   with assigned safety or health 
                                   responsibilities and consider the 
                                   effectiveness of the staff's performance. 

                              d    Safety/Health Training Program. 
                                   Evaluate separately any safety and health 
                                   training programs the employer has. 
                                   Factors to be considered include the need 
                                   for special training in view of the 
                                   hazards likely to be encountered or of 
                                   specific requirements for such training 
                                   and the need for ongoing or periodic 
                                   training or retraining of employees. 

                              e    Investigations.  Evaluate the 
                                   employer's efforts to make accident/ 
                                   injury/illness investigations and 
                                   indicate whether adequate corrective 
                                   and preventive actions are taken as a 
                                   result. 

               (3)  Determine compliance with specific performance standards 
                    that require emphases such as hazard communication and 
                    lockout/tagout. 

               (4)  Identify locations and conditions that recieved citations 
                    during a previous inspection and include follow-up or 
                    monitoring activities as part of the walkaround to 
                    ensure proper abatement or to determine abatement 
                    progress, if the citations are a final, unstayed order 
                    of the Review Commission.  Follow-up and monitoring 
                    activities do not constitute a separate inspection 
                    when they are conducted as part of another investigation. 
                    No separate 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    OSHA-1 should be submitted.  Follow-ups will normally 
                    be conducted within three years. 

                    (a)  Record all facts pertinent to an apparent failure 
                         to abate, repeated or willful violation on the 
                         appropriate compliance worksheets, as described in 
                         D.8.a.(5). 

                    (b)  Determine if a letter of abatement previously 
                         received from the employer accurately described the 
                         correction of a previously cited violation. 

                    (c)  Apparent violations shall be brought to the 
                         attention of employer and employee representatives 
                         at the time they are documented. 

               (5)  Record all facts pertinent to an apparent violation 
                    on the appropriate compliance worksheets.  Apparent 
                    violations shall be brought to the attention of employer 
                    and employee representatives at the time they are 
                    documented. 

                    (a)  All notes, observations, analyses, and other 
                         information shall be either recorded on the 
                         worksheet or attached to it. 

                         1    Because this documentation is required for 
                              each instance of an alleged violation, the 
                              CSHO shall normally use one worksheet to 
                              describe each instance as it is note. 

                         2    If identical violations of the same 
                              standard or of several related standards are 
                              noted in one general location in the 
                              establishment and if the documentation is 
                              essentially the same, all of those violations 
                              may be treated as a single instance description 
                              and only one worksheet need be completed for 
                              that instance. 

                         3    Photographs, videotapes, sketches, and 
                              descriptions that are attached to the 
                              worksheet are part of the inspection record 
                              and shall be noted on the form.  The original 
                              field notes, as a basic documentation of the 
                              violation, shall be attached to the worksheet 
                              and retained in the case file.  See OSHA 
                              Instruction ADM 12.5, Pages D-8 and 9, for 
                               filing arrangement . 

                    (b)  The CSHO shall provide as much detailed information 
                         as practical to establish the specific 
                         characteristics of each violation as follows: 

                         1    Describe the observed hazardous conditions 
                              or practices (i.e., the facts which constitute 
                              a hazardous condition, operation or practice 
                              and the essential facts as to how and/or why 
                              a standard 

                                  III-46 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              is allegedly violated).  Specifically identify 
                              the hazards to which employees have been or 
                              could be exposed. Describe the type of 
                              accident 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 
                              exposed.  If more than one type of accident 
                              or exposure could reasonably be predicted to 
                              occur, describe the one which would result 
                              in the most serioud injury illness. For the 
                              type of accident described, include: 

                              a    All factors about the violative 
                                   condition which could significantly affect 
                                   the nature and severity of the resulting 
                                   of the resulting injuries, (e.g., "fall 
                                   of 20 feet (6 meters) onto protruding 
                                   rebar"; "fall into water-filled 
                                   excavation") 

                              b    Other factors which could affect the 
                                   probability that an injury would occur, 
                                   such as: 

                                   o    Proximity of the workers to the 
                                        point of danger of the operation. 

                                   o    Stress producing characteristics of 
                                        the operation (e.g., speed, heat, 
                                        repetitiveness, noise, position of 
                                        employee). 

                              c    For contaminants and physical agents, 
                                   any additional facts which clarify the 
                                   nature of employee exposure. 

                              d    The identification of the equipment 
                                   and process which pose the hazards, i.e., 
                                   serial numbers, equipment types, trade 
                                   names, manufacturers, and etc.  Include 
                                   a sketch when appropriate. 

                              e    The specific location of the violation: 

                                   o    Building No. 3, second floor, column 
                                        no. 6. 

                                   o    Machine Shop, N.E. corner, Department 
                                        12. 

                                   o    Foundry, N.W. corner, shakeout area. 

                              f    State the nature of the more serious 
                                   types of injury or illness which it is 
                                   reasonably predictable and could result 
                                   from the accident or health exposure. 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                   o    Thus, the entry for the "fall from 
                                        20 feet (6 meters) onto 
                                        protruding rebar" might read "death 
                                        rebar" might read "death from 
                                        multiple injuries."  For exposure 
                                        to asbestos, the entry might read 
                                        "asbestosis, cancer and death." 

                                   o    Broad categories of injuries and 
                                        health effects (such as "electric 
                                        shock," "burns," or "lacerations") 
                                        shall be qualified to indicate 
                                        whether the injuries or health 
                                        effects are major or minor. 

                                   o    In identifying the illnesses which 
                                        a standard regulating exposure to an 
                                        air contaminant or harmful physical 
                                        agent is designed to prevent in a 
                                        particular worksite, it may be 
                                        necessary to consider not only the 
                                        level of exposure but also the 
                                        frequency and duration of exposure 
                                        to the contaminant or agent. 

                              g    Any specific measurements taken 
                                   during the inspection (e.g., "20 ft. 
                                   (6 m) distance from top of scaffold 
                                   platform to ground level"; "employee 
                                   standing 2 ft. (60 cm) from 
                                   unguarded floor edge"; "employee seated 
                                   2 ft. (60 cm) from source of metal 
                                   fumes") which will further document 
                                   the nature of the hazardous conditions 
                                   and operations. 

                                   o    Describe how measurements were 
                                        taken during the inspection. 

                                   o    Identify the measuring techniques 
                                        and equipment used and those who 
                                        were present; i.e., employee 
                                        or employer representative who 
                                        observed the measurements being 
                                        taken. 

                                   o    Include calibration dates and 
                                        description of calibration procedures 
                                        used, if appropriate. 

                              h    Exposure facts so as to present a 
                                   picture of employee exposure to the 
                                   hazard for each particular occupation, 
                                   including: 

                                   o    The occupation and the employer of 
                                        the exposed employees if the 
                                        employer is different from the one 
                                        on the corresponding OSHA-1. 

                                   o    The number of exposed employees in 
                                        that occupation. 

                                  III-48 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (c)  A transcription of a recorded statement shall be 
                         made if necessary; the transcription shall meet 
                         the requirments of D.8.d(5)(a) and (b). 

          e.   Special Circumstances. 

               (1)  Trade Secrets.  Trade secrets are matters that are 
                    not of public or general knowledge.  A trade secret is 
                    any confidential formula, pattern, process, equipment, 
                    list, blueprint, device or compilation of information 
                    used in the employer's business which gives an 
                    advantage over competitors who do not know or use it. 

                    (a)  Policy.  It is essential to the effective 
                         enforcement of the Act that the CSHO and all 
                         OSHA personnel preserve the confidentiality of all 
                         information and investigations which might reveal 
                         a trade secret. 

                    (b)  Restrictions and Controls.  When the employer 
                         identifies an operation or condition as a trade 
                         secret, it shall be treated as such.  Information 
                         obtained in such areas, including all negatives, 
                         photographs, videotapes, and OSHA documentation 
                         forms, shall be labeled: 

                         "ADMINISTRATIVELY CONTROLLED INFORMATION" 
                              "RESTRICTED TRADE INFORMATION" 

                         1    Under Section 15 of the Act, all 
                              information reported to or obtained by a 
                              CSHO in connection with any inspection or 
                              other activity which contains or which 
                              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. 

                         2    Title 18 of the United States Code, 
                              Section 1905, provides criminal penalties 
                              for Federal employees who disclose such 
                              information.  These penalties include fines 
                              of up to $1,000 or inprisonment of up to 
                              one year, or both, and removal from office 
                              or employment. 

                         3    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. 

                    (c)  Photographs and Videotapes.  If the 
                         employer objects to the taking of 
                         photographs and/or videotapes because 
                         trade secrets would or may be disclosed, 
                         the CSHO should advise the employer of 
                         the protection 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         against such disclosure afforded by 
                         Section 15 of the Act and 29 
                         CFR 1903.9.  If the employer still 
                         objects, the CSHO shall contact the 
                         supervisor. 

               (2)  Areas Requiring Immunization.  If, during an 
                    inspection, a non-immunized CSHO encounters 
                    an area requiring immunization, the CSHO 
                    shall not enter that area but shall note a 
                    description of the area, immunization 
                    required, employees exposed, location and 
                    other pertinent information in the case file. 

                    (a)  Nonimmunized CSHO.  The CSHO shall 
                         consult with the supervisor about 
                         scheduling a properly immunized CSHO 
                         for an immediate or later inspection, as 
                         applicable.  The CSHO shall then 
                         complete the inspection of all other 
                         areas of the establishment. 

                    (b)  Nonimmunized Walkaround Representative. 
                         If, during an inspection, a properly 
                         immunized CSHO finds that walkaround 
                         representatives of employers and 
                         employees are not properly 
                         immunized and, therefore, not authorized 
                         in the area, a reasonable number of 
                         employees and the supervisor of that 
                         area shall be consulted concerning 
                         workplace health and safety.  (See B.7. 
                         for additional information.) 

               (3)  Violations of Other Laws.  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. 

     9.   Closing Conference.  At the conclusion of an 
          inspection, the CSHO shall conduct a closing conference 
          with the employer and the employee representatives. 
          (On multi-employer worksites, the CSHO shall decide 
          whether separate closing conferences will be held with 
          each employer representative.)  A joint closing 
          conference shall be held with the employer and the 
          employee representatives whenever practicable.  Where 
          either party wishes to have a separate conference or 
          where it is not practical to hold a joint closing 
          conference, separate closing conferences shall be held. 
          A written summary of each conference shall be included 
          in the case file.  A copy of the written summaries will 
          be available from the Area Director upon request by the 
          employer or the employee representatives. 

          a.   General.  The CSHO shall describe the apparent 
               violations found during the inspection and 
               indicate the applicable sections of the standards 
               which may have been violated.  During the closing 
               conference, both the employer and the employee 
               representatives shall be advised of their rights 
               to participate in any subsequent conferences, 
               meetings or discussions. 

                                  III-58 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  Whether or not a plan is submitted before issuing a 
                    citation, an abatement plan shall be provided for in 
                    the citation in addition to a final abatement date. 

               (3)  When the plan is submitted, if the engineering or 
                    administrative corrections proposed by the employer 
                    appear to be all that are feasible based on the 
                    current technology, this fact may be stipulated and 
                    agreed to between OSHA and the employer. 

                    (a)  Such an agreement shall permit 
                         assurances in advance to the employer 
                         that the establishment will be in 
                         compliance where the provisions of the 
                         plan are fully implemented. 

                    (b)  It shall be made clear in the agreement 
                         that the employer is not relieved from 
                         instituting further engineering (or 
                         administrative) controls as they become 
                         technically feasible, it is likely that 
                         such further controls will lower 
                         employee exposure when exposure without 
                         personal protective equipment (PPE) 
                         remains over the PEL. 

                    (c)  In all situations where an agreement is 
                         proposed, the advice of the Regional 
                         Solicitor shall be sought on the legal 
                         implications. 

                    (d)  If an agreement is acceptable, the 
                         Regional Solicitor shall be requested to 
                         assist in drafting the agreement. 
                         Agreements having interregional 
                         implications shall be cleared with the 
                         Director, Office of Field Programs. 

               (4)  A statement agreeing to provide the affected 
                    Area Offices with written periodic progress 
                    reports shall be part of the long-term 
                    abatement plan.   (See Chapter II and Chapter 
                    V for monitoring requirements.) 

     8.   Multistep Abatement. Citations with multistep abatement 
          periods normally will be issued only in those 
          situations in which ultimate abatement will require the 
          implementation of feasible engineering controls, as 
          distinguished from feasible administrative controls or 
          the use of PPE.  Multistep abatements shall be based on 
          the conditions cited and related feasibility 
          considerations. 

          a.   General.  A step-by-step program for abatement 
               provides a tool for the CSHO to monitor abatement 
               progress after a citation has been issued, for the 
               employer to make abatement decisions and to set up 
               schedules efficiently, and for the employees to 
               understand the changes being made to the working 
               environment. 

               (1)  Although abatement of an air contaminant 
                    citation normally requires the implementation 
                    of feasible engineering and/or administrative 
                    controls, 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    abatement may be accomplished in rare cases 
                    through the use of PPE, even when engineering 
                    or administrative controls are feasible (see 
                    E.8.c.(3)). 

               (2)  In such cases the Regional Administrator 
                    shall contact the Directorate of Compliance 
                    Programs through the Office of Field Programs 
                    prior to approving final abatement through 
                    the use of PPE. 

          b.   Interim and Long-range Abatement.  When the cited 
               employer is found to have no effective personal 
               protection program, in addition to long-term 
               abatement through the use of feasible 
               administrative or engineering controls, proper 
               abatement will include a short-term requirement 
               that appropriate PPE be provided. 

               (1)  The Area Director, in issuing the citation, 
                    shall set a short-range abatement date for 
                    prompt temporary protection to employees 
                    pending formulation and implementation of 
                    long-range feasible engineering and/or 
                    administrative controls.  Short-range 
                    administrative controls and PPE shall be 
                    specified in the citation as the interim 
                    protection.  (See Chapter V, Appendix, E. 
                    (Page V-26) for examples.) 

               (2)  If it has been determined that the employer 
                    will use engineering controls to achieve 
                    abatement, a specific date shall be set by 
                    which the employer can reasonably be expected 
                    to implement engineering controls, including 
                    enough time for the development of 
                    engineering plans and designs for such 
                    controls, as well as necessary construction 
                    or installation time. 

          c.   Considerations. In providing for multistep 
               abatement the following factors shall be taken 
               into consideration: 

               (1)  In general, engineering controls afford the 
                    best protection to employees, and the 
                    employer shall be required to utilize such 
                    controls in all instances to the extent 
                    feasible.  The noise standards and 29 CFR 
                    1910.1000 require the use of either 
                    engineering or administrative controls if any 
                    such controls are feasible.  Engineering and 
                    work practice controls are to be used in 
                    preference to respirators and other personal 
                    protective equipment.  In certain circumstances, 
                    administrative controls can be successful 
                    in controlling employee exposure 
                    to contaminants; e.g., maintenance operations 
                    involving toxic substances can sometimes be 
                    performed at night in the absence of the 
                    usual production staff. 

                    NOTE:     Employee rotation is an 
                              administrative control that OSHA 
                              prohibits as a method of complying 
                              with the permissible exposure 
                              limits of carcinogens in the 
                              following standards: 

                     Asbestos        29 CFR 1910.1001(f)(2)(iv) 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                                     29 CFR 1926.58(g)(3) 

                     Cadmium         29 CFR 1910.1027(f)(1)(v) 

                                     29 CFR 1915.1027(f)(1)(v) 

                                     29 CFR 1926.63(f)(1)(iv) 

                     Ethylene Oxide  29 CFR 1910.1047(f)(2)(iv) 

                     HAZWOPER        29 CFR 1910.120(g)(1)(iii) 

                     MDA             29 CFR 1910.1050(g)(3) 

                                     29 CFR 1926.60(h)(4) 

               (2)  Economic feasibility is a major issue to be 
                    considered when imposing such controls. 
                    Requirements that would threaten the economic 
                    viability of an entire industry cannot be 
                    considered economically feasible under the 
                    OSH Act. 

               (3)  OSHA may decide not to require engineering 
                    controls for abatement but to allow the use 
                    of PPE to abate the violation, at least until 
                    such time as engineering controls become a 
                    less significant burden for the company when 
                    the following conditions are met: 

                    (a)  If significant reconstruction of a 
                         single establishment involving a capital 
                         expenditure which would seriously 
                         jeopardize the financial condition of 
                         the company is the only method whereby 
                         the employer could achieve effective 
                         engineering controls; 

                    (b)  If there are no feasible administrative 
                         or work practice controls; and 

                    (c)  If adequate personal protective 
                         equipment or devices are available. 

               (4)  Proper evaluation of the economic feasibility 
                    of engineering or administrative controls 
                    does not require the Area Director to 
                    understand all available economic information 
                    before deciding that the issue of potential 
                    economic infeasibility is involved.  It is 
                    sufficient that the employer produce evidence 
                    of economic hardship adequate to convince the 
                    Area Director that abatement by such controls 
                    would involve considerable financial 
                    difficulty. 

               (5)  Whenever an employer complains that an 
                    unbearable economic burden would result from 
                    implementation of engineering or 
                    administrative controls, the Area Director 
                    shall request evidence from the employer. 

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                    (a)  Such evidence shall address the 
                         reasonableness of the estimated costs of 
                         engineering or administrative controls, 
                         including installation, maintenance, and 
                         lost productivity, whenever applicable, 
                         as well as the progress of the employer 
                         compared to that of industry in 
                         installing such controls. 

                    (b)  The relative costs of engineering or 
                         administrative controls versus PPE may 
                         also be provided.  Such comparisons 
                         shall take replacement costs into 
                         account. 

               (6)  The Area Director shall discuss the problem 
                    with the Regional Administrator, whenever 
                    appropriate.  The Regional Administrator 
                    shall determine whether engineering controls 
                    are economically infeasible.  In cases with 
                    potential national implications, the decision 
                    (together with supporting evidence) shall be 
                    brought to the attention of the Director of 
                    Compliance Programs through the Director of 
                    Field Programs. 

               (7)  In those limited situations where there are 
                    no feasible engineering or administrative 
                    controls, full abatement can be allowed by 
                    PPE. 

     9.   Petitions for Modification of Abatement Date (PMA).  29 
          CFR 1903.14a governs the disposition of PMAs.  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 Date.  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 
                    requirement of E.9.a.(2). 

               (2)  A late petition may be accepted only if 
                    accompanied by the employer's statement of 
                    exceptional circumstances explaining the 
                    delay. 

          b.   When a PMA Is Anticipated.  Whenever a citation 
               for engineering controls or other violation which 
               the Area Director believes can reasonably be 
               expected to give rise to a future PMA, the 
               following procedures shall apply: 

               (1)  A followup date 45 days prior to the final 
                    abatement date shall be entered into the 
                    information retrieval system used by the Area 
                    Office.  When that 

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                    followup date arrives, the file 
                    shall be pulled and reviewed by the 
                    supervisor and the CSHO involved. 

               (2)  After review, the Area Director shall contact 
                    the employer to determine abatement progress. 
                    Information on the status of abatement shall 
                    be obtained and documented in the case file. 
                    The potential need for additional time shall 
                    be discussed with the employer.  If the 
                    employer indicates that more time will be 
                    necessary to complete correction of the 
                    citations, this need shall be documented; and 
                    the procedures for seeking a PMA shall be 
                    explained. 

          c.   Requirements for a PMA.  If a letter is received 
               from an employer requesting a modification of an 
               abatement date, the Area Director shall ensure 
               that all of the following five requirements listed 
               in 29 CFR 1903.14a are set forth in sufficient 
               detail in the employer's petition: 

               (1)  All steps taken by the employer and the dates 
                    of such action in an effort to achieve 
                    compliance during the prescribed abatement 
                    period. 

               (2)  The specific additional abatement time 
                    estimated to achieve compliance. 

               (3)  The reasons such additional time is 
                    necessary, including the unavailability of 
                    professional or technical personnel or of 
                    materials and equipment, or because necessary 
                    construction or alteration of facilities 
                    cannot be completed by the original abatement 
                    date. 

               (4)  Interim steps being taken to safeguard the 
                    employees against the cited hazard during the 
                    abatement period. 

               (5)  Written certification, including a copy of 
                    the posted and served petition and the date 
                    upon which such posting and service was made, 
                    that a copy of the petition addressing, as 
                    appropriate, each of the requirements set 
                    forth in (1) through (4) of this subsection: 

                    (a)  Has been posted in a conspicuous place 
                         near the location where the violation 
                         occurred or where all affected employees 
                         will have notice thereof.  The petition 
                         shall remain posted for 10 working days. 

                    (b)  Has been served on the authorized 
                         representative of affected employees 
                         where affected employees are 
                         represented by an authorized 
                         representative. 

          d.   Failure to Meet All Requirements.  If the 
               employer's letter does not meet all the 
               requirements of E.9.c., a letter spelling out 
               these requirements and identifying the 

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               missing elements shall be sent to the employer 
               within 10 working days, specifying a reasonable 
               amount of time for the employer to return the 
               completed PMA. 

               (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 of the consequences of a failure to 
                    respond adequately; namely, that the PMA will 
                    not be granted and the employer may, conse- 
                    quently, be found in failure to abate. 

               (2)  If the employer responds satisfactorily be 
                    telephone and the Area Director determines 
                    that the requirements for the PMA have been 
                    met, appropriate documentation shall be 
                    placed in the case file. 

          e.   Abatement Efforts.  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. 

               (1)  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. 

               (2)  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. 

               (3)  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.  (See 
                    E.9.b.(2).) 

               (4)  The CSHO 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. 

               (5)  The CSHO 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 the relevant factors available in an 
                    organized manner.  The following factors 
                    shall be considered: 

                    (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. 

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                    (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 exposure and specific 
                         calendar dates. 

                    (f)  Personal protective equipment. 

                    (g)  Medical programs. 

                    (h)  Emergency action plans. 

                    NOTE:     Not all these factors will be 
                              pertinent in every PMA review. 
                              Neither are all the factors listed 
                              which must be considered in every 
                              case. 

          f.   Delayed Decisions.  Although OSHA policy is to 
               handle PMAs as expeditiously as possible, there 
               are cases where the Area Director's decision on 
               the PMA is delayed because of deficiencies in the 
               PMA itself, a decision to conduct a monitoring 
               inspection and/or the need for Regional Office or 
               National Office involvement.  Requests for 
               additional time (e.g., 45 days) for the Area 
               Director to formulate a position shall be sent to 
               the Review Commission through the Regional 
               Solicitor.  A letter conveying this request shall 
               be sent at the same time to the employer and the 
               employee representatives. 

          g.   Area Office Position on the PMA.  After 15 working 
               days following the PMA posting, the Area Director 
               shall determine the Area Office position, agreeing 
               with or objecting to the request.  This shall be 
               done within 10 working days following the 15 days 
               (if additional time has not been requested from 
               the Review Commission).  The following action 
               shall be taken: 

               (1)  If the PMA requests an abatement date which 
                    is one year 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 which is 
                    more than one year from the issuance date of 
                    the citation requires the approval of the 
                    Regional Administrator as well as the Area 
                    Director. 

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               (3)  If the PMA is approved, the Area Director 
                    shall notify the employer and the employee 
                    representatives by letter. 

               (4)  If, after a second contact with the employer, 
                    the information required under E.9.c. 
                    continues to be substantially insufficient, 
                    the Area Director shall contact the Regional 
                    Administrator who, after consultation with 
                    the Regional Solicitor, shall object to the 
                    PMA.  The relevant documentation shall be 
                    filed with the Review Commission in 
                    accordance with 29 CFR 1903.14a(d). 

               (5)  If supporting evidence justifies it (e.g., 
                    employer has taken no meaningful abatement 
                    action at all or has otherwise exhibited bad 
                    faith), the Area Director or the Regional 
                    Administrator, as appropriate and after 
                    consultation with the Regional Solicitor, 
                    shall object to the PMA.  In such a case, all 
                    relevant documentation shall be sent to the 
                    Review Commission in accordance with 29 CFR 
                    1903.14a(d).  Both the employer and the 
                    employee representatives shall be notified of 
                    this action by letter, with return receipt 
                    requested. 

                    (a)  The letters of notification 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 Regional Solicitor, a failure 
                         to abate notification may be issued in 
                         conjunction with the objection to the 
                         PMA. 

                         NOTE:     If no objection is filed 
                                   within the time frame in 
                                   E.9.g., the PMA is 
                                   automatically granted even if 
                                   not explicitly approved. 

          h.   Employee Objections.  Affected employees or their 
               representatives may file an objection in writing 
               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. 

               (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 an 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. 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (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. 

F.   Employer Abatement Assistance. 

     1.   Policy.  CSHOs shall offer appropriate abatement 
          assistance during the walkaround as to how workplace 
          hazards might be eliminated.  The information shall 
          provide guidance to the employer in developing 
          acceptable abatement methods or in seeking appropriate 
          professional assistance. 

     2.   Type of Assistance.  The type of abatement assistance 
          provided will depend on the needs of the employer and 
          the complexity of the hazard.  Where standards specify 
          abatement methods, such as guarding of belts and 
          pulleys, the CSHO shall, at a minimum, ensure that the 
          employer is aware of the specifications.  For more 
          complex problems, the CSHO shall offer general 
          information on types of controls or procedures commonly 
          used to abate the hazard.  Alternative methods shall be 
          provided whenever possible.  (See E.6 for more specific 
          requirements on health inspections.) 

     3.   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. 

     4.   Procedures.  Information provided by OSHA to assist the 
          employer in identifying possible methods of abatement 
          for alleged violations shall be provided to the 
          employer as it becomes available or necessary.  The 
          issuance of citations shall not be delayed. 

          a.   Assistance Provided During An Inspection.  CSHOs 
               shall utilize their knowledge and professional 
               experience in providing the employer with 
               abatement assistance during the inspection. 

               (1)  Before leaving an inspection site and, 
                    preferably, during the walkaround when an 
                    apparent violation is noted, CSHOs shall 
                    determine whether the employer wishes to 
                    discuss possible means of abating apparent 
                    violations.  The discussion may continue at 
                    the closing conference. 

               (2)  CSHOs shall briefly document abatement 
                    information provided to the employer or the 
                    employer's negative response to the offer of 
                    assistance on the appropriate OSHA-1B Form. 

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          b.   Assistance Provided After An Inspection.  If a 
               CSHO cannot provide assistance during an 
               inspection or if the employer has abatement 
               questions after the inspection, the Area Director 
               shall ensure that additional information, if 
               available, is obtained and provided as soon as 
               possible to the employer.  Any communications with 
               the employer shall be documented in the case file. 

     5.   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.  In addition, employers shall be made 
          aware of the availability of OSHA-funded State 
          Consultation Services for which they may qualify.  (See 
          D.9.b.(17).) 

G.   Informal Conferences. 

     1.   General.  Pursuant to 29 CFR 1903.19, the employer, any 
          affected employee or the employee representative may 
          request an informal conference. 

          NOTE:     An informal conference may not be scheduled 
                    after receipt of a written Notice of Intent 
                    to Contest without prior approval of the 
                    Regional Solicitor.  If the intent to contest 
                    is not clear, the Area Director shall contact 
                    the employer for clarification. 

     2.   Procedures.  Whenever an informal conference is 
          requested by the employer, an affected employee or the 
          employee representative, both parties shall be afforded 
          the opportunity to participate fully.  If the 
          requesting party objects to the attendance of the other 
          party, separate informal conferences shall be held. 
          During the conduct of a joint informal conference, 
          separate or private discussions shall be permitted if 
          either party so requests. 

          a.   Notification of Participants.  After an informal 
               conference has been scheduled, the Area Director 
               shall notify the affected parties of the date, 
               time and place, by telephone and, if considered 
               useful, in writing. 

               (1)  The employer shall be requested to complete 
                    and post the form found at the end of the 
                    informal conference letter until after the 
                    informal conference has been held. 

               (2)  Documentation of the Area Director's actions 
                    notifying the parties of the informal 
                    conference shall be placed in the case file. 

          b.   Telephone Conferences.  The agency believes that 
               better settlements can be arrived at by means of 
               personal conferences between the Area Director and 
               the employer; consequently, informal conferences 
               shall normally not be held by telephone. 

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Office of General Industry Compliance Assistance 

               (1)  When circumstances exist (e.g., the employer 
                    or the employee representatives would be 
                    required to travel long distances, there is 
                    insufficient time remaining for travel, or 
                    only the penalty amount is likely to be at 
                    issue) which the Area Director believes will 
                    justify a telephone conference, such 
                    circumstances shall be documented in the case 
                    file. 

               (2)  If a telephone conference is held, all of the 
                    procedures regarding notification of affected 
                    parties, participation of OSHA officials, 
                    conduct of the conference, documentation of 
                    discussions, and decision-making, outlined in 
                    G.2.a., c., d., and e., shall be followed as 
                    far as practicable. 

               (3)  The reasons justifying any departures from 
                    those procedures shall be explained in the 
                    case file. 

          c.   Participation by OSHA Officials.  The inspecting 
               CSHOs and their supervisors shall be notified of 
               an upcoming informal conference and, if 
               practicable, given the opportunity to participate 
               in the informal conference (unless, in the case of 
               the CSHO, the Area Director anticipates that only 
               a penalty adjustment will result).  They shall be 
               advised of any changes made by the Area Director 
               in the event that they were unable to participate. 

               (1)  In complex cases, in order to ensure that 
                    discussions of any possible settlement or 
                    modifications to the citation(s) and/or 
                    penalty may be completely and accurately 
                    recalled, at least one other OSHA employee 
                    (in addition to the Area Director) may be 
                    present at the informal conference.  This 
                    employee may be the CSHO, supervisor, a 
                    clerical staff member, or other assigned 
                    person. 

               (2)  A second OSHA staff member (compliance 
                    officer, supervisor, or other assigned 
                    person) shall attend all informal conferences 
                    in the following situations: 

                    (a)  Cases which involve total proposed 
                         penalties of $100,000 or more. 

                    (b)  Cases which are so lengthy or complex 
                         that an additional individual is needed 
                         to provide assistance to the principal 
                         OSHA representative. 

               (3)  The Area Director shall ensure that notes are 
                    made indicating the basis for any decisions 
                    taken at or as a result of the informal 
                    conference.  It is appropriate to tape record 
                    the informal conference and to use the tape 
                    recording in lieu of written notes, but the 
                    tape recording is not a substitute for the 
                    second OSHA conference participant under 
                    paragraph (2) above. 

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OSHA Instruction CPL 2.45B CH-4 
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          d.   Conduct of the Informal Conference.  The Area 
               Director shall conduct the informal conference in 
               accordance with the following guidelines: 

               (1)  Opening Remarks.  The opening remarks shall 
                    include discussions of the following: 

                    (a)  Purpose of the informal conference. 

                    (b)  Rights of participants. 

                    (c)  Contest rights and time restraints. 

                    (d)  Limitations, if any. 

                    (e)  Settlements of cases. 

                    (f)  Other relevant information. 

               (2)  Conference.  The conference shall include 
                    discussion of any relevant matters including 
                    citations, safety and health programs, 
                    conduct of the inspection, means of 
                    correction, and penalties, in accordance with 
                    the following: 

                    (a)  All parties shall be encouraged to 
                         participate fully so their views can be 
                         properly considered. 

                    (b)  Positions on all issues discussed shall 
                         be fully considered before making a 
                         determination regarding possible 
                         settlement of the case in accordance 
                         with current OSHA procedures. 

                    (c)  OSHA representatives shall make every 
                         effort to assist both the employer and 
                         the affected employees and/or their 
                         representatives to improve safety and 
                         health in the workplace. 

                    (d)  If the Area Director states any views on 
                         the legal merits of the employer's 
                         contentions, it should be made clear 
                         that those views are personal opinions 
                         only. 

               (3)  Closing.  At the conclusion of the discussion 
                    the main issues and potential courses of 
                    action shall be summarized.  A copy of the 
                    summary, together with any other relevant 
                    notes or tapes of the discussion made by the 
                    Area Director, shall be placed in the case 
                    file. 

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          e.   Decisions.  At the termination of the informal 
               conference, the Area Director shall make a 
               decision as to what action is appropriate in the 
               light of facts brought up during the conference. 

               (1)  When preparing to make a decision to settle a 
                    case, the Area Director shall make a 
                    reasonable effort to obtain the views of the 
                    employee representative, if there is one and 
                    if he/she was not in attendance at the 
                    conference.  (There is no need to contact the 
                    employee representative if only a penalty 
                    adjustment is involved.) 

               (2)  Changes to citations, penalties or abatement 
                    dates normally shall be made by means of an 
                    informal settlement agreement in accordance 
                    with current OSHA procedures; the reasons for 
                    such changes shall be documented in the case 
                    file. 

               (3)  Employers shall be informed that they are 
                    required by 29 CFR 1903.19 to post copies of 
                    all amendments to the citation resulting from 
                    informal conferences.  Employee 
                    representatives must also be provided with 
                    copies of such documents.  This regulation 
                    covers amended citations, citation 
                    withdrawals and settlement agreements. 

               (4)  Affected parties shall be notified of the 
                    results and/or decisions of the informal 
                    conference in accordance with current OSHA 
                    procedures. 

               (5)  The CSHOs who conducted the inspection and 
                    their supervisors shall be informed of the 
                    results and/or decisions of informal 
                    settlement agreements and/or amended 
                    citations. 

               (6)  For more detail on settlement agreements, see 
                    Chapter V, H. 

          f.   Failure to Abate.  If the informal conference 
               involved an alleged failure to abate, the Area 
               Director may set a new abatement date in the 
               informal settlement agreement, documenting for the 
               case file the time that has passed since the 
               original citation, the steps that the employer has 
               taken to inform the exposed employees of their 
               risk and to protect them from the hazard, and the 
               measures that will have to be taken to correct the 
               condition. 

               (1)  One a new abatement date has been set, a 
                    modification of abatement date following 
                    current IMIS procedures shall be entered into 
                    the data system. 

               (2)  A letter shall be sent to the employer 
                    reminding him/her in the strongest possible 
                    terms that abatement is legally required if 
                    no written notice of contest is submitted 
                    within the contest period for the 
                    Notification of Failure to Abate Alleged 
                    Violation. 

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OSHA Instruction CPL 2.45B CH-4 
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               (3)  The employer shall also be reminded that if 
                    there is any problem in meeting the new 
                    abatement date after it becomes a final 
                    order, a written PMA must be filed with the 
                    Area Director in accordance with E.9.a. 

H.   Followup Inspections. 

     1.   Inspection Procedures.  The primary purpose of a 
          followup inspection is to determine if the previously 
          cited violations have been corrected.  Normally, there 
          shall be no additional inspection activity unless, in 
          the judgment of the CSHO, there have been significant 
          changes in the workplace which warrant further 
          inspection activity.  In such a case, the supervisor 
          shall be consulted. 

     2.   Failure to Abate.  A failure to abate exists when the 
          employer has not corrected a violation for which a 
          citation has been issued or has not complied with 
          interim measures involved in a multi-step abatement 
          within the time given. 

          a.   Initial Followup.  The initial followup is the 
               first followup inspection after issuance of the 
               citation. 

               (1)  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. 

               (2)  Failure to comply with enforceable interim 
                    abatement dates involving multi-step 
                    abatement shall be subject to a Notification 
                    of Failure to Abate Alleged Violation. 

               (3)  Where the employer has implemented some 
                    controls, but other technology was available 
                    which would have brought the levels of 
                    airborne concentrations or noise to within 
                    the regulatory requirements, 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 
                    in accordance with E.9.a.(2). 

               (4)  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. 

               (5)  There may be times during the initial 
                    followup when, because of an employer's 
                    flagrant disregard of a citation or an item 
                    on a citation, or other factors, it will be 
                    apparent that additional administrative 
                    enforcement actions will be futile.  In such 
                    cases, action shall be initiated under 
                    Section 

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Office of General Industry Compliance Assistance 

                    11(b) of the Act in the U.S. Court of 
                    Appeals.  The Area Director shall notify the 
                    Regional Administrator, in writing, of all 
                    the particular circumstances of the case for 
                    referral to the Regional Solicitor. 

          b.   Second Followup.  Any subsequent followup after 
               the initial followup dealing with the same 
               violations is a second followup. 

               (1)  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 followup.  If the employer contests 
                    the proposed additional daily penalties, a 
                    followup inspection shall still be scheduled 
                    to ensure correction of the original 
                    violation. 

               (2)  If a second followup 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 Regional 
                    Solicitor, believes it to be appropriate.  If 
                    a Notification of Failure to Abate Alleged 
                    Violation and additional daily penalties are 
                    not to be proposed, the Area Director shall 
                    immediately contact the Regional 
                    Administrator, in writing, detailing the 
                    circumstances so the matter can be referred 
                    to the Regional Solicitor for action, as 
                    appropriate, in the U.S. Court of Appeals in 
                    accordance with Section 11(b) of the Act. 

     3.   Reports.  The applicable identification and description 
          sections of the OSHA-1B/1B-IH Form shall be used for 
          documenting correction of willful, repeated and serious 
          violations and failure to correct items during followup 
          inspections.  If violation items were appropriately 
          grouped in the OSHA-1B/1B-IH in the original case file, 
          they may be grouped on the followup OSHA-1B, if not, 
          individual OSHA-1B/1B-IH Forms shall be used for each 
          item.  The correction of other-than-serious violations 
          may be documented in the narrative portion of the case 
          file. 

          a.   Proper Documentation.  The correction 
               circumstances observed by the CSHO shall be 
               specifically described in the OSHA-1B/1B-IH, 
               including any applicable dimensions, materials, 
               specifications, personal protective equipment, 
               engineering controls, measurements or readings, or 
               other conditions.  Brief terms such as "corrected" 
               or "in compliance" will not be accepted as proper 
               documentation for violations having have been 
               corrected.  When appropriate this written 
               description shall be supplemented by a photograph 
               and/or a videotape to illustrate correction 
               circumstances.  Only the item description and 
               identification blocks need be completed on the 
               followup OSHA-1B/1B-IH with an occasional 
               inclusion of an applicable employer statement 
               concerning correction under the employer knowledge 
               section, if appropriate. 

                                  III-87 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          b.   Sampling.  The CSHO conducting a followup 
               inspection to determine compliance with violations 
               of air contaminants and noise standards shall 
               decide whether sampling is necessary, and if so, 
               what kind; i.e., spot sampling, short-term 
               sampling or full-shift sampling.  If there is 
               reasonable probability of an issuance of a 
               Notification of Failure to Abate Alleged 
               Violation, full-shift sampling is required. 

          c.   Narrative.  The CSHO shall include in the 
               narrative the findings pursuant to the inspection, 
               along with recommendations for action.  In order 
               to reach a valid conclusion when recommending 
               action, it is important to have all the pertinent 
               factors available in an organized manner. 

          d.   Failure To Abate.  In the event that any item has 
               not been abated, complete documentation shall be 
               included on an OSHA-1B. 

     4.   Followup Files.  The followup inspection reports shall 
          be included with the original (parent) case file. 

I.   Conduct of Monitoring Inspection (PMAs and Long-Term 
     Abatement). 

     1.   General.  An inspection shall be classified as a 
          monitoring inspection when a safety/health inspection 
          is conducted for one or more of the following purposes: 

          a.   To determine the progress an employer is making 
               toward final correction. 

          b.   To ensure that the target dates of a multi-step 
               abatement plan are being met. 

          c.   To ensure that an employer's petition for the 
               modification of abatement dates is made in true 
               and good faith and that the employer has attempted 
               to implement necessary controls as expeditiously 
               as possible. 

          d.   To ensure that the employees are being properly 
               protected until final controls are implemented. 

          e.   To ensure that the terms of a permanent variance 
               are being carried out. 

          f.   To provide abatement assistance for items under 
               citation. 

     2.   Procedures.  Monitoring inspections shall be conducted 
          in the same manner as followup inspections described 
          under H of this chapter. 

                                     III-88 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (b)  Employer Recognition.  A recognized 
                         hazard can be established by evidence of 
                         actual employer knowledge.  Evidence of 
                         such recognition may consist of written 
                         or oral statements made by the employer 
                         or other management or supervisory 
                         personnel during or before the OSHA 
                         inspection. 

                         1    Company memorandums, safety 
                              rules, operating manuals or 
                              operating procedures, and 
                              collective bargaining 
                              agreements may reveal the 
                              employer's awareness of the 
                              hazard.  In addition, 
                              accident, injury and illness 
                              reports prepared for OSHA, 
                              workmen's compensation, or 
                              other purposes may show this 
                              knowledge. 

                         2    Employee complaints or 
                              grievances to supervisory 
                              personnel may establish 
                              recognition of the hazard, but 
                              the evidence should show that 
                              the complaints were not merely 
                              infrequent, off-hand comments. 

                         3    The employer's own corrective 
                              action 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 any significant 
                              protection to the employees. 

                    (c)  Common-sense Recognition.  If 
                         industry or employer recognition of the 
                         hazard cannot be established in 
                         accordance with (a) and (b), recognition 
                         can still be established if it is 
                         concluded that any reasonable person 
                         would have recognized the hazard.  This 
                         theory of recognition shall be used only 
                         in flagrant cases. 

                         EXAMPLE:  In a general industry 
                         situation, a court has held that any 
                         reasonable person would recognize that 
                         it is hazardous to dump bricks from an 
                         unenclosed chute into an alleyway 
                         between buildings which is 26 feet (7.8 
                         meters) below and in which unwarned 
                         employees work.  (In construction, 
                         5(a)(1) could not be cited in this 
                         situation because 29 CFR l926.252 or 
                         1926.852 applies.) 

               (3)  The Hazard Was Causing or Was Likely to 
                    Cause Death or Serious Physical Harm.  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 B.1. of this 
                    chapter.  This element of a Section 5(a)(1) 
                    violation can be established by showing that: 

                    (a)  An actual death or serious injury 
                         resulted from the recognized hazard, 
                         whether immediately prior to the 
                         inspection or at other times and places; 
                         or 

                                  IV-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (b)  If an accident occurred, the likely 
                         result would be death or serious 
                         physical harm.  For example, an employee 
                         is standing at the edge of an unguarded 
                         piece of equipment, 25 feet (7.6 meters) 
                         above the ground. Under ese 
                         circumstances if the falling incident 
                         occurs, death or serious physical harm 
                         (e.g., broken bones) is likely. 

                    (c)  In a health context, establishing 
                         serious physical harm at the cited 
                         levels may be particularly difficult if 
                         the illness will require the passage of 
                         a substantial period of time to occur. 
                         Expert testimony is crucial to establish 
                         that serious physical harm will occur 
                         for such illnesses.  It will generally 
                         be easier 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 serious physical harm 
                         when such illness or death will occur 
                         only after the passage of a substantial 
                         period of time: 

                         1    Regular and continuing 
                              employee exposure at the 
                              workplace to the toxic 
                              substance at the measured 
                              levels reasonably could occur; 

                         2    Illness reasonably could 
                              result from such regular and 
                              continuing employee exposure; 
                              and 

                         3    If illness does occur, its 
                              likely result is death or 
                              serious physical harm. 

               (4)  The Hazard May Be Corrected by a Feasible 
                    and Useful Method.  To establish a Section 
                    5(a)(1) violation the agency must identify a 
                    method which is feasible, available and 
                    likely to correct the hazard.  The 
                    information shall indicate that the 
                    recognized hazard, rather than a particular 
                    accident, is preventable. 

                    (a)  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 shall not be issued merely 
                         because the agency knows of an abatement 
                         method different from that of the 
                         employer, if the agency's method would 
                         not reduce the hazard significantly more 
                         than the employer's method.  It must 
                         also be noted that in some cases only a 
                         series of abatement methods will 
                         alleviate a hazard.  In such a case all 
                         the abatement methods shall be 
                         mentioned. 

                    (b)  Feasible and useful abatement methods 
                         can be established by reference to: 

                                  IV-10 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          b.   The four-step analysis as outlined below is 
               necessary to make the determination that an 
               apparent violation is serious.  Apparent 
               violations of the general duty clause shall also 
               be evaluated on the basis of these steps to ensure 
               that they represent serious violations.  The four 
               elements the CSHO shall consider are as follows: 

               (1)  Step 1.  The type of accident or health 
                    hazard exposure which the violated standard 
                    or the general duty clause is designed to 
                    prevent. 

                    (a)  The CSHO need not establish the exact 
                         way in which an accident, or health 
                         hazard exposure would occur.  The 
                         exposure or potential exposure of an 
                         employee is sufficient to establish that 
                         an accident or health hazard exposure 
                         could occur.  However, the CSHO shall 
                         note the facts which could affect the 
                         severity of the injury or illness 
                         resulting from the accident or health 
                         hazard exposure. 

                    (b)  If more than one type of accident or 
                         health hazard exposure exist which the 
                         standard is designed to prevent, the 
                         CSHO shall determine which type could 
                         reasonably be predicted to result in the 
                         most severe injury or illness and shall 
                         base the classification of the violation 
                         on that determination. 

                    (c)  The following are examples of a 
                         determination of the type of accident or 
                         health hazard exposure which a violated 
                         standard is designed to prevent: 

                         1    Employees are observed working 
                              at the unguarded edge of an 
                              open-sided floor 30 feet (9 
                              meters) above the ground in 
                              apparent violation of 29 CFR 
                              1926.500(d)(1).  This 
                              regulation requires that the 
                              edge of the open-sided floor 
                              be guarded by standard 
                              railings. The type of accident 
                              which the violated standard is 
                              designed to prevent 
                              involves an employee falling 
                              from the edge of the floor, 30 feet 
                              (9 meters) to the ground below. 

                         2    Employees are observed working 
                              in an area in which debris is 
                              located in apparent violation 
                              of 29 CFR 1915.91(b).  The 
                              type of accident which the 
                              violated standard is designed 
                              to prevent involves an 
                              employee tripping on 
                              debris. 

                         3    An 8-hour time-weighted 
                              average sample reveals 
                              regular, ongoing employee 
                              overexposure to beryllium at 
                              .004 mg/M3 in apparent 
                              violation of 29 CFR 
                              1910.1000(b)(1).  This is .002 
                              mg/M3 above the PEL of health 
                              hazard exposure which the 
                              violated standard is designed 
                              to prevent. 

                                  IV-19 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         4    An 8-hour time-weighted 
                              average sample reveals 
                              regular, ongoing employee 
                              overexposure to acetic acid at 
                              20 ppm in violation of 29 CFR 
                              1910.1000(a)(2).  This is 10 
                              ppm above the PEL of health 
                              hazard exposure which the 
                              violated standard is designed 
                              to prevent. 

               (2)  Step 2.  The type of injury or illness 
                    which could reasonably be expected to result 
                    from the type of accident or health hazard 
                    exposure identified in Step 1. 

                    (a)  In making this determination, the CSHO 
                         shall consider all factors which would 
                         affect the severity of the injury or 
                         illness which could reasonably be 
                         predicted to result from an accident or 
                         health hazard exposure.  The CSHO shall 
                         not give consideration at this point to 
                         factors which relate to the probability 
                         that an injury or illness will occur. 
                         The following are examples of a 
                         determination of the types of injuries 
                         which could reasonably be predicted to 
                         result from an accident: 

                         1    If an employee falls from the 
                              edge of an open-sided floor 30 
                              feet (9 meters) to the ground 
                              below, that employee could 
                              break bones, suffer a 
                              concussion, or experience 
                              other more serious injuries. 

                         2    If an employee trips on 
                              debris, that employee could 
                              experience 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 were littered with 
                              broken glass or other sharp 
                              objects, it would be 
                              reasonable to predict that an 
                              employee who tripped on debris 
                              could suffer a deep cut which 
                              could require suturing. 

                    (b)  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 which could reasonably 
                         result from the condition.  The Chemical 
                         Information Manual, OSHA Instruction CPL 
                         2-2.43A, shall be used to determine 
                         toxicological properties of substances 
                         listed as well as a Health Code Number. 
                         A preliminary violation classification 
                         shall be assigned in accordance with the 
                         instructions given in C.6.a. of this 
                         section. 

                    (c)  In order to support a preliminary 
                         classification of serious, OSHA must 
                         establish a prima facie case 
                         that exposure at the sampled level 
                         would, if representative of conditions 
                         to which employees are normally exposed, 
                         lead to illness.  Thus the CSHO must 
                         make every reasonable attempt to show 
                         that the sampled exposure is in fact 
                         representative of employee exposure 
                         under normal working conditions.  The 
                         CSHO shall, therefore, 

                                  IV-20 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         identify and record all available 
                         evidence which indicates the frequency 
                         and duration of employee exposure.  Such 
                         evidence would include: 

                         1    The nature of the operation 
                              from which the exposure 
                              results. 

                         2    Whether the exposure is 
                              regular and on-going or of 
                              limited frequency and 
                              duration. 

                         3    How long employees have worked 
                              at the operation in the past. 

                         4    Whether employees are 
                              performing functions which can 
                              be expected to continue. 

                         5    Whether work practices, 
                              engineering controls, 
                              production levels and other 
                              operating parameters are 
                              typical of normal operations. 

                    (d)  Where such evidence is difficult to 
                         obtain or where it is inconclusive, the 
                         CSHO shall estimate the frequency and 
                         duration from the evidence available. 
                         In general, if the evidence tends to 
                         indicate that it is reasonable to 
                         predict that regular, ongoing exposure 
                         could occur, the CSHO shall presume such 
                         exposure in determining the types of 
                         illness which could result from the 
                         violative condition. The following are 
                         examples of determination of types of 
                         illnesses which could reasonably result 
                         from a health hazard exposure: 

                         1    If an employee is exposed 
                              regularly and continually to 
                              beryllium   at .004 mg/M3, it 
                              is reasonable to predict that 
                              berylliosis or  cancer could 
                              result. 

                         2    If an employee is exposed 
                              regularly and continually to 
                              acetic acid at 20 ppm, it is 
                              reasonable to predict that the 
                              illness which could result, 
                              viz., irritation to nose, eyes 
                              throat, would not involve 
                              serious physical harm. 

               (3)  Step 3.  Whether the types of injury or illness 
                    identified in Step 2 couold include death or a form 
                    of serious physical harm. 

                    (a)  In making this determination, the CSHO shall 
                         utilize the following definition of 
                         "serious physical harm": 

                         1    Inpairment 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 

                                  IV-21 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              require treatment by a medical doctor. 
                              Examples of injuries which constitute 
                              such harm include: 

                              a    Amputation (loss of all or part 
                                   of a bodily appendage which 
                                   includes the loss of bone). 

                              b    Concussion. 

                              c    Crushing (internal, even though 
                                   skin surface may be intact). 

                              d    Fracture, simple or compound. 

                              e    Burn or scald, including 
                                   electric and chemical burns. 

                              f    Cut, laceration, or puncture 
                                   involving significant bleeding 
                                   and/or requiring suturing. 

                         2    Illnesses that could shorten life or 
                              significantly reduce physical or mental 
                              efficiency by inhibiting the normal 
                              function or a part of the body.  Some 
                              examples of such illnesses include 
                              cancer, silicosis, asbestosis, byssinosis, 
                              hearing impairment, central nervous system 
                              impairment and visual impairment.  Examples 
                              of illnesses which constitute serious 
                              physical harm include: 

                              a    Cancer. 

                              b    Poisoning (resulting from the 
                                   inhalation, ingestion or skin 
                                   absorption of a toxic substance 
                                   which adversely affects a 
                                   bodily system). 

                              c    Lung diseases, such a asbestosis, 
                                   silicosis, anmthrancosis. 

                              d    Hearing loss. 

                    (b)  The following are examples of determinations of 
                         whether the types of injury or illnesses which 
                         could reasonably result from an accident or health 
                         hazard exposure could include death or serious 
                         physical harm. 

                         1    If an employee, upon falling 30 feet (9 
                              meters) to the ground, suffers broken 
                              bones or a concussion, that employee 
                              would experience substantial 
                              impairment of the usefulness of a part of 
                              the body and would require treatment by a 
                              medical doctor.  This injury would 
                              constitute serious physical harm. 

                                  IV-22 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              b    Company officials were aware of a 
                                   continuing compliance problem but made 
                                   little or no effort to avoid violations. 

                                   EXAMPLE:  Repeated issuance of citations 
                                   addressing the same or similar 
                                   conditions. 

                              c    An employer representative was not 
                                   aware of any legal requirement, but was 
                                   aware that a condition or practice was 
                                   hazardous to the safety or health of 
                                   employees and made 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, media coverage, or, in some 
                                   cases, complaints of employees or their 
                                   representatives. 

                              d    In flagrant situations, willfulness 
                                   despite lack of knowledge of either a 
                                   legal requirement or the existence of a 
                                   hazard if the circumstances show that 
                                   the employer would have placed no 
                                   importance on such knowledge even if he 
                                   or she had possessed it. 

                    (c)  The violation of the standard caused the 
                         death of an employee.  In order to prove 
                         that the violation of the standard 
                         caused the death of an employee, there 
                         must be evidence in the file which 
                         clearly demonstrates that the violation 
                         of the standard was the cause of or a 
                         contributing factor to an employee's 
                         death. 

               (2)  Area Director Responsibilities.  Although 
                    it is generally not necessary to issue 
                    "Miranda" warnings to an employer when a 
                    criminal/willful investigation is in 
                    progress, the Area Director shall seek the 
                    advice of the Regional Solicitor on this 
                    question. 

                    (a)  If the Area Director determines that 
                         expert assistance is needed to prove the 
                         causal connection between an apparent 
                         violation of the standard and the death 
                         of an employee, such assistance shall be 
                         obtained in accordance with instructions 
                         in Chapter III, B.5. 

                    (b)  Following the investigation, if the Area 
                         Director decides to recommend criminal 
                         prosecution, a memorandum containing 
                         that recommendation shall be forwarded 
                         promptly to the Regional Administrator. 
                         It shall include an evaluation of the 
                         possible criminal charges, taking into 
                         consideration the greater burden of 
                         proof which requires that the 
                         Government's case be proven beyond a 
                         reasonable doubt.  In addition, if the 
                         correction of the hazardous condition 
                         appears to be an issue, this 

                                  IV-27 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         shall be noted in the transmittal memorandum 
                         because in most cases the prosecution of 
                         a criminal/willful case delays the 
                         affirmance of the civil citation and its 
                         correction requirements. 

                    (c)  The Area Director shall normally issue a 
                         civil citation in accordance with 
                         current procedures even if the citation 
                         involves allegations under consideration 
                         for criminal prosecution.  The Regional 
                         Administrator shall be notified of such 
                         cases, and they shall be forwarded to 
                         the Regional Solicitor as soon as 
                         practicable for possible referral to the 
                         U.S. Department of Justice. 

                    (d)  When a willful violation is related to a 
                         fatality, the Area Director shall ensure 
                         the case file contains documentation 
                         regarding the decision not to make a 
                         criminal referral.  The documentation 
                         should indicate which elements of a 
                         criminal violation make the case 
                         unsuitable for criminal referral.  For 
                         example, the case file documentation 
                         could state the evidence gathered for a 
                         specific criminal/willful element did 
                         not meet the greater burden of proof for 
                         criminal prosecution. 

     5.   Repeated Violations.  An employer may be cited for 
          a repeated violation if that employer has been cited 
          previously for a substantially similar condition 
          and the citation has become a final order. 

          a.   Identical Standard.  Generally, similar 
               conditions can be demonstrated by showing that in 
               both situations the identical standard was 
               violated. 

               EXCEPTION:  Previously a citation was issued for a 
               violation of 29 CFR 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 29 CFR 1910.132(a) for not 
               requiring the use of head protection (hardhats). 
               Although the same standard was involved, the 
               hazardous conditions found were not substantially 
               similar and therefore a repeated violation would 
               not be appropriate. 

          b.   Different Standards.  In some circumstances, 
               similar conditions can be demonstrated when 
               different standards are violated. 

               EXAMPLE: A citation was previously issued for a 
               violation of 29 CFR 1910 .28(d)(7) for not 
               installing standard guardrails on a tubular welded 
               frame scaffold platform.  A recent inspection of 
               the same establishment reveals a violation of 29 
               CFR 1910.28(c)(14) for not installing guardrails 
               on a tube and coupler scaffold platform.  Although 
               there are different standards involved, the 
               hazardous conditions found were substantially 
               similar and therefore a repeated violation would 
               be appropriate. 

                                  IV-28 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          c.   Geographical Limitations.  For purposes of 
               determining whether a violation is repeated, the 
               following criteria shall apply: 

               (1)  High Gravity Serious Violations.  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 his identified 
                    establishments, nationwide, (Federal 
                    enforcement only) within the same two-digit 
                    SIC code.  If these violations have been 
                    previously cited within the time limitations 
                    described in B.5.d. and have become a final 
                    order of the Review Commission, a Repeated 
                    Citation shall be issued.  Under special 
                    circumstances, the Regional Administrator, in 
                    consultation with the Regional Solicitor, may 
                    also issue citations for repeated violations 
                    without regard for the SIC code. 

               (2)  Violations of Lesser Gravity.  When 
                    violations of lesser gravity than high 
                    gravity serious are to be cited, Agency 
                    policy is to encourage the Area Director to 
                    obtain a national inspection history whenever 
                    the circumstances of the current inspection 
                    will result in a large number of serious, 
                    repeat, or willful citations.  This is 
                    particularly so if the employer is known to 
                    have establishments nationwide and if 
                    significant citations have been issued 
                    against the employer in other areas, or at 
                    other mobile worksites. 

                    (a)  Although such a history would be useful 
                         for almost all inspections, the Agency 
                         recognizes that the resource demands, if 
                         such histories were to be required in 
                         every case, would be higher than the 
                         resources available. 

                    (b)  If, for any reason, a history is 
                         obtained, that history may be used to 
                         support a repeated violation for any 
                         violation found during the current 
                         inspection (not just high gravity 
                         serious).  All violations found in the 
                         current inspection may be cited as 
                         repeated if the citation history shows 
                         that they have previously been cited 
                         within the 3-year limitation described 
                         at B.5.d. 

                    (c)  Where a national inspection history has 
                         not been obtained, the following 
                         criteria regarding geographical 
                         limitations shall apply: 

                         1    Multifacility Employer.  A 
                              multifacility employer shall 
                              be cited for a repeated 
                              violation if the violation 
                              recurred at any worksite 
                              within the same OSHA Area 
                              Office jurisdiction. 

                              EXAMPLE:  Where the construction 
                              site extends over a large area 
                              and/or the scope of the job is 
                              unclear (such as road building), 
                              that portion of the workplace 
                              specified in the employer's 
                              contract which falls within the 
                              Area Office jurisdiction is the 
                              establishment. If an employer's 
                              activities at a jobsite are 
                              performed in two or more Area 
                              Office jurisdictions, a violation 
                              in Area A cannot serve as the basis 

                                  IV-29 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              for a repeated violation in Area B. 
                              If, on the other hand, an employer 
                              has several worksites within the 
                              same Area Office jurisdiction, a 
                              citation of a violation at Site A 
                              will serve as the basis for a 
                              repeated citation in Area B. 

                         2    Longshoring Establishment. 
                              A longshoring establishment 
                              will encompass all longshoring 
                              activities of a single 
                              stevedore within any single 
                              port area.  Longshoring 
                              employers are subject to 
                              repeated violation citations 
                              based on prior violations 
                              occurring anywhere. 

                         3    Other Maritime 
                              Establishments.  Other 
                              maritime employers covered by 
                              OSHA standards (e.g., 
                              shipbuilding, ship repairing) 
                              are multifacility employers as 
                              defined in 1 above. 

          d.   Time Limitations.  Although there are no 
               statutory limitations upon the length of time that 
               a citation may serve as a basis for a repeated 
               violation, the following policy shall be used in 
               order to ensure uniformity. 

               (1)  A citation will be issued as a repeated 
                    violation if: 

                    (a)  The citation is issued within 3 years of 
                         the final order of the previous 
                         citation, or, 

                    (b)  The citation is issued within 3 years of 
                         the final abatement date of that 
                         citation, whichever is later. 

               (2)  When a violation is found during an 
                    inspection and a repeated citation has been 
                    issued for a substantially similar condition 
                    which meets the above time limitations, the 
                    violation may be classified as a second 
                    instance repeated violation with a 
                    corresponding increase in penalty (See 
                    Chapter VI, B.14.b.) 

                    EXAMPLE:  An inspection is conducted in an 
                    establishment on 10/17/90.  A violation of 29 
                    CFR 1910.217(c)(1)(i) is found.  On 12/9/87 a 
                    repeated violation of the same standard was 
                    issued.  The violation found during the 
                    current inspection may be treated as a second 
                    instance repeated violation. 

               (3)  For any further repetition, the Regional 
                    Administrator shall be consulted for 
                    guidance. 

          e.   Repeated vs. Willful.  Repeated violations 
               differ from willful violations in that they may 
               result from an inadvertent, accidental or 
               ordinarily negligent act.  Where a repeated 
               violation may also meet the criteria for willful 
               but not clearly so, a citation for a repeated 
               violation shall normally be issued. 

                                  IV-30 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          f.   Repeated vs. Failure to Abate.  A failure to 
               abate situation exists when an item of equipment 
               or condition previously cited has never been 
               brought into compliance and is noted at a later 
               inspection.  If, however, the violation was not 
               continuous (i.e., if it had been corrected and 
               then reoccurred), the subsequent occurrence is a 
               repeated violation. 

          g.   Area Director Responsibilities.  After the 
               CSHO makes the initial recommendation that the 
               violation 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 prior violation citation which serves as 
                    the basis for the repeated citation.  If the 
                    prior violation citation is not available, 
                    the basis for the repeated citation shall, 
                    nevertheless, be adequately documented in the 
                    case file. 

               (3)  In questionable circumstances when it is not 
                    clear that the violation meets the criteria 
                    outlined in this section, consult with the 
                    Regional Administrator before issuing a 
                    repeated citation. 

               (4)  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, either by telephone or 
                    by notation in the AVD portion of the 
                    citation, using the following or similar 
                    language: 

                         THE (COMPANY NAME) WAS PREVIOUSLY 
                         CITED FOR A VIOLATION OF THIS 
                         OCCUPATIONAL SAFETY AND HEALTH 
                         STANDARD OR ITS EQUIVALENT STANDARD 
                         (NAME PREVIOUSLY CITED STANDARD) 
                         WHICH WAS CONTAINED IN OSHA 
                         INSPECTION NUMBER ____________, 
                         CITATION NUMBER ____________, ITEM 
                         NUMBER ____________, ISSUED ON 
                         (DATE). 

     6.   De Minimis Violations.  De minimis violations are 
          violations of standards which have 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 way as any other 
          violation but shall not be included on the citation. 

          a.   Explanation.  The criteria for finding a de 
               minimis violation are as follows: 

               (1)  An employer complies with the clear intent of 
                    the standard but deviates from its particular 
                    requirements in a manner that has no direct 
                    or immediate relationship to employee safety 
                    or health.  These deviations may involve 

                                  IV-31 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    distance specifications, construction 
                    material requirements, use of incorrect 
                    color, minor variations from recordkeeping, 
                    testing, or inspection regulations, or the 
                    like. 

                    EXAMPLE 1.  29 CFR 1910.27(b)(1)(ii) allows 
                    12 inches (30 centimeters) as the maximum 
                    distance between ladder rungs.  Where the 
                    rungs are 13 inches (33 centimeters) apart, 
                    the condition is de minimis. 

                    EXAMPLE 2.  29 CFR 1910.28(a)(3) requires 
                    guarding on all open sides of scaffolds. 
                    Where employees are tied off with safety 
                    belts in lieu of guarding, often the intent 
                    of the standard will be met, and the absence 
                    of guarding may be de minimis. 

                    EXAMPLE 3.  29 CFR 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 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 or the employer complies with a 
                    written interpretation issued by the OSHA 
                    Regional or National Office. 

               (3)  An employer's workplace is at the "state of 
                    the art" which is technically beyond the 
                    requirements of the applicable standard and 
                    provides equivalent or more effective 
                    employee safety or health protection. 

          b.   Professional Judgment.  Maximum professional 
               discretion must be exercised in determining the 
               point at which noncompliance with a standard 
               constitutes a de minimis violation. 

          c.   Area Director Responsibilities.  Area 
               Directors shall ensure that the de minimis 
               violation meets the criteria set out in B.6.a. 

C.   Health Standard Violations. 

     1.   General.  The classification of health violations 
          involves the exercise of maximum professional judgment. 
          All relevant factors must be carefully considered when 
          making classification decisions. 

     2.   Citation of Ventilation Standards.  In cases where 
          a citation of a ventilation standard may be 
          appropriate, consideration shall be given to standards 
          intended to control exposure to recognized hazardous 
          levels of air contaminants, to prevent fire or 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          explosions, or to regulate operations which may involve 
          confined space or specific hazardous conditions.  In 
          applying these standards, the following guidelines 
          shall be observed: 

          a.   Health-Related Ventilation Standards.  An 
               employer is considered in compliance with a 
               health-related airflow ventilation standard when 
               the employee exposure does not exceed appropriate 
               airborne contaminant standards; e.g., the PELs 
               prescribed in 29 CFR 1910.1000. 

               (1)  Where an over-exposure to an airborne 
                    contaminant is detected, the appropriate air 
                    contaminant engineering control requirement 
                    shall be cited; e.g., 29 CFR 1910.1000(e). 
                    In no case shall citations of this standard 
                    be issued for the purpose of requiring 
                    specific volumes of air to ventilate such 
                    exposures. 

               (2)  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  as been documented, a 
                    citation shall be issued. 

          b.   Fire- and Explosion-Related Ventilation 
               Standards.  Although they are not technically 
               health violations, the following guidelines shall 
               be observed when citing fire- and 
               explosion-related ventilation standards: 

               (1)  Adequate Ventilation.  In the application 
                    of fire- and explosion-related ventilation 
                    standards, OSHA considers that an operation 
                    has adequate ventilation when both of the 
                    following criteria are met: 

                    (a)  The requirement of the specific standard 
                         has been met. 

                    (b)  The concentration of flammable vapors is 
                         25 percent or less of the lower 
                         explosive limit (LEL). 

                         EXCEPTION:  Certain standards specify 
                         violations when 10 percent of the LEL is 
                         exceeded.  These standards are found in 
                         maritime and construction exposures. 

               (2)  Citation Policy.  If 25 percent (10 
                    percent when specified for maritime or 
                    construction operations) of the LEL has been 
                    exceeded and: 

                    (a)  The standard requirements have not been 
                         met, the standard violation normally 
                         shall be cited as serious. 

                                  IV-33 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (b)  There is no applicable specific 
                         ventilation standard, Section 5(a)(1) of 
                         the Act shall be cited in accordance 
                         with the guidelines given in A.2. of 
                         this chapter. 

          c.   Special Conditions Ventilation Standards.  The 
               primary hazards in this category are those 
               resulting from confined space operations. 

               (1)  Overexposure need not be shown to cite 
                    ventilation requirements found in the 
                    standards themselves. 

               (2)  Other hazards associated with confined space 
                    operations, such as potential oxygen 
                    deficiency or toxic overexposure, must be 
                    adequately documented before a citation may 
                    be issued. 

     3.   Violations of the Noise Standard.  Current 
          enforcement policy regarding 29 CFR 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 the employee is exposed to acceptable levels 
          as specified in Tables G-16 or G-16a of the standard. 
          Professional judgment is necessary to supplement the 
          general guidelines provided here. 

          a.   Citations for violations of 29 CFR 1910.95(b)(1) 
               shall be issued when engineering and/or 
               administrative controls are feasible, both 
               technically and economically; and 

               (1)  Employee exposure levels are so high that 
                    hearing protectors alone may not reliably 
                    reduce noise levels received by the 
                    employee's ear to the levels specified in 
                    Tables G-16 or G-16a of the standard.  Given 
                    the present state of the art, hearing 
                    protectors which offer the greatest 
                    attenuation may not reliably be used when 
                    employee exposure levels border on 100 dBA 
                    (See OSHA Instruction CPL 2-2.35A, 
                    Appendix.); or 

               (2)  The costs of engineering and/or 
                    administrative controls are less than the 
                    cost of an effective hearing conservation 
                    program. 

                    NOTE:     See Chapter III for guidelines ontechnical and 
                              economic feasibility.  The Director of 
                              Technical Support can provide additional 
                              information on engineering control 
                              costs and technological feasibility when 
                              requested by the Regional Administrator. 

          b.   A control is not reasonably necessary 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. 
               (In making 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               this decision such factors as the 
               exposure levels in question, the number of 
               employees tested, and the duration of the testing 
               program shall be taken into consideration.) 

          c.   When employee noise exposures are less than 100 
               dBA but the employer does not have an ongoing 
               hearing conservation program or the results of 
               audiometric testing indicate that the employer's 
               existing program is not working, the CSHO shall 
               consider whether: 

               (1)  Reliance on an effective hearing conservation 
                    program would be less costly than engineering 
                    and/or administrative controls. 

               (2)  An effective hearing conservation program can 
                    be established or improvements can be made in 
                    an existing hearing conservation program 
                    which could bring the employer into 
                    compliance with Tables G-16 or G-16a. 

               (3)  Engineering and/or administrative controls 
                    are both technically and economically 
                    feasible. 

          d.   If noise levels received by the employee's ear can 
               be reduced to the levels specified in Tables G-16 
               or G-16a by means of hearing protectors and an 
               effective hearing conservation program, citations 
               under the hearing conservation standard shall 
               normally be issued rather than citations requiring 
               engineering controls. 

               (1)  If improvements in the hearing conservation 
                    program cannot be made or, if made, cannot be 
                    expected to reduce exposure sufficiently and 
                    feasible controls exist, a citation under 
                    1910.95(b)(1) shall normally be issued. 

               (2)  The Area Director shall discuss such cases 
                    with the Regional Administrator prior to 
                    issuing a citation.  If the Regional 
                    Administrator agrees that controls are 
                    justifiable, a citation shall be issued. 

          e.   When hearing protection is required but not used 
               and employee exposure exceeds the limits of Table 
               G-16, 29 CFR 1910.95(i)(2)(i) shall be cited and 
               classified as serious (See C.3.h.) whether or not 
               the employer has instituted a hearing conservation 
               program.  29 CFR 1910.95(a) shall no longer be 
               cited except in the case of the oil and gas 
               drilling industry. 

               NOTE:     Citations of 29 CFR 1910.95(i)(2)(ii)(b) 
                         shall also be classified as serious. 

          f.   If an employer has instituted a hearing 
               conservation program and a violation of the 
               hearing conservation amendment (other than 1910.95 
               (i)(2)(i) or (i)(2)(ii)(b)) is found, a citation 
               shall be issued if employee noise exposures equal 
               or exceed an 8-hour time-weighted average of 85 
               dB. 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          g.   If the employer has not instituted a hearing 
               conservation program and employee noise exposures 
               equal or exceed an 8-hour time-weighted average of 
               85 dB, a citation for 1910.95(c) only shall be 
               issued. 

          h.   Violations of 1910.95(i)(2)(i) from the hearing 
               conservation amendment may be grouped with 
               violations of 29 CFR 1910.95(b)(1) and classified 
               as serious when an employee is exposed to noise 
               levels above the limits of Table G-l6 and: 

               (1)  Hearing protection is not utilized or is not 
                    adequate to prevent overexposure to an 
                    employee; or 

               (2)  There is evidence of hearing loss which could 
                    reasonably be considered: 

                    (a)  To be work-related, and 

                    (b)  To have been preventable, at least to 
                         some degree, if the employer had been in 
                         compliance with the cited provisions. 

          i.   When an employee is overexposed but effective 
               hearing protection is being provided and used, an 
               effective hearing conservation program has been 
               implemented and no feasible engineering or 
               administrative controls exist, a citation shall 
               not be issued. 

     4.   Violations of the Respirator Standard.  When 
          considering a citation for respirator violations, the 
          following guidelines shall be observed: 

          a.   In Situations Where Overexposure Does Not 
               Occur.  Where an overexposure has not been 
               established: 

               (1)  But an improper type of respirator is being 
                    used (e.g., a dust respirator being used to 
                    reduce exposure to organic vapors), a 
                    citation under 29 CFR 1910.134(b)(2) shall be 
                    issued, provided the CSHO documents that an 
                    overexposure is possible. 

               (2)  And one or more of the other requirements of 
                    29 CFR 1910.134 is not being met; e.g., an 
                    unapproved respirator is being used to reduce 
                    exposure to toxic dusts, generally a de 
                    minimis violation shall be recorded in 
                    accordance with OSHA procedures.  (Note that 
                    this policy does not include emergency 
                    use respirators.)  The CSHO shall advise the 
                    employer of the elements of a good respirator 
                    program as required under 29 CFR 1910.134. 

               (3)  In exceptional circumstances a citation 
                    may be warranted if an adverse health 
                    condition due to the respirator itself could 
                    be supported and documented.  Examples may 
                    include a dirty respirator that is causing 
                    dermatitis, a worker's health being 
                    jeopardized by wearing a respirator due to an 
                    inadequately 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    evaluated medical condition or a 
                    significant ingestion hazard created by an 
                    improperly cleaned respirator. 

          b.   In Situations Where Overexposure Does Occur. 
               In cases where an overexposure to an air 
               contaminant has been established, the following 
               principles apply to citations of 1910.134: 

               (1)  29 CFR 1910.134(a)(2) is the general section 
                    requiring employers to provide respirators ". 
                    . . when such equipment is necessary to 
                    protect the health of the employee" and 
                    requiring the establishment and maintenance 
                    of a respiratory protection program which 
                    meets the requirements outlined in 29 CFR 
                    1910.134(b).  Thus, if no respiratory program 
                    at all has been established, 1910.134(a)(2) 
                    alone shall be cited; if a program has been 
                    established and some, but not all, of the 
                    requirements under 1910.134(b) are being met, 
                    the specific standards under 1910. 134(b) 
                    that are applicable shall be cited. 

               (2)  An acceptable respiratory protection program 
                    includes all of the elements of 29 CFR 
                    1910.134; however, the standard is structured 
                    such that essentially the same requirement is 
                    often specified in more than one section.  In 
                    these cases, the section which most 
                    adequately describes the violation shall be 
                    cited. 

     5.   Violations of Air Contaminant Standards (29 CFR 
          1910.1000 Series).  The standard itself provides 
          several requirements. 

          a.   29 CFR 1910.1000(a) through (d) provide ceiling 
               values and 8-hour timeweighted averages (threshold 
               limit values) applicable to employee exposure to 
               air contaminants. 

          b.   29 CFR 1910.1000(e) provides that to achieve 
               compliance with those exposure limits, 
               administrative or engineering controls shall first 
               be identified and implemented to the extent 
               feasible.  When such controls do not achieve full 
               compliance, protective equipment shall be used. 
               Whenever respirators are used, their use shall 
               comply with 29 CFR 1910.134. 

          c.   29 CFR 1910.134(a) provides that when effective 
               engineering controls are not feasible, or while 
               they are being instituted, appropriate respirators 
               shall be used.  Their use shall comply with 
               requirements contained in 29 CFR 1910.134 which 
               provide for the type of respirator and the proper 
               maintenance. 

          d.   The situation may exist where an employer must 
               provide feasible engineering controls as well as 
               feasible administrative controls (including work 
               practice controls) and personal protective 
               equipment.  29 CFR 1910.1000(e) has been 
               interpreted to allow employers to implement 
               feasible engineering controls and/or 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               administrative and work practice controls in any 
               combination the employer chooses provided the 
               abatement means chosen eliminates the 
               overexposure. 

          e.   Where engineering and/or administrative controls 
               are feasible but do not or would not reduce the 
               air contaminant levels below the applicable 
               ceiling value or threshold limit value, the 
               employer, nevertheless, must institute such 
               controls.   Only where the implementation of all 
               feasible engineering and administrative controls 
               fails to reduce the level of air contaminants 
               below applicable levels will the use of personal 
               protective equipment constitute satisfactory 
               abatement.  In such cases, usage of personal 
               protective equipment shall be mandatory. 

     6.   Classification of Violations of Air Contaminant 
          Standards.  When it has been established that an 
          employee is 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 basis of the requirements in 
          the Chemical Information Manual, OSHA Instruction CPL 
          2-2.43A, and the use of respiratory protection at the 
          time of the violation. Classification of violations is 
          dependent upon the determination that the illness is 
          reasonably predictable at that exposure level, whether 
          the illness is serious or other-than-serious and that 
          the employer knew or could have known through 
          reasonable diligence that a hazardous condition 
          existed. 

          a.   Principles of Classification.  Exposure to a 
               substance shall be considered serious if the 
               exposure could cause impairment to the body as 
               described in B.1.b.(3). 

               (1)  In general, substances having a single health 
                    code of 13 or less shall be considered as 
                    serious at any level above the Permissible 
                    Exposure Limit (PEL).  Substances in 
                    categories 6, 8 and 12, however, are not 
                    considered serious at levels where only mild, 
                    temporary effects would be expected to occur. 

               (2)  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. 

               (3)  For a substance (e.g., cyclohexanol), having 
                    multiple health codes covering both serious 
                    and other-than-serious effects, a 
                    classification of other-than-serious shall be 
                    applied up to the level at which a serious 
                    effect(s) could be expected to occur. 

               (4)  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 
                    shall be considered under Section 5(a)(1) of 
                    the Act in accordance with the guidelines 
                    given in A.2. 

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OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (5)  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), a citation for 
                    inhalation cannot normally be issued.  The 
                    CSHO shall advise the employer that a 
                    reduction of the PEL has been recommended. 

               (6)  For a substance having an 8-hour PEL with no 
                    ceiling PEL but which a ceiling ACGIH TLV or 
                    NIOSH ceiling value has been recommended, the 
                    case shall be referred to the Regional 
                    Administrator in accordance with A.2.d.(2) of 
                    this chapter.  If no citation is to be 
                    issued, the CSHO shall, nevertheless, advise 
                    the employer that a ceiling value has been 
                    recommended. 

          b.   Effect of Respirator Protection Factors.  The 
               CSHO shall consider protection factors for the 
               type of respirator in use as well as the 
               possibility of overexposure if the respirator 
               fails.  If protection factors are exceeded and if 
               the potential for overexposure exists, a citation 
               for failure to control excessive exposure shall be 
               issued. 

          c.   Additive and Synergistic Effects.  Substances 
               which have a known additive effect and, therefore, 
               result in a greater probability/severity of risk 
               when found in combination shall be evaluated using 
               the formula found in 29 CFR 1910.1000(d)(2). 

               (1)  The use of this formula requires that the 
                    exposures have an additive effect on the same 
                    body organ or system.  Caution must be used 
                    in applying the additive formula, and prior 
                    consultation with the Regional Administrator 
                    is required. 

               (2)  If the CSHO suspects that synergistic effects 
                    are possible, it shall be brought to the 
                    attention of the supervisor, who shall refer 
                    the question to the Regional Administrator. 
                    If it is decided that there is a synergistic 
                    effect of the substances found together, the 
                    violations shall be grouped, when 
                    appropriate, for purposes of increasing the 
                    violation classification severity and/or the 
                    penalty. 

     7.   Guidelines for Issuing Citations of Air Contaminant 
          Violations.  Reserved. 

     8.   Violations of the Hazard Communication Standard. 
          Reserved. 

     9.   Citing Improper Personal Hygiene Practices.  The 
          following guidelines apply when citing personal hygiene 
          violations: 

          a.   Ingestion Hazards.  A citation under 29 CFR 
               1910.141(g)(2) and (4) shall be issued where there 
               is reasonable probability that, in areas where 
               employees 

                                  IV-39 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               consume food or beverages (including 
               drinking fountains), a significant quantity of a 
               toxic material may be ingested and subsequently 
               absorbed. 

               (1)  For citations under 29 CFR 1910.141(g)(2) or 
                    (4) wipe sampling results shall be adequately 
                    documented to establish a serious hazard. 

               (2)  Where, for any substance, a serious hazard is 
                    determined to exist due to the potential of 
                    ingestion or absorption of the substance 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. 

               (3)  Such citations do not depend on 
                    measurements of airborne concentrations. 

          b.   Absorption Hazards.  A citation for exposure 
               to materials which can be absorbed through the 
               skin or which can cause a skin effect (e.g., 
               dermatitis) shall be issued where appropriate 
               personal protective equipment (clothing) is 
               necessary but not worn.  (See 29 CFR 1910.1000, 
               Table Z-1, substances marked "skin".) The citation 
               shall be issued under 29 CFR 1910.132(a) as either 
               a serious or other-than-serious citation according 
               to the hazard. 

               (1)  Such citations do not depend on 
                    measurements of airborne concentrations. 

               (2)  If a serious skin absorption or dermatitis 
                    hazard exists which cannot be eliminated with 
                    protective clothing, a 5(a)(1) citation may 
                    be considered.  Engineering or administrative 
                    (including work practice) controls shall be 
                    required in these cases to prevent the 
                    hazard. 

          c.   Wipe Sampling.  In general, wipe sampling (not 
               air sampling) will be necessary to establish the 
               presence of a toxic material posing a potential 
               absorption or ingestion hazard.  (See the OSHA 
               Technical Manual for sampling procedures.) 

          d.   Issuing Citation.  There are two primary 
               considerations when issuing a citation of an 
               ingestion or absorption hazard, such as a citation 
               for lack of protective clothing: 

               (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 material that 
                         can be ingested or absorbed through the 
                         skin or in some other manner.  (See the 
                         Chemical Information Table.) 

                                  IV-40 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  The potential that the toxic material can be 
                    ingested or absorbed, e.g., that it can be 
                    present on the skin of the employee, can be 
                    established by evaluating the conditions of 
                    use and determining the possibility that a 
                    health hazard exists. 

               (3)  The conditions of use can be documented by 
                    taking both qualitative and quantitative 
                    results of wipe sampling into consideration 
                    when evaluating the hazard. 

          e.   Supporting Citation.  There are four primary 
               considerations which must be met to support a 
               citation: 

               (1)  The potential for ingestion or absorption of 
                    the toxic material must exist. 

               (2)  The ingestion or absorption of the material 
                    must represent a health hazard. 

               (3)  The toxic substance must be of such a nature 
                    and exist in such quantities as to pose a 
                    serious hazard.  The substance must be 
                    present on surfaces which have hand contact 
                    (such as lunch tables, cigarettes, etc.) or 
                    on other surfaces which, if contaminated, 
                    present the potential for ingestion or 
                    absorption of the toxic material (e.g., a 
                    water fountain). 

               (4)  The protective clothing or other abatement 
                    means would be effective in eliminating or 
                    significantly reducing exposure. 

          f.   Biological Monitoring.  If the employer has 
               been conducting biological monitoring, the CSHO 
               shall evaluate the results of such testing.  The 
               results may assist in determining whether a 
               significant quantity of the toxic material is 
               being ingested or absorbed through the skin. 

          g.   Determination of Source.  Prior to the 
               issuance of a citation, the CSHO shall carefully 
               investigate the source or cause of the observed 
               hazards to determine if some type of engineering, 
               administrative or work practice control, or 
               combination thereof, may be applied which would 
               reduce employee exposure. 

     10.  Classification of Violations for the New Health 
          Standards.  In general, classification decisions 
          regarding violations of the exposure limits of the 
          new health standards shall be governed by the 
          Chemical Information Manual. 

                                  IV-41 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                           CHAPTER VI 

                            PENALTIES 

A.   General Policy.  The penalty structure provided under 
     Section 17 of the Act is designed primarily to provide an 
     incentive toward correcting violations voluntarily, not only 
     to the offending employer but, more especially, to other 
     employers who may be guilty of the same infractions of the 
     standards or regulations. 

     1.   OSHA has always taken the position that penalties are 
          not designed as punishment for violations nor as a 
          source of income for the Agency.  The Congress has made 
          clear its intent, however, that penalty amounts should 
          be sufficient to serve as an effective deterrent to 
          violations. 

     2.   Large proposed penalties, as Congress has clearly 
          recognized, serve the public purpose intended under the 
          Act; and criteria guiding approval of such penalties by 
          the Assistant Secretary are based on meeting this 
          public purpose.  (See B.9.d. and OSHA Instruction CPL 
          2.80.) 

B.   Civil Penalties. 

     1.   Type of Violation as a Factor.  In proposing civil 
          penalties for violations, a distinction is made between 
          serious violations and other violations.  There is no 
          statutory requirement that a penalty be proposed when 
          the violation is not serious; but a penalty must be 
          proposed when the violation is serious. 

          a.   The maximum penalty that may be proposed for a 
               serious or an other-than-serious violation is 
               $7,000. 

          b.   In the case of willful or repeated violations, a 
               civil penalty of up to $70,000 may be proposed; 
               but the penalty may not be less than $5,000 for a 
               willful violation. 

          c.   For other specific violations of the Act, civil 
               penalties of up to $7,000 may be proposed. 

          d.   Penalties for failure to correct a violation may 
               be up to $7,000 for each calendar day that the 
               violation continues beyond the final abatement 
               date. 

     2.   Statutory Authority.  Section 17 provides the 
          Secretary with the statutory authority to assess civil 
          penalties for violations of the Act. 

                                  VI-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          a.   Section 17(b) of the Act provides that any 
               employer who has received a citation for an 
               alleged violation of the Act which is determined 
               to be of a serious nature shall be assessed a 
               civil penalty of up to $7,000 for each violation. 
               (See OSHA Instruction CPL 2.51G for current 
               Congressional exemptions and limitations placed on 
               penalties by the Appropriations Act.) 

          b.   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 $7,000 
               may be assessed for each violation. 

          c.   Section 17(i) provides that, when a violation of a 
               posting requirement is cited, a civil penalty of 
               up to $7,000 shall be assessed. 

     3.   Minimum Penalties.  The following guidelines apply: 

          a.   The proposed penalty for any willful violation 
               shall not be less than $5,000.  This is a 
               statutory minimum and not subject to 
               administrative discretion. 

          b.   When the adjusted proposed penalty for an 
               other-than-serious violation (citation item) would 
               amount to less than $100, no penalty shall be 
               proposed for that violation. 

          c.   When, however, there is a citation item for a 
               posting violation, this minimum penalty amount 
               does not apply with respect to that item since 
               penalties for such items are mandatory under the 
               Act. 

          d.   When the adjusted proposed penalty for a serious 
               violation (citation item) would amount to less 
               than $100, a $100 penalty shall be proposed for 
               that violation. 

     4.   Penalty Factors.  Section 17(j) of the Act provides 
          that penalties shall be assessed on the basis of four 
          factors: 

          a.   The gravity of the violation, 

          b.   The size of the business, 

          c.   The good faith of the employer, and 

          d.   The employer's history of previous violations. 

     5.   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 both serious and other violations. 

                                  VI-2 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          a.   Since these adjustment factors are based on the 
               general character of a business and its safety and 
               health performance, the factors generally shall be 
               calculated only once for each employer.  After the 
               classification and probability ratings have been 
               determined for each violation, the adjustment 
               factors shall be applied subject to the 
               limitations indicated in the following paragraphs. 

          b.   Penalties assessed for violations that are 
               classified as high severity and greater 
               probability shall be adjusted only for size and 
               history. 

          c.   Penalties assessed for violations that are 
               classified as repeated shall be adjusted only 
               for size. 

          d.   Penalties assessed for violations classified as 
               willful shall be adjusted only for size. 

          NOTE:     If one violation is classified as willful, no 
                    reduction for good faith can be applied to 
                    any of the violations found during the same 
                    inspection.  The employer cannot be willfully 
                    in violation of the Act and at the same time, 
                    be acting in good faith. 

          e.   The rate of penalty reduction for size of 
               business, employer's good faith and employer's 
               history of previous violations shall be calculated 
               on the basis of the criteria described in the 
               following paragraphs: 

               (1)  Size.  A maximum penalty reduction of 60 
                    percent is permitted for small businesses. 
                    "Size of business" shall be measured on the 
                    basis of the maximum number of employees of 
                    an employer at all workplaces at any one time 
                    during the previous 12 months.  Information 
                    on the total number of an employer's 
                    employees can generally be obtained at the 
                    inspected worksite.  However, on occasion it 
                    may be necessary to obtain or confirm the 
                    information from the employer's headquarters. 

                    (a)  The rates of reduction to be applied are 
                         as follows: 

                         Employees          Percent reduction 

                         1-25                       60 
                         26-100                     40 
                         101-250                    20 
                         251 or more               None 

                    (b)  An employer's ability to pay a penalty 
                         shall not normally be investigated or 
                         considered in determining the penalty 
                         reduction for size of business. 

                                  VI-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (c)  However, if an employer presents 
                         convincing evidence of inability to pay 
                         a penalty because of financial 
                         difficulties at an informal conference, 
                         the Area Director may determine that a 
                         penalty reduction is appropriate.  Such 
                         a determination shall be documented in 
                         the case file. 

                    (d)  When a small business has one or more 
                         serious violations of high gravity or a 
                         number of serious violations of moderate 
                         gravity, indicating a lack of concern 
                         for employee safety and health, the Area 
                         Director may determine that only a 
                         partial reduction in penalty shall be 
                         permitted for size of business. 

               (2)  Good Faith.  A penalty reduction of up to 
                    25 percent is permitted in recognition of an 
                    employer's "good faith". 

                    EXCEPTION:     If one willful violation is 
                                   found, no reduction for good 
                                   faith can be applied to 
                                   any of the violations 
                                   found during the same 
                                   inspection.  An employer 
                                   cannot be willfully in 
                                   violation of the Act and at 
                                   the same time, be acting in 
                                   "good faith". 

                    (a)  A reduction of 25 percent shall 
                         normally be given if the employer has a 
                         written safety and health program (as 
                         documented during the inspection) that 
                         has been effectively implemented in the 
                         workplace and also: 

                         1    Provides for appropriate 
                              management commitment and 
                              employee involvement; worksite 
                              analysis for the purpose of 
                              hazard identification; hazard 
                              prevention and control 
                              measures; and safety and 
                              health training. 

                              NOTE:  One example of a framework 
                                     for such a program is given in 
                                     OSHA's voluntary "Safety and Health 
                                     Program Management Guidelines" 
                                     (Federal Register, Vol. 54, No. 
                                     16, January 26, 1989, pp. 3904- 
                                     3916, or later revisions as 
                                     published). 

                         2    Includes all programs required 
                              under OSHA standards 
                              applicable to the workplace 
                              (e.g., hazard communication, 
                              lockout-tagout, hazardous 
                              materials and emergency 
                              response, safety and health 
                              programs for construction [29 
                              CFR 1926.20] and trenching and 
                              excavation). 

                                  VI-10 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          d.   Regulatory Violations.  For repeated 
               violations of regulatory violations (see B.16.), 
               the initial penalty shall be doubled for the 
               first repeated violation and quintupled if the 
               violation has been cited twice before.  If the 
               Regional Administrator determines that it is 
               appropriate to achieve the necessary deterrent 
               effect, the initial penalty may be multiplied by 
               10. 

          NOTE:     See Chapter IV, B.5., for additional guidance 
                    on citing repeated violations. 

     15.  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 
          $70,000 but not less than $5,000 for each violation. 

          a.   Gravity-Based Penalty Factors.  Each willful 
               violation shall be classified as serious or 
               other-than-serious.  After determining the gravity 
               of the violation, a GBP shall be determined based 
               on the facts noted during the inspection.  The 
               adjustment factor for size shall be applied. 

               (1)  Serious Violations.  For willful serious 
                    violations, the adjusted GBP shall be 
                    multiplied by seven. 

                    (a)  In no case shall the proposed penalty be 
                         less than $5,000. 

                    (b)  The Regional Administrator may assess a 
                         higher penalty (up to the statutory 
                         maximum of $70,000) or a lower penalty 
                         than that calculated in accordance with 
                         B.15.a.(1), upon consideration of such 
                         factors as the degree of willfulness 
                         involved in the violation and the 
                         achievement of an appropriate deterrent 
                         effect.  The reasons for such action 
                         shall be documented in the case file. 

               (2)  Other-than-serious Violations.  For 
                    willful other-than-serious violations, the 
                    minimum willful penalty of $5,000 shall be 
                    assessed. 

          b.   Regulatory Violations.  In the case of 
               regulatory violations [see B.16] that are 
               determined to be willful, the unadjusted initial 
               penalty shall be multiplied by seven.  In no 
               event shall the penalty, after adjustment for size 
               and history, be less than $5,000. 

     16.  Violation of 29 CFR 1903 and 1904 Regulatory 
          Requirements.  Except as provided in the 
          Appropriations Act, Section 17 of the Act provides that 
          an employer who violates any of the posting 
          requirements shall be assessed a civil penalty of up to 
          $7,000 for each violation and may be assessed a like 
          penalty for recordkeeping violations.  For egregious 
          violations, an additional factor may be applied, as 
          described at B.9.d, in accordance with the procedures 
          set forth in OSHA Instruction CPL 2.80. 

                                  VI-15 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          a.   General Application.  The procedures that 
               follow shall be used in determining proposed 
               penalties for violations of 29 CFR 1903 and 1904 
               regulatory requirements only when the employer has 
               received a copy of the OSHA-200 Form through the 
               Recordkeeping Requirements booklet or from any 
               other source, or has knowledge of the 
               requirements. 

               (1)  If the employer has not received the booklet 
                    or the OSHA-200 Form, and does not have 
                    knowledge, citations without proposed 
                    penalties will be issued. 

               (2)  All proposed penalties for regulatory 
                    violations shall have the adjustment factors 
                    for size and history applied. 

          b.   Posting Requirements.  Penalties for violation 
               of posting requirements shall be proposed as 
               follows: 

               (1)  OSHA Notice.  If the employer has not 
                    displayed (posted) the notice furnished by 
                    the Occupational Safety and Health 
                    Administration as prescribed in 29 CFR 1903.2 
                    (a), an other-than-serious citation shall 
                    normally be issued.  The unadjusted penalty 
                    for this alleged violation shall be $1,000. 

               (2)  Annual Summary.  If an employer fails to 
                    post the summary portion of the OSHA-200 Form 
                    during the month of February as required by 
                    29 CFR 1904.5(d)(1), and/or fails to complete 
                    the summary prior to February 1, as required 
                    by 29 CFR 1904.5(b), even if there have been 
                    no injuries, an other-than-serious citation 
                    shall be issued with an unadjusted penalty of 
                    $1,000. 

               (3)  Citation.  If an employer received a 
                    citation that has not been posted as 
                    prescribed in 29 CFR 1903.16, an other-than- 
                    serious citation shall normally be issued. 
                    The unadjusted penalty shall be $3,000. 

          c.   Reporting and Recordkeeping Requirements. 
               Section 17(c) of the Act provides that violations 
               of the recordkeeping and reporting requirements 
               may be assessed civil penalties of up to $7,000 
               for each violation. 

               (1)  OSHA-200 Form.  If the employer does not 
                    maintain the Log and Summary of Occupational 
                    Injuries and Illnesses, OSHA-200 Form, as 
                    prescribed in 29 CFR 1904, an 
                    other-than-serious citation shall be issued. 
                    There shall be an unadjusted penalty of 
                    $1,000 for each year the form was not 
                    maintained. 

                                  VI-16 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                             TABLE VI-1 

                            PENALTY TABLE 

Percent 
Reduction                  PENALTY 
                               (in dollars) 

      0   1,000   1,500   2,000   2,500   3,000   3,500   5,000   7,000 
     10     900   1,350   1,800   2,250   2,700   3,150   4,500   6,300 
     15     850   1,275   1,700   2,125   2,550   2,975   4,250*  5,950* 
     20     800   1,200   1,600   2,000   2,400   2,800   4,000   5,600 
     25     750   1,125   1,500   1,875   2,250   2,625   3,750*  5,250 
     30     700   1.050   1,400   1,750   2,100   2,450   3,500   4,900 
     35     650     975   1,300   1,625   1,950   2,275   3,250*  4,550* 
     40     600     900   1,200   1,500   1,800   2,100   3,000   4,200 
     45     550     825   1,100   1,375   1,650   1,925   2,750*  3,850* 
     50     500     750   1,000   1,250   1,500   1,750   2,500   3,500 
     55     450     675     900   1,125   1,350   1,575   2,250*  3,150* 
     60     400     600     800   1,000   1,200   1,400   2,000   2,800 
     65     350     525     700     875   1,050   1,225   1,750*  2,450* 
     70     300     450     600     750     900   1,050   1,500   2,100 
     75     250     375     500     625     750     875   1,250*  1,750* 
     85     150     225     300     375     450     525     750*  1,050* 
     95     100**   100**   100     125     150     175     250*    350* 

     *  Starred figures represent penalty amounts that would not 
     normally be proposed for high gravity serious violations 
     because no adjustment for good faith is made in such cases. 
     They may occasionally be applicable for other-than-serious 
     violations where the Regional Administrator has determined a 
     high unadjusted penalty amount to be warranted. 

     **  Administratively, OSHA will not issue a penalty less 
     that $100. 

                                  VI-19 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

C.   Criminal Penalties. 

     1.   The Act and the U.S. Code provide for criminal 
          penalties in the following cases: 

          a.   Willful violation of an OSHA standard, rule, or 
               order causing the death of an employee (Section 
               17(e)). 

          b.   Giving unauthorized advance notice.  (Section 
               17(f).) 

          c.   Giving false information.  (Section 17(g).) 

          d.   Killing, assaulting or hampering the work of a 
               CSHO.  (Section 17(h)(2).) 

     2.   Criminal penalties are imposed by the courts after 
          trials and not by the Occupational Safety and Health 
          Administration or the Occupational Safety and Health 
          Review Commission. 

D.   Handling Monies Received from Employers. 

     1.   Responsibility of Area Director.  It is OSHA policy 
          to collect penalties owed the government as a result of 
          the legitimate exercise of statutory authority.  The 
          Area Director is responsible for informing employers of 
          OSHA's debt collection procedures, collecting assessed 
          penalties from employers, reporting penalty amounts 
          collected and those due, calculating interest and other 
          charges on overdue penalty amounts, referring cases 
          with uncollected penalties to the National Office, 
          transferring selected cases to the Regional Solicitor 
          for legal action and tracking such cases, and mailing 
          collected monies in accordance with the procedures 
          given in this chapter and in OSHA Instruction ADM 
          1-1.12B, Chapter XXIII, and other relevant OSHA 
          Instructions. 

     2.   Receiving Payments.  The Area Director shall be 
          guided by the following with regard to penalty 
          payments: 

          a.   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 U.S. Department 
               of Labor -- 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. 

          b.   Identifying Payment.  The Reporting I.D. of 
               the Area Office concerned, along with the 
               Inspection Number, MUST BE PLACED in the upper 
               left corner of the face of the payment instrument. 
               The date of receipt MUST BE STAMPED in the upper 
               right corner. 

                                  VI-20 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                              a    Being informed at 
                                   inspection milestones; and, 

                              b    The offer to meet 
                                   personally to answer 
                                   questions. 

                              c    Subject to the 
                                   requirements of 29 CFR 
                                   Part 70, a free copy of 
                                   releasable information 
                                   from the case file at the 
                                   time the file is closed; 
                                   i.e., after the 
                                   investigation is 
                                   completed and any 
                                   resulting OSHA 
                                   enforcement proceedings 
                                   have been concluded. 

                    (c)  If the next-of-kin or the emergency 
                         contact person(s) cannot be determined 
                         through the employment records or 
                         fellow-employee interviews, the Area 
                         Director shall make a reasonable effort 
                         to identify the next-of-kin through a 
                         search of police reports, hospital 
                         admission records, coroner's records, 
                         and newspapers. 

                    (d)  When the additional search does not 
                         identify a family member, the case file 
                         shall be documented to reflect the 
                         search and the extent to which it was 
                         carried out. 

                    (e)  If the letter is returned as 
                         undeliverable, the letter and envelope 
                         shall be put in the case file and the 
                         date of return entered in the case file. 

               (3)  The compliance officer, when taking a 
                    statement pursuant to B.2.d.(2)(b)3, 
                    shall explain that the interview will be kept 
                    confidential to the extent allowed by law. 
                    The greatest sensitivity and professionalism 
                    is required for such an interview.  The 
                    information received must be carefully 
                    evaluated and corroborated during the 
                    investigation. 

               (4)  Followup contact shall be maintained with a 
                    key family member or other contact person, 
                    when requested, so that the survivors can be 
                    kept up-to-date on the status of the 
                    investigation.  Such contact can be by 
                    personal visit, telephone or letter, as 
                    requested, by the family member.  These 
                    contacts shall be made at appropriate times; 
                    e.g., after the citation issuance, after an 
                    informal conference has been conducted, after 
                    the contest has been received, and when the 
                    case has been closed. 

               (5)  The victim's family members shall be provided 
                    a copy of all citations issued as a result of 
                    the accident investigation within 5 working 
                    days of issuance. 

               (6)  All OSHA staff are cautioned, when discussing 
                    the Freedom of Information Act (FOIA) with 
                    the family, not to mislead them about the 
                    speed with which they can obtain a copy of 
                    the disclosable information prior to closing 
                    the case file.  Staff are further cautioned 
                    that the employer's rights must be protected. 
                    There should be no premature release of facts 
                    or findings during 

                                  VIII-5 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    any meeting with non-OSHA 
                    personnel, before the investigation and 
                    subsequent litigation is completed. 

          e.   Criminal.  Section 17(e) of the Act provides 
               criminal penalties for an employer who is 
               convicted of having willfully violated an OSHA 
               standard, rule or order when that violation caused 
               the death of an employee.  In an investigation of 
               this type, therefore, the nature of the evidence 
               available is of paramount importance. There shall 
               be early and close liaison between the CSHO/team 
               leader, the Area Director, the Regional 
               Administrator and the Regional Solicitor in 
               developing any finding which might involve a 
               violation of Section 17(e) of the Act.  Staff with 
               criminal investigation training shall be assigned 
               at an early stage to assist in developing the 
               case. 

C.   Reports.  Refer to OSHA Instruction CPL 2.97, 
     Fatality/Catastrophe Reports to the National Office ("Flash 
     Reports"). 

D.   Special Situations. 

     1.   Preemption.  There may be situations where it is 
          not clear whether OSHA's authority to investigate 
          fatalities or catastrophes has been preempted.  In such 
          cases the guidelines given in Chapter III, D.6.a. shall 
          be observed with the following special considerations: 

          a.   General.  If it is reasonably certain that 
               OSHA coverage has not been preempted, the Area 
               Director shall start the investigation at once and 
               not let potential 4(b)(1) problems interfere with 
               either notification or investigation. 

               (1)  If the Regional Administrator cannot resolve 
                    a preemption problem at the local level, all 
                    pertinent information shall be relayed to the 
                    Director of Compliance Programs, along with 
                    additional facts as they become available.  A 
                    clear interpretation will be provided as soon 
                    as possible. 

               (2)  Where prior determinations have been made 
                    that OSHA authority has been preempted, such 
                    as coal mine accidents, no investigation 
                    shall be conducted. 

               (3)  If OSHA jurisdiction has been preempted only 
                    partially, the investigation shall be 
                    conducted as usual; and all apparent 
                    violations shall be noted, including those 
                    for which jurisdiction has been preempted.  A 
                    referral shall be made to the local office of 
                    the appropriate agency for such violations as 
                    soon as practicable. 

                                  VIII-6 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          b.   Agency Cooperation.  If other Federal agencies 
               will be involved and are on site, the CSHO and/or 
               the investigative team shall work with the other 
               agencies as closely as possible to: 

               (1)  Obtain all available information concerning 
                    the fatality or catastrophe. 

               (2)  Assist each other in inspection of the 
                    accident site. 

     2.   Use of Expert Assistance.  The decision as to the 
          need for experts to assist in the conduct of the 
          investigation shall be made as soon as possible after 
          the Team/CSHO has arrived on site.  That decision shall 
          be made by the Area Director in consultation with the 
          Regional Administrator upon the recommendation of the 
          Team Leader/CSHO. 

          a.   National Office Contact.  If a particular 
               Regional Administrator has no knowledge of or 
               cannot locate an expert, the Director, Office of 
               Field Programs, may be contacted for information 
               regarding safety and health professionals within 
               OSHA who are experts in their fields.  Based on 
               this information, the Regional Administrator shall 
               contact the appropriate Regional Administrator and 
               request the services of the expert.  Experts shall 
               normally be made available by their Regional 
               Administrators both for investigations of 
               fatalities/catastrophes and for testifying in any 
               subsequent legal proceedings. 

          b.   Choice of Experts.  OSHA and NIOSH Regional 
               and Area personnel shall generally be the first 
               choice as experts, rather than "outside" experts. 
               Any available 7(c)(1) consultation personnel shall 
               be called upon as experts whenever appropriate. 

               (1)  If an expert from another OSHA Region is 
                    required, the requesting Regional 
                    Administrator shall coordinate with the 
                    supplying Regional Administrator to make the 
                    necessary arrangements. 

               (2)  If no Regional or Area experts are available, 
                    OSHA National Office personnel or NIOSH 
                    personnel, in that order, are next in order 
                    of preference, followed by 7(c)(1) contract 
                    personnel. 

                    (a)  If National Office personnel are to be 
                         used, the Regional Administrator shall 
                         contact the Director, Office of Field 
                         Programs, who will make the arrangements 
                         with the Directorate concerned. 

                    (b)  Arrangements for NIOSH experts shall be 
                         made by the Regional Administrator with 
                         the NIOSH Regional or National Office, 
                         as appropriate. 

                    (c)  For 7(c)(1) contract personnel, the 
                         Regional Administrator shall make the 
                         necessary arrangements directly with the 
                         contractor. 

                                  VIII-7 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (3)  Outside experts shall generally be selected 
                    only when no one qualified is available from 
                    the above listed sources. 

          c.   Other Federal Agency.  If an expert from 
               another Federal agency is required, the Regional 
               Administrator shall contact the Regional Office or 
               other appropriate office of the other agency to 
               arrange the details, or the Director, Office of 
               Field Programs, to handle the request at the 
               National level.  If necessary, a letter to the 
               appropriate Federal agency shall be prepared for 
               the signature of the Assistant Secretary to 
               confirm telephone requests for such assistance. 

          d.   Consultants.  In general, a consultant or 
               "outside expert" is a person from the private 
               sector paid a fee for special expertise. 
               Procedures for identifying and obtaining the 
               services of a consultant shall be established by 
               each Regional Administrator and approved by the 
               Director, Office of Field Programs. 

          e.   Legal Advice.  The advice of an attorney may 
               be necessary at a very early stage of the 
               investigation.  The Area Director shall contact 
               the Regional Solicitor through the Regional 
               Administrator if assistance is required. 

     3.   Rescue Operations.  OSHA has no authority to direct 
          rescue operations -- this is the responsibility of the 
          employer and/or of local political subdivisions or 
          State agencies.  OSHA does have the authority to 
          monitor and inspect the working conditions of covered 
          employees engaged in rescue operations to make certain 
          that all necessary procedures are being taken to 
          protect the lives of the rescuers. 

          a.   Consultation.  OSHA shall be available for 
               consultation on the safest or most effective way 
               to conduct rescue operations.  This information, 
               based on technical knowledge of competent OSHA 
               personnel at the scene, shall be given freely, if 
               requested. 

          b.   Rescue Operations.  If the CSHO is aware that 
               the employer intends to use some rescue procedure 
               that may be in violation of a standard or the 
               general duty clause and the CSHO believes other, 
               less hazardous procedures are more desirable, the 
               employer shall be advised of this belief.  The 
               employer shall be encouraged to use the personnel 
               and facilities of local fire and police 
               departments for their specialized knowledge and 
               training in rescue operations. 

          c.   Application of Standards.  If rescue work is 
               performed by the employer, OSHA standards are 
               applicable.   The employer is required to take 
               such steps as are necessary to eliminate, if at 
               all possible, or to minimize recognized hazards 
               likely to cause death or serious physical harm, 
               considering the urgency in a particular rescue 
               operation. 

                                  VIII-8 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          d.   Emergency Situations.  Emergencies created by 
               fatalities or catastrophes generally necessitate 
               immediate rescue work, firefighting, etc., and any 
               loss of time may increase injuries and/or 
               fatalities.  Therefore, when nonstandard 
               equipment; e.g., tractors, bulldozers, etc., 
               without rollover protection, is available for use 
               in an emergency situation, OSHA shall permit its 
               use without citing the employer rather than cause 
               a delay waiting for equipment which meets OSHA 
               standards.  The use of such equipment by private 
               employers shall be limited to the actual emergency 
               situation of fighting fire, rescue work, etc.  Use 
               in cleanup or reconstruction work shall warrant 
               the issuance of citations when appropriate. 

     4.   Public Information Policy.  The OSHA public 
          information policy regarding response to fatalities and 
          catastrophes is to explain Federal presence to the news 
          media.  It is not to provide a continuing flow of facts 
          nor to issue periodic updates on the progress of the 
          investigation. 

          a.   Area Director.  The Area Director or his 
               designee shall normally handle responses to media 
               inquiries.  Where particularly sensitive 
               investigations are involved, or where difficult 
               information requests are received, the Area 
               Director shall contact the Regional Administrator 
               for advice and guidance.  The Regional 
               Administrator may request the help of a National 
               Office information official and, when possible, 
               that official will go to the scene to assist in 
               handling publicity.  The investigation is not to 
               be delayed, however, to await the arrival of the 
               information official. 

          b.   Information Officer.  The principal role of 
               the information officer at the scene is to brief 
               reporters there that OSHA has responded and is 
               investigating.  If a rescue operation is required, 
               the information officer shall state, "OSHA policy 
               is to cooperate and assist wherever possible, but 
               the direction of such operations will be left to 
               those experienced in such matters." 

          c.   Other Officials.  The information officer 
               shall inform the news media that the Secretary of 
               Labor, the Assistant Secretary for Occupational 
               Safety and Health, the Director of Public Affairs 
               and other appropriate officials are continually 
               informed of developments. 

                                  VIII-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                         CHAPTER IX 

                    COMPLAINTS AND REFERRALS 

A.   Complaints. 

     1.   General.  The discussion of complaints in this 
          chapter is confined to when a complaint is received and 
          processed at the Area Office before an inspection 
          rather than when it is given to the CSHO at the time 
          the establishment is inspected. 

          a.   Agency Response.  The agency's response to a 
               complaint will take a variety of forms, ranging 
               from an inspection to a response by letter, 
               depending upon the formality of the complaint, the 
               nature of the hazard and the abatement response of 
               the employer. 

          b.   Complainant Identity.  The identity of formal 
               and nonformal complainants who wish to remain 
               anonymous will be kept confidential, pursuant to 
               Section 8(f)(1) of the Act. 

     2.   Definitions.  The following definitions apply in 
          this chapter: 

          a.   Complaint.  A complaint is a notice of a 
               hazard or a violation of the Act believed to exist 
               in a workplace given by an employee, a 
               representative of employees, or any other source 
               not listed in B.2.b. to the Secretary or his 
               authorized representative. 

               (1)  To constitute a complaint the notice must 
                    allege that a hazard exists in the workplace 
                    or that the Act (meaning a standard or the 
                    general duty clause) is violated. 

                    (a)  If the notice is so vague and 
                         unsubstantiated that the Area Director 
                         is unable to make a reasonable judgment 
                         as to the existence of the alleged 
                         workplace hazard, there is no valid 
                         complaint.  In such a case, however, 
                         every reasonable attempt shall be made 
                         to contact the person giving the notice 
                         to obtain more specific information. 

                    (b)  If, as a result of a recent inspection 
                         or on the basis of other objective 
                         evidence, the Area Director determines 
                         that the hazard which is the subject of 
                         the notice is not present; e.g., it has 
                         already been corrected, such a notice is 
                         not a valid complaint. 

               (2)  The workplace must be one wherein OSHA's 
                    jurisdiction has not been preempted under 
                    Section 4(b)(1) of the Act.  Thus, if the 
                    notice involves conditions inside a mine, any 
                    hazard or violation clearly falls within an 
                    area wherein OSHA's jurisdiction has been 
                    preempted.  In such a circumstance 

                                  IX-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    the notice is not a complaint.  Such 
                    notices shall be promptly transferred 
                    to the appropriate agency for its action. 

          b.   Employee.  For purposes of submitting a 
               complaint, an employee is either of the following: 

               (1)  A present employee of the employer about 
                    whose establishment the complaint is being 
                    made. 

               (2)  A present employee of another employer if 
                    that employee is working at or near some 
                    other employer's workplace and is exposed to 
                    hazards of that workplace. 

               NOTE:     Former employees are not considered 
                         employees for purposes of submitting a 
                         formal complaint.  They can only submit 
                         nonformal complaints. 

          c.   Representative of Employees.  For purposes of 
               submitting a complaint, a representative of 
               employees is any of the following: 

               (1)  An authorized representative of the employee 
                    bargaining unit, such as a certified or 
                    recognized labor organization; 

               (2)  An attorney acting for an employee; 

               (3)  Any other person acting in a bona fide 
                    representative capacity; e.g., a member of 
                    the employee's family or an elected official. 
                    In this situation, a complainant purporting 
                    to act as a representative of an employee 
                    shall be presumed to be so acting unless the 
                    CSHO obtains information that the complaint 
                    was not submitted with the knowledge of or on 
                    behalf of the employee. 

          d.   Formal Complaint.  To meet the formality 
               requirements outlined in Section 8(f) of the Act 
               and in 29 CFR 1903.11, a complaint shall: 

               (1)  Be reduced to writing either on a Notice of 
                    Alleged Safety or Health Hazards (OSHA-7 
                    Form) or in a letter; 

               (2)  Allege that an imminent danger or a violation 
                    threatening physical harm (i.e., a hazard 
                    covered by a standard or by the general duty 
                    clause) exists in the workplace; 

                                  IX-2 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (3)  Set forth with reasonable particularity the 
                    grounds upon which it is based.  This does 
                    not mean that the complaint must specify a 
                    particular standard; it need only specify a 
                    condition or practice that is hazardous and, 
                    if uncommon, why it is hazardous; and 

               (4)  Be signed by at least one employee or 
                    employee representative. 

               (5)  The following are examples of deficiencies 
                    which would result in the failure of an 
                    apparent formal complaint to meet the 
                    requirements of the definition: 

                    (a)  A thorough evaluation of the complaint 
                         does not establish reasonable grounds to 
                         believe that the alleged violation can 
                         be classified as an imminent danger or 
                         that the alleged hazard is covered by a 
                         standard or, in the case of an alleged 
                         serious condition, by the general duty 
                         clause (Section 5(a)(1)). 

                    (b)  The complaint concerns a workplace 
                         condition which has no direct 
                         relationship to safety or health and 
                         does not threaten physical harm; e.g., a 
                         violation of a recordkeeping or other 
                         regulation or a violation of a standard 
                         that is classified as de minimis. 

                    (c)  The complaint alleges a hazard which 
                         violates a standard but describes no 
                         actual workplace conditions and gives no 
                         particulars which would allow a proper 
                         evaluation of the hazard.  In such a 
                         case the Area Director shall make a 
                         reasonable attempt to obtain such 
                         information. 

          e.   Nonformal Complaint.  Any complaint, such as 
               the examples given under A.2.d.(5), which does not 
               meet any or all of the formality requirements in 
               A.2.d. is a nonformal complaint and is to be 
               handled in accordance with the procedures in A.8. 

               (1)  Examples.  Other examples of such 
                    complaints include the following: 

                    (a)  Oral complaints filed by employees. 

                    (b)  Unsigned written complaints filed by 
                         employees. 

                    (c)  Written and oral complaints filed by 
                         nonemployees (persons or groups other 
                         than current employees or their 
                         representatives). 

                    (d)  Complaints of hazards not covered by a 
                         standard or by the general duty clause. 

                                  IX-3 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (e)  Complaints of violations of regulations, 
                         such as recordkeeping (rather than 
                         standards). 

                    (f)  Complaints of violations of standards 
                         that are classified as de minimis. 

               (2)  Referrals from Other Agencies.  Reports 
                    from sources listed in B.2.b, however, are 
                    referrals and are to be handled in accordance 
                    with the procedures in B.3. 

     3.   Receiving Complaints.  An incoming notice of 
          hazards or alleged violations shall first be referred 
          to a designated professional who shall obtain all 
          available information from the person reporting it. 
          The notice shall thereafter be forwarded to the 
          supervisor to complete the evaluation. 

          a.   Employee Rights.  When an oral notice is 
               received from an employee or employee 
               representative, that person shall be informed of 
               the right to file a formal complaint in writing 
               under Section 8(f)(1) and of the right, as a 
               matter of law and OSHA policy, to have the 
               complainant's identity held confidential, if 
               requested, regardless of the formality of the 
               complaint. 

          b.   Workplace Inspections.  The person giving 
               notice shall be informed that formal complaints 
               generally lead to workplace inspections while 
               nonformal complaints usually result in letters 
               requesting employers to undertake corrective 
               action. 

          c.   Formalizing Oral Complaints.  If the person is 
               filing a notice orally and makes a request to 
               formalize the complaint, the supervisor or 
               designated professional, after confirming that the 
               complainant is an employee or employee 
               representative, shall complete the OSHA-7 Form to 
               the extent possible prior to mailing for the 
               complainant's signature. 

               (1)  If the signed complaint form is not returned 
                    within 10 working days, it shall be treated 
                    as a nonformal complaint; and a letter shall 
                    be sent to the employer.  If, nevertheless, a 
                    signed complaint is received after 10 working 
                    days but before a letter has been sent to the 
                    employer, the complaint is to be considered 
                    formal and evaluated as such. 

               (2)  If a complainant filing orally declines to 
                    formalize his complaint, the supervisor or 
                    designated professional shall nevertheless 
                    attempt to obtain the complainant's name, 
                    address and telephone number. 

          d.   Discrimination Complaint.  The complainant 
               shall be advised of the protection against 
               discrimination afforded by Section 11(c) of the 
               Act and shall be informed of the procedure for 
               filing an 11(c) complaint. 

                                  IX-4 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (4)  If a late complaint inspection is to be 
                    conducted, the Area Director may contact the 
                    complainant to ensure that the alleged 
                    hazards are still existent. 

     8.   Responding to Nonformal Complaints.  All nonformal 
          complaints shall receive a response.  The procedures 
          described below include responses to nonformal 
          complaints designed to ensure correction of hazards 
          identified in the complaint: 

          a.   Responding by Letter to Nonformal Complaints. 
               Upon receipt and evaluation of a nonformal 
               complaint, the Area Director, as soon as possible, 
               shall prepare a letter to the employer advising 
               him of the complaint, informing him of the 
               standards allegedly violated and outlining the 
               means to assess the hazard and/or the corrective 
               action required.  The employer shall be asked to 
               investigate the alleged conditions and respond to 
               OSHA within a specified time.  This letter shall 
               be sent by certified mail with return receipt 
               requested. 

               (1)  Posting.  The employer shall be requested 
                    to post copies of OSHA's letter of 
                    notification referred to in the previous 
                    subparagraph together with all subsequent 
                    correspondence dealing with the complaint 
                    items including the employer's response until 
                    such time as the case is closed by the Area 
                    Office.  The employer shall be informed that 
                    a copy of the letter and subsequent 
                    correspondence will be sent to the 
                    complainant. 

               (2)  Letter to Complainant.  Concurrent with 
                    the letter to the employer, a letter to the 
                    complainant shall be prepared explaining that 
                    the employer has been informed of the 
                    complaint.  It shall request the complainant 
                    to notify the Area Director if no corrective 
                    action has been taken or at least initiated 
                    within 30 calendar days (or less if so 
                    indicated in the letter to the employer) or 
                    if any adverse or discriminatory action or 
                    threats are made against the complainant.  A 
                    copy of the letter to the employer shall be 
                    included with the letter to the complainant. 
                    Copies of all subsequent correspondence shall 
                    also be sent to the complainant. 

               (3)  Employer Response.  If a response is 
                    received from the employer and it appears 
                    that appropriate corrective action has been 
                    taken or that no hazard is present, the case 
                    file shall be closed.  The complainant shall 
                    be informed of all responses received from 
                    the employer. 

          b.   Responding by Inspection to Nonformal 
               Complaints.  Where the employer fails to respond 
               or submits an inadequate response within the 
               period specified in the letter or where the 
               complainant informs OSHA that no corrective action 
               has been taken or the action taken is inadequate, 
               the Area Director shall contact the employer to 
               determine what further action he/she plans to 
               take.  If no action has been taken and none is 
               planned, the nonformal complaint shall be 
               activated for inspection pursuant to the 
               priorities in A.7.b.(2). 

                                  IX-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (1)  Status of Corrective Action.  Where 
                    an ambiguity exists or where the 
                    employer has a correction plan which he 
                    has not yet had time to implement fully, 
                    the Area Director shall communicate 
                    further, as appropriate, with the 
                    employer and/or the complainant to 
                    determine what interim protective steps 
                    have been taken until the corrective 
                    action shall have been completed and, 
                    later, whether the hazard has been 
                    adequately corrected.  On the basis of 
                    information available, the Area Director 
                    shall decide whether an inspection is 
                    warranted. 

     9.   Scope of Inspection.  Complaint inspections shall 
          include a complete investigation of the circumstances 
          of the complaint.  These investigations may be expanded 
          at the discretion of the Area Director when any of the 
          conditions described in Chapter II, F.1.b. exists, but 
          see Chapter III, D.1.d.(5)(b).  Any departure from 
          these guidelines shall be supported by adequate 
          documentation. 

     10.  Procedures.  In general, the procedures in Chapter 
          III shall be followed in conducting complaint 
          inspections.  Particular attention, however, is 
          directed to the following special requirements for 
          complaint investigations: 

          a.   Copy of the Complaint.  A copy of the 
               complaint shall be given to the employer at the 
               opening conference. 

               (1)  In the case of a multi-employer worksite, 
                    such as a construction site, a copy of every 
                    complaint, including those against 
                    subcontractors, shall be provided to the 
                    general contractor as well as to the employer 
                    against whom the complaint has been filed. 

                                  IX-10 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  A copy of every complaint against the general 
                    contractor or against one or more of the 
                    subcontractors shall be provided, if 
                    possible, to each subcontractor whose 
                    employees may be exposed to the alleged 
                    hazard. 

          b.   Identity of Complainant.  Section 8(f)(1) of 
               the Act requires that, if the complainant so 
               requests, names shall be deleted from the 
               employer's copy of the complaint.  If handwritten, 
               the  complaint shall be typed, and reworded if 
               necessary, so that the identity of the complainant 
               cannot be discerned by the employer.  The Regional 
               Administrator or the Area Director may decide, as 
               a matter of general policy, that names shall be 
               deleted from all complaints unless the complainant 
               explicitly requests that his or her name be 
               revealed. 

          c.   Walkaround Rights.  In a complaint inspection 
               the walkaround rights of an employer and an 
               employee representative shall be applicable in 
               accordance with Chapter III.  The employee 
               representative will be chosen according to the 
               procedures in Chapter III and, thus, the 
               complainant will not necessarily be the employee 
               representative for walkaround purposes. 

          d.   Results of Inspection to Complainant.  After 
               the completion of an inspection based on a formal 
               or a nonformal complaint (except for a tenth 
               letter inspection), the complainant shall be 
               informed of the results as follows:. 

               (1)  Each complaint item shall be addressed with a 
                    reference to a citation item on an attached 
                    copy of the OSHA-2 issued as a result of the 
                    complaint inspection and/or with a 
                    sufficiently detailed description of the 
                    findings and why they did or did not result 
                    in a citation. 

               (2)  Except for cases involving changes of penalty 
                    only, the complainant shall be informed of 
                    any subsequent modification of the citation 
                    due to an informal conference, a settlement 
                    agreement, or a decision of the Review 
                    Commission or a court, together with the 
                    reasons for the modification. 

          e.   Notification of Delays.  If unusual delays are 
               met in issuing a citation resulting from a 
               complaint inspection, the complainant and, if 
               appropriate, the employee representative shall be 
               informed of such delays.  A delay of more than 30 
               working days following the inspection would 
               warrant such notification. 

          f.   Citation Not Warranted.  If the Area Director 
               determines that a citation is not warranted, the 
               complainant shall be informed in writing of such 
               determination as outlined in A.10.d.(1). 

               (1)  The complainant shall be told of his or her 
                    right to seek further clarification for the 
                    determination from the Area Director if any 
                    questions remain. 

                                  IX-11 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  At the same time, the complainant shall also 
                    be informed that, if dissatisfaction with the 
                    determination still remains after further 
                    conversation with the Area Director, the 
                    person may request that the Regional 
                    Administrator investigate and determine if 
                    the Area Director's decision was made in 
                    accordance with current policy. 

                    (a)  It is OSHA's policy to grant the right 
                         of informal review by the Regional 
                         Administrator of such determination. 

                    (b)  The rules of procedure for obtaining 
                         such a review are specified in 29 CFR 
                         1903.12.  The complainant should be 
                         furnished with a copy of that procedure 
                         and assisted to such extent as may be 
                         reasonable. 

               (3)  OSHA has administratively extended the same 
                    right of informal review to cover the 
                    complainant's disagreement with any 
                    substantive element of the outcome of the 
                    inspection. 

          g.   Communication to Complainant.  Written 
               communications to a complainant shall be sent to 
               the employee's home address unless specific 
               instructions have been given that such mail be 
               sent to the place of employment. 

B.   Referrals. 

     1.   General.  As a rule, referrals will be handled in a 
          manner similar to that of complaints. 

     2.   Definitions.  For purposes of this chapter, a 
          referral is normally distinguished from a complaint by 
          the source providing information on the alleged hazard. 

          a.   Notices of hazards or alleged violations 
               originated by the sources listed in b. of this 
               section shall be considered as referrals except as 
               noted in b.(3). All other notices of hazards shall 
               be considered as complaints, including employee 
               complaints transmitted to the agency by 18(b) 
               States.  Formal and nonformal complaints received 
               by other government agencies and simply forwarded 
               to OSHA for action are complaints since they 
               do not originate with the agency or its employees. 
               (See B.2.b.(4).) 

          b.   Referrals may originate from the following 
               sources: 

               (1)  CSHO Referrals.  Serious hazards shall 
                    normally be investigated by the CSHO who 
                    observes them (after consultation with the 
                    supervisor if required).  On occasion, 
                    however, special expertise may be needed to 
                    assess the hazard.  This may be obtained 
                    through the referral process. 

                    (a)  Types of Referrals.  There are two 
                         types of CSHO referrals. 

                                  IX-12 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                            CHAPTER X 

                       DISCRIMINATION COMPLAINTS 

     This chapter has been removed.  Refer to OSHA Instruction DIS .4B, 
     Investigator's Manual 

                                  X-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                          CHAPTER XIII 

                     FEDERAL AGENCY PROGRAMS 

A.   Scope. 

     1.   Statutory Requirements.  Only two Sections of the 
          Occupational Safety and Health Act (the Act) apply to 
          Federal agencies, Sections 19 and 24.  Section 19(a) 
          requires each Federal agency to maintain a 
          comprehensive safety and health program for its 
          employees.  The Executive Order 12196 require Federal 
          agencies to comply with OSHA standards issued under 
          Section 6 of the Act.  These standards are 29 CFR Parts 
          1910, 1915, 1916, 1917, 1918, 1926, and 1928.  The 
          Executive Order requires the Secretary of Labor to 
          issue a set of basic program elements for agency heads 
          to follow in establishing an effective occupational 
          safety and health program.  These program elements are 
          found in 29 CFR Part 1960.  Section 24(a) and the 
          Executive Order require the development and maintenance 
          of an effective program of collection, compilation, and 
          analysis of occupational safety and health statistics. 
          OSHA's recordkeeping requirements for Federal agencies 
          are found in 29 CFR Part 1960, Subpart I. 

          NOTE:     The 29 CFR Parts 1903, 1904, 1905, and 2200 
                    regulations do not apply to Federal 
                    agencies. 

     2.   Jurisdiction.  OSHA's Federal agency jurisdiction 
          varies according to the activity being performed. 

          a.   Federal Agency Compliance.  OSHA is authorized 
               to conduct unannounced inspections in Federal 
               agency establishments unless: 

               (1)  The agency has Certified Safety and Health 
                    Committees. 

               NOTE:     OSHA can conduct announced 
                         inspections in agencies with Certified 
                         Safety and Health Committees. 

               (2)  The work is performed by military personnel 
                    or involves "uniquely military equipment, 
                    systems and operations." 

               NOTE:     Workplaces and operations similar to 
                         those of industry are not excluded from 
                         OSHA coverage. 

               (3)  The agency is in the legislative or the 
                    judicial branch of Government. 

                                  XIII-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (4)  Another Federal agency has jurisdiction. 

          b.   Private Sector Compliance on Federal Property. 
               Section 19 of the Act, the Executive Order, and 29 
               CFR Part 1960 program elements do not apply to 
               employees or working conditions of employees of 
               private contractors performing work under 
               Government contracts.  Protection of employees of 
               private contractors performing operations on 
               Federal property is assured by other provisions of 
               the Act.  Enforcement shall be conducted following 
               procedures developed under those sections. 

               (1)  The multiemployer worksite policy may apply 
                    between the private sector contractors and 
                    the Federal agency.  The Area Office shall 
                    confer with the regional Federal Agency 
                    Program Officer (FAPO) who will advise the 
                    Director, Office of Federal Agency Programs 
                    (OFAP) of the circumstances in cases of high 
                    complexity.  If appropriate, Notices of 
                    Unsafe and Unhealthful Working Conditions, 
                    OSHA-2H Form, (OSHA Notice) will be issued to 
                    Federal agencies for failing to oversee their 
                    contractors' safety and health programs. 

               (2)  Where an authorized State program is in 
                    existence, the State program shall have 
                    jurisdiction over private sector contractors 
                    unless the work being performed is at a 
                    location of "exclusive Federal jurisdiction" 
                    within the Federal property.  The Regional 
                    Administrator shall refer to State Plan 
                    Operational agreements to determine 
                    "exclusive Federal jurisdiction".  If the 
                    agreement is not clear the legal staff having 
                    management authority over the Federal 
                    property shall be consulted. 

          c.   Government-Owned Contractor-Operated Facilities 
               (GOCO's).  OSHA compliance policies concerning 
               GOCO operations are described in separate 
               Memoranda of Understanding, applicable to specific 
               agencies.  Further information may be obtained 
               from the Directorate for Policy, Office of 
               Intra-governmental Affairs at 202-219-8021. 

          d.   Evaluation.  OSHA evaluates Executive Branch 
               agencies, whether they have Certified Safety and 
               Health Committees or not.  Evaluations include 
               such scheduled headquarters, regional, and 
               workplace reviews as the Secretary deems 
               necessary. 

          e.   Assistance.  OSHA may provide training, hazard 
               abatement advice, and program assistance for all 
               Federal agencies, including those in the 
               legislative and judicial branches of Government. 

     3.   General Guidance.  Policies and procedures for 
          Federal agencies are to be as similar as appropriate 
          to those followed in the private sector.  Relevant 
          FOM chapters and compliance directives are to be 
          followed for Federal agency activities.  This chapter 

                                  XIII-2 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          points out areas where Federal sector procedures differ 
          from those of the private sector.  Area Office 
          questions concerning policies, procedures, or standards 
          interpretations involving Federal agencies should be 
          directed to the FAPO for coordination with other 
          Regional staff or the OFAP, as appropriate. 

          a.   Form letters have been developed for Federal 
               agency correspondence regarding complaints, 
               inspections, and PMAs.  (See OSHA Instruction 
               ADM 1-1.27, Chapters IX, X, and XI.) 

          b.   The Federal agency equivalent of a "citation" is 
               the Notice of Unsafe and Unhealthful Working 
               Conditions, OSHA-2H Form, (OSHA Notice). 
               Instructions for completing the Notice is found in 
               OSHA Instruction ADM 1-1.12B, Chapter X. 

          c.   Inspections or evaluations at Federal prisons are 
               to be conducted following guidelines found in OSHA 
               Instruction FAP 1.2, Federal Agency Safety and 
               Health Programs with the Bureau of Prisons, U.S. 
               Department of Justice, dated September 23, 1985. 

     4.   Definitions.  The following definitions apply to 
          Federal agencies: 

          a.   General Duty Clause.  Executive Order 12196, 
               Section 201(a), and 29 CFR 1960.8(a) mandate the 
               head of each agency to furnish to each employee a 
               workplace free from recognized hazards.  OSHA 
               Notices shall refer to 29 CFR 1960.8(a) to enforce 
               serious violations that are not addressed by a 
               specific OSHA standard or program element. 

               NOTE:     Section 5(a)(1) of the Act is the 
                         "general duty clause" for the private 
                         sector and does not apply to Federal 
                         agencies. 

          b.   Citable Program Elements.  Specific program 
               elements in 29 CFR Part 1960 that may be cited 
               when found not in compliance during inspections or 
               evaluations. 

          c.   Establishment.  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 shall 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: 

               (1)  Major organizational units with distinct 
                    lines of authority shall be counted as 
                    separate establishments. 

               (2)  Agencies or bureaus in an agency would be 
                    separate establishments even if they occupied 
                    the same building. 

                                  XIII-3 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (3)  Each component of the Department of Defense 
                    (Army, Navy, etc.) and each major command 
                    located at an installation would be a 
                    separate establishment. 

               (4)  Lower organizational units such as offices or 
                    divisions within a bureau or shops within a 
                    command are not considered separate 
                    establishments. 

          d.   Multiemployer Policy.  An OSHA procedure for 
               determining which establishment has responsibility 
               for employee safety and health when more than one 
               establishment has employees exposed to the same 
               hazard. 

          e.   Establishment Official.  The highest ranking 
               person at a Federal establishment with authority 
               over the establishment's working conditions. 

     5.   References. 

          a.   "Occupational Safety and Health Act of 1970," 
               Sections 19 and 24. 

          b.   Executive Order 12196, February 26, 1980, 
               "Occupational Safety and Health Programs for 
               Federal Employees." 

          c.   29 CFR Part 1960, "Basic Program Elements for 
               Federal Employee Occupational Safety and Health 
               Programs and Related Matters," October 21, 1980. 

          d.   OSHA Publication 2014, revised 1986, 
               "Recordkeeping and Reporting Guidelines for 
               Federal Agencies." 

          e.   OSHA Instruction ADM 1-1.27, April 2, 1990, "The 
               IMIS Standard Form Letters Manual." 

          f.   OSHA Instruction ADM 1-1.12B, December 29, 1989, 
               "Integrated Management Information System Forms 
               Manual." 

          g.   OSHA Instruction FAP 1.2, September 23, 1985, 
               "Federal Agency Safety and Health Programs with 
               Bureau of Prisons, U.S. Department of Justice." 

B.   Compliance. 

     1.   Targeted Inspections.  Targeted inspections are 
          inspections programmed under the criteria given in this 
          section. 

                                  XIII-4 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          a.   Targeting List.  OFAP shall develop a 
               targeting list for the next fiscal year as 
               follows: 

               (1)  During the second quarter of each fiscal 
                    year, OFAP shall list Federal agency 
                    establishments with a significant number of 
                    claims, using annual Office of Workers' 
                    Compensation Programs (OWCP) compensation 
                    data on lost-time cases created during the 
                    previous fiscal year. 

               (2)  OFAP shall obtain employment data for these 
                    establishments from the agencies and 
                    calculate a lost-time claims rate (LTCR) for 
                    each establishment.  The formula for 
                    calculating the LTCR is: 

                        Number of lost-time claims X 100 
                        -------------------------------- 
                               Number of Employees 

               (3)  OFAP shall also calculate an average LTCR for 
                    the Government as a whole, using the same 
                    LTCR formula as above, based on OWCP lost- 
                    time claims data for all agencies. 

               (4)  OFAP shall then develop a list showing all 
                    Executive Branch establishments with an LTCR 
                    higher than the Government average (interim 
                    list). 

               (5)  OFAP shall subdivide the interim list by 
                    agency and send a copy of each agency's 
                    targeted establishments to its Designated 
                    Agency Safety and Health Official (DASHO) 
                    with copies to Regional Administrators having 
                    listed establishments within their 
                    jurisdiction, for a 30 calendar day review. 

               (6)  OFAP may add additional sites to the list, in 
                    coordination with the DASHO, when OWCP data 
                    identify an agency or agency component as 
                    having high LTCR's, but are insufficiently 
                    precise to identify its high-hazard 
                    workplaces. 

               (7)  Establishments may be added or deleted by 
                    OFAP if the DASHO supplies information 
                    warranting changes within 30 calendar days of 
                    receipt of the interim list. 

               (8)  Establishments may be deleted by the Regional 
                    Administrator only with the concurrence of 
                    the Director, OFAP.  Establishments may be 
                    deleted using the same criteria as used for 
                    safety inspections in the manufacturing 
                    sector described in Chapter II, 
                    F.2.b.(1)(b)5b. 

               (9)  OFAP shall finalize the interim list and send 
                    the final targeting list to Regional 
                    Administrators and agencies before the 
                    beginning of the fiscal year. 

                                  XIII-5 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          b.   Special Emphasis Targeting.  Regional 
               Administrators who develop special emphasis 
               programs shall obtain the concurrence of the 
               Director, OFAP, before scheduling inspections. 

          c.   Scheduling of Targeted Inspections.  Area 
               Directors shall schedule all Federal agency 
               inspections within the fiscal year. 

               (1)  Establishments which have been scheduled for 
                    a targeted inspection within the last 2 
                    fiscal years will have been deleted by OFAP. 

               (2)  Targeted inspections may be conducted in any 
                    order. 

          d.   Conduct of Targeted Inspections. 

               (1)  All targeted inspections shall be initiated 
                    within the fiscal year.  If for some reason 
                    an inspection cannot be initiated within the 
                    fiscal year, the Regional Administrator shall 
                    notify OFAP of the worksites which were not 
                    inspected during the fiscal year.  OFAP shall 
                    determine whether to "carry over" the site to 
                    the next fiscal year or delete it. 

               (2)  The Area Director may conduct a comprehensive 
                    inspection or may limit the inspection to 
                    those areas with the greatest potential for 
                    injuries and illnesses. 

               (3)  OSHA targeted inspections shall identify 
                    violations of OSHA standards and citable 
                    program elements of 29 CFR Part 1960.  The 
                    citable program elements are listed in 
                    Appendix A of this chapter. 

     2.   Fatality/Catastrophe Investigations.  OSHA has 
          authority to investigate fatal or catastrophic 
          accidents to Federal employees in agencies subject to 
          OSHA inspections. 

          NOTE:     A catastrophe is an incident that results in 
                    five or more people being admitted to a 
                    hospital, at least one of whom is a Federal 
                    civilian employee. 

          a.   Excluded Agencies.  If an accident report is 
               received concerning a Federal agency not under 
               OSHA's jurisdiction, the person reporting the 
               accident shall be referred to that agency's safety 
               and health staff. 

          b.   Receipt of Fatality/Catastrophe Reports. 
               Executive Branch agencies are required to report 
               all civilian fatalities and catastrophes to OSHA 
               within 48 hours. 

               (1)  Reports Initially Received in the National 
                    Office.  OFAP shall record the necessary 
                    information and immediately telephone the 
                    information to the appropriate Regional 
                    Administrator for transmittal to the Area 
                    Director. 

                                  XIII-6 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  Reports Initially Received in the Regional 
                    Office.  The Regional Administrator shall 
                    record the necessary information and 
                    immediately telephone the information to the 
                    appropriate Area Director and to OFAP. 

               (3)  Reports Initially Received in the Area 
                    Office.  The Area Director shall record the 
                    necessary information and notify the Regional 
                    Administrator by telephone, who shall notify 
                    OFAP. 

          c.   Agency Investigation.  Agencies are required 
               to conduct an investigation of each fatal or 
               catastrophic incident and, upon request, to 
               provide OSHA with a report of findings upon 
               completion of the investigation.  The Area 
               Director within whose jurisdiction the incident 
               took place may contact the establishment official 
               and request that a copy of the report or a summary 
               be sent to the Area Office upon its completion. 

          d.   OSHA Investigation Decision.  The Area 
               Director, with the concurrence of the Regional 
               Administrator, shall determine whether OSHA will 
               conduct an investigation of the incident, OSHA may 
               conduct an independent investigation or 
               participate in the agency's investigation. 

               (1)  If the Area Director decides to conduct an 
                    investigation, the establishment official 
                    shall be notified in advance of the planned 
                    date for the inspection. 

               (2)  When OSHA joins an agency investigation, the 
                    CSHO shall participate fully with the 
                    investigation and not be subject to "observer 
                    status" by the agency. 

               (3)  Identified violations of authorized program 
                    elements and OSHA standards shall be cited 
                    using the OSHA Notice. 

     3.   Reports of Unsafe or Unhealthful Working Conditions 
          (Complaints).  OSHA has authority over complaints by 
          Federal employees except as indicated in A.2.a. of this 
          chapter. 

          a.   Receipt and Recording of Complaints.  Upon 
               receipt of a complaint, the receiving office shall 
               determine if OSHA has the authority to conduct an 
               inspection.  If so, the procedures outlined in 
               Chapter IX, A.3., apply except as follows: 

               (1)  Complaints Initially Received in the 
                    National Office.  OFAP shall ensure that 
                    sufficient information for handling the 
                    complaint is recorded and forwarded to the 
                    appropriate Regional Administrator for 
                    transmittal to the Area Director.  When 
                    telephone complaints are received, it may be 
                    more appropriate to identify the responsible 
                    Area Office and have the complainant contact 
                    it directly. 

                                  XIII-7 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  Complaints Initially Received in the 
                    Regional Office.  The Regional 
                    Administrator shall ensure that sufficient 
                    information for handling the complaint is 
                    recorded and forwarded to the appropriate 
                    Area Director.  When telephone complaints are 
                    received it may be more appropriate to 
                    identify the responsible Area Office and have 
                    the complainant contact it directly. 

               (3)  Oral Complaints.  The designated 
                    professional receiving an oral complaint 
                    shall ask if the complaint has been directed 
                    to safety and health personnel in the 
                    complainant's agency.  If not, the 
                    complainant shall be encouraged to do so.  If 
                    the complainant does not desire to submit a 
                    complaint to his/her own agency, the 
                    complaint shall be accepted and processed in 
                    accordance with the procedures found in 
                    B.3.b. below.  To formalize an oral complaint 
                    an OSHA-7 Form shall be sent along with 
                    complaint form letter "c" ("OSHA-7 For 
                    Signature"). 

          b.   Responding to Complaints.  Federal agency 
               complaints where OSHA has enforcement authority 
               shall be responded to in accordance with Chapter 
               IX, A.6. through A.10., except as follows: 

               (1)  Formal other-than-serious complaints must be 
                    handled by inspection within 120 days or 
                    handled by letter to the establishment 
                    official with permission of the complainant. 

               (2)  Non-formal serious complaints shall be 
                    handled by letter to the establishment 
                    official or by inspection. 

               (3)  If the complaint is handled by inspection, 
                    the Area Director shall notify the 
                    complainant of inspection results using 
                    complaint form letter, "h" ("Notification to 
                    Complainant with Inspection Results") and 
                    shall send the complainant a copy of the OSHA 
                    Notice, if issued. 

               (4)  If the complaint is handled by letter, the 
                    establishment official shall be informed by 
                    certified mail, using complaint form letter 
                    "h" ("Complaint Notification for Employer 
                    Inspection - Without Certified Committee"), 
                    that the establishment must conduct an 
                    investigation within 3 working days for 
                    potentially serious conditions and within 20 
                    working days for other-than-serious hazards 
                    (1960.28(d)(3)). 

                    (a)  A report of findings shall be provided 
                         to OSHA within 30 calendar days after 
                         completion of the agency's 
                         investigation. 

                    (b)  Any necessary corrective action must be 
                         completed or an acceptable abatement 
                         plan must be submitted to the Area 
                         Director within 30 calendar days after 
                         the close of the investigation. 

                                  XIII-8 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (c)  The complainant shall be notified using 
                         complaint form letter "e" ("Complainant 
                         Notification with Letter D") that the 
                         complaint has been forwarded to the 
                         establishment official for investigation 
                         and that OSHA will inform him/her of the 
                         investigation findings. 

                    (d)  The agency shall be informed that OSHA 
                         will provide a copy of the report of 
                         findings to the complainant. 

                    (e)  If the agency response is satisfactory, 
                         OSHA will notify the complainant using 
                         complaint form letter "g" ("Notification 
                         to Complainant with Satisfactory 
                         Employer Response"). 

                    (f)  If the agency response is unsatisfactory 
                         or the complainant informs OSHA that the 
                         hazard has not been abated, the Area 
                         Director shall notify the establishment 
                         official using complaint form letter "j" 
                         ("Correcting but Additional Information 
                         Needed").  The Area Director shall also 
                         inform the complainant using complaint 
                         form letter "l" ("Notification to 
                         Complainant with Unsatisfactory Employer 
                         Response").  The Area Director may 
                         schedule an inspection. 

          c.   Responding to Complaints when the Agency has 
               Certified Occupational Safety and Health 
               Committees (Certified Committee).  OSHA is 
               authorized to conduct announced inspections in 
               response to employee complaints.  Response 
               timeframes shall be the same as private sector 
               complaints. (See Chapter IX, A.6. through A.10.) 
               The following agencies have Certified Committees: 

                    Panama Canal Commission 
                    Central Intelligence Agency 
                    Securities and Exchange Commission 
                    Interstate Commerce Commission 
                    General Services Administration 
                    Department of Labor 
                    Tennessee Valley Authority 
                    U.S. International Trade Commission 

               (1)  Complaints from employees in agencies with 
                    Certified Committees are to be handled by the 
                    receiving office as follows: 

                    (a)  In the case of imminent danger, OSHA 
                         shall notify the establishment official 
                         by telephone of his or her 
                         responsibility to investigate the 
                         alleged imminent danger and shall notify 
                         the official that OSHA will conduct an 
                         investigation to evaluate the validity 
                         of the allegation. 

                                  XIII-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (b)  Send formal or nonformal complaints by 
                         mail to the establishment official, with 
                         a copy to the FAPO with complaint form 
                         letter "d2" ("Notification to Employer - 
                         With Certified Committee"). 

                    (c)  Announced inspections are to be handled 
                         by the receiving Area Offices as 
                         follows: 

                         1    Notify the establishment 
                              official at least one day in 
                              advance of the scheduled 
                              inspection using complaint 
                              form letter "d3" 
                              ("Notification to Employer 
                              with Certified Committee -- 
                              Announced Inspection").  The 
                              letter may be hand-carried or 
                              sent by electronic means in 
                              case of imminent danger. 

                         2    Complaints alleging an 
                              imminent danger situation 
                              shall be inspected the same 
                              day received, where possible, 
                              but not later than the 
                              agency's next working day 
                              after receipt of the report by 
                              the Area Office. 

                         3    Formal, serious complaints 
                              shall be inspected within 30 
                              working days after evaluation 
                              and confirmation that an 
                              inspection is necessary. 

                         4    The complainant shall be 
                              informed of the findings using 
                              complaint form letter "h" 
                              ("Notification to Complainant 
                              with Inspection Results") and 
                              sent a copy of the OSHA 
                              Notice, if issued. 

                         5    Send the results of the 
                              announced inspection with 
                              inspection form letter "a" 
                              ("Notification to Employer -- 
                              Inspection Results") to the 
                              establishment official who 
                              will be requested to share the 
                              results with the Certified 
                              Committee.  A copy of the 
                              inspection results shall also 
                              be forwarded to the Agency 
                              DASHO. 

                    (d)  If OSHA does not conduct an inspection, 
                         the Area Director shall request the 
                         establishment official to provide copies 
                         of the complaint, responses, and the 
                         investigation findings to the 
                         appropriate Certified Committee. 

               (2)  When half the members of record of an 
                    agency's Certified Committee agree, a request 
                    can be made for OSHA to evaluate an agency's 
                    response to a report of unsafe or unhealthful 
                    working conditions.  When such a request is 
                    received, OSHA will conduct an inspection 
                    classified as a complaint inspection. 

                                  XIII-10 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          d.   Responding to Complaints When OSHA Does Not Have 
               Authority.  If OSHA does not have compliance 
               authority over the complainant's agency, he/she 
               shall be advised to contact his/her employer's 
               safety and health staff.  Every effort shall be 
               made to assist in identifying the proper person to 
               be contacted.  The receiving OSHA office shall: 

               (1)  Transmit written complaints evaluated as a 
                    potential imminent danger to the agency by 
                    telephone or other electronic means, followed 
                    as soon as possible by a confirming letter 
                    with the complaint attached. 

               (2)  Transmit other written complaints by mail to 
                    the agency's safety and health staff as soon 
                    as possible. 

               (3)  Acknowledge all written complaints with 
                    complaint form letter "f2" ("Acknowledgment 
                    to Complainant -- Referral to Another Agency"), 
                    informing complainants that their agency does 
                    not fall under OSHA's compliance authority 
                    and that their complaint has been forwarded 
                    to their agency for action.  When a complaint 
                    is received in person or by telephone, the 
                    complainant shall be given the same 
                    information and shall be informed that the 
                    complaint must be directed to their agency 
                    for action. 

     4.   Reports of Safety and Health Program Violations. 
          When complaints from Federal employees or employee 
          representatives include allegations of violations of 
          citable program elements of 29 CFR Part 1960, the Area 
          Director may (at his or her discretion) schedule an 
          inspection or respond by letter. 

          NOTE:     Citable program elements of 29 CFR Part 1960 
                    are listed in Appendix A of this chapter. 

          a.   If an inspection is conducted, an OSHA Notice may 
               be issued for violations of citable program 
               elements of 29 CFR Part 1960. 

               (1)  Standard Alleged Violation Elements (SAVES) 
                    shall be used to describe violations of 
                    citable program elements of 29 CFR Part 1960 
                    on the OSHA Notice. 

               (2)  Violations of citable program elements of 29 
                    CFR Part 1960 shall 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 29 CFR 1960.55 would be cited as 
                    "serious"). 

          b.   If an inspection is not scheduled, alleged 
               violations of 29 CFR Part 1960 program elements 
               shall be handled by letters to the establishment 
               official and the complainant with the following 
               additional requirements and exceptions: 

                                  XIII-11 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (1)  Complaint form letters "d1" or "d2" 
                    ("Complainant Notification for Employer 
                    Inspection With/Without Certified Committee") 
                    to establishment officials shall list the 
                    alleged violations with reference to 
                    pertinent sections of 29 CFR Part 1960 
                    program elements.  The establishment official 
                    shall be requested to review the operation of 
                    his or her program in light of the alleged 
                    violations to take any appropriate corrective 
                    action, and to advise the Area Director of 
                    his or her findings. 

               (2)  Send complaint form letter "e" (Complainant 
                    Notification with Letter D") to complainants 
                    which will advise them that their concerns 
                    about the program at their facility have been 
                    brought to the attention of their 
                    establishment official and that the agency 
                    response will be provided to them. 

          c.   If the alleged violations of program elements 
               affect many facilities of the same agency and/or 
               cover more than one OSHA region, the report shall 
               be forwarded to OFAP for review.  OFAP shall 
               determine if a special study evaluation of the 
               agency program should be conducted. 

     5.   Reports of Reprisal.  The Executive Order 12196 and 
          29 CFR Part 1960, which establish safety and health 
          programs for Federal employees, do not give OSHA 
          authority to take remedial action on behalf of Federal 
          employees who believe that they have suffered reprisal. 
          29 CFR 1960.46 requires each agency to establish 
          procedures to protect Federal employees from reprisal 
          for filing a report of unsafe or unhealthful working 
          conditions.  In addition, the Federal employee may have 
          protection for such activity under the Whistleblower 
          Protection Act of 1989, enforced by the Office of 
          Special Council. 

          NOTE:      Section 11(c) of the Act does not apply 
                     to Federal employees. 

          a.   Reports of alleged reprisal falling within the 
               scope of 29 CFR 1960.46 received in the 
               Regional/Area Offices shall be handled as follows: 

               (1)  When possible, the receiving office should 
                    obtain details showing the nature of the 
                    reprisal, the agency's reasoning for the 
                    action, and the alleged link to actions under 
                    29 CFR 1960.46. 

               (2)  The allegation shall be forwarded to the 
                    Regional Office, FAPO, for review to ensure 
                    that the alleged reprisal meets the 
                    requirements for a valid discrimination 
                    complaint based on safety and health 
                    activities. 

               (3)  If the report of alleged reprisal contains a 
                    valid safety or health complaint as well, 
                    such complaints shall be investigated by the 
                    affected Area Office. 

                                  XIII-12 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (4)  If the alleged reprisal occurred because of a 
                    safety and health complaint that has already 
                    been investigated, the FAPO shall obtain the 
                    inspection results as part of the supporting 
                    documentation for the alleged reprisal. 

               (5)  The FAPO shall refer the allegation of 
                    reprisal, along with appropriate supporting 
                    documentation, to the Office of Special 
                    Council ("Reprisal Letter for Special 
                    Council"), unless the employee's agency is 
                    exempted from the Whistleblower Protection 
                    Act.  Complaint form letter "m1" ("Reprisal 
                    letter for Covered Federal Employee") shall 
                    be sent to the complainant explaining OSHA's 
                    authority and referral of the allegation to 
                    the Special Council. 

               (6)  If the Federal employee's agency is exempted 
                    from the Whistleblower Act, the alleged 
                    reprisal shall be forwarded to the DASHO. 
                    Complaint form letter "m2" ("Reprisal Letter 
                    for Non-covered Federal Employee") shall be 
                    sent to the complainant explaining OSHA's 
                    authority and referral of the allegation to 
                    the agency's DASHO. 

               (7)  The FAPO shall send a copy of the letters to 
                    the Director, OFAP. 

          b.   When allegations do not fall within the scope of 
               29 CFR 1960.46, such as a reprisal for filing a 
               compensation claim, for having an injury, or for 
               refusing to work when the threat of bodily harm 
               was not imminent, the complainant shall be so 
               informed by the receiving office using complaint 
               form letter "k" ("Notification to Complainant - 
               Invalid Allegation of Reprisal"). 

     6.   Refusal of Entry.  If a Federal agency scheduled 
          for an inspection refuses entry, the Area Director 
          shall attempt to resolve the issue with the 
          establishment official. 

          a.   If a resolution cannot be worked out, the Area 
               Director shall contact the Regional Administrator. 
               The Regional Administrator shall contact the 
               equivalent agency organizational level with 
               responsibility and authority for the 
               establishment's working conditions to discuss the 
               refusal.  If agreement cannot be reached, the 
               Regional Administrator shall contact the Director, 
               OFAP, for resolution with the DASHO. 

          b.   A written record of all actions taken to resolve 
               the issue shall be kept in the case file. 

     7.   Warrants/Subpoenas.  Administrative subpoenas or 
          warrants will not be used for Federal agencies.  Issues 
          unresolved at the Area Office shall be transferred to 
          the Regional, and, if necessary, National Office, OFAP. 

                                  XIII-13 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     8.   Recordkeeping and Reporting Requirements.  Federal 
          agency recordkeeping requirements are outlined in Part 
          1960 program elements, Subpart I, and in "Recordkeeping 
          and Reporting Guidelines for Federal Agencies" (OSHA 
          Publication 2014). 

          NOTE:     The lost workday injury (LWDI) rate (Item 33) 
                    and the occupational injury/illness cases 
                    (Item 34) are not to be completed for Federal 
                    agency activity on the OSHA-1. 

          a.   Occupational Injury/Illness Logs (OSHA Logs). 
               OSHA Logs may be maintained at Regional or 
               Area levels if quarterly updated copies are 
               available to the establishment.  (See OSHA 
               Publication 2014.) 

               (1)  Agencies may use their own forms to log 
                    injuries and illnesses, but the forms 
                    must include all data elements listed in 
                    OSHA Publication 2014, Appendix A. 

               (2)  As new OSHA standards are published under 
                    Section 6(b) of the Act that require certain 
                    injuries/illnesses to be recorded on the OSHA 
                    Log, Federal agencies will also be required 
                    to enter this information on their 
                    injury/illness log.  For example, needle 
                    sticks, carpel tunnel syndrome, and threshold 
                    shifts in hearing loss are now required to be 
                    recorded. 

          b.   OWCP Compensation Claim Forms.  Agencies are 
               required to complete OSHA- related items on OWCP 
               compensation claim forms CA-1, CA-2, and CA-6. 

               NOTE:     OWCP forms printed since 1986 include 
                         specific blocks for Type, Source, and 
                         Duty Station Zip Codes which are OSHA- 
                         required information. 

               (1)  CSHOs shall review a sufficient number of 
                    claim forms to determine whether facilities 
                    are, for the most part, accurately coding 
                    data required by OSHA. 

               (2)  CSHOs shall pay special attention to the 
                    "employee's duty station" zip code to ensure 
                    the code is for the duty station and not 
                    a central collection point at another 
                    location. 

C.   Evaluation. 

     1.   Purpose.  Federal agency heads are required by the 
          Act to operate effective occupational safety and health 
          programs.  OSHA is required to evaluate the 
          effectiveness of those programs. 

                                  XIII-14 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          a.   Effectiveness is determined by analyzing 
               injury/illness statistics and comparing the 
               agency's written program with 29 CFR Part 1960 
               program elements by conducting onsite field 
               reviews and special studies at agency 
               establishments to evaluate program implementation. 

               NOTE:     The purpose of onsite visits is to 
                         evaluate implementation of the agency's 
                         occupational safety and health program 
                         at the worksite level and not to 
                         evaluate specific establishments or 
                         managers. 

          b.   Evaluations may be classified by scope as follows: 

               (1)  Full-scale evaluations include headquarters, 
                    intermediate organizational levels, and 
                    worksite reviews of the entire occupational 
                    safety and health program. 

               (2)  Special Study evaluations include 
                    headquarters, intermediate organizational 
                    levels, and worksite reviews but focus only 
                    on specific issues. 

               (3)  Headquarters-only evaluations do not include 
                    worksite reviews. 

               (4)  Agency self-evaluations may be substituted 
                    for an OSHA evaluation when recommended by 
                    the Director, OFAP, and approved by the 
                    Secretary. 

     2.   Time Frames.  In the evaluation process there is a 
          specific time frame within which OSHA and the evaluated 
          agency must operate to meet the requirements of 29 CFR 
          Part 1960 program elements. 

          a.   60 Calendar Days before Opening of Evaluation. 
               OFAP shall send a letter signed by the Secretary 
               notifying the Federal agency head of OSHA's 
               impending evaluation. 

          b.   30 Calendar Days before Opening of Evaluation. 
               OFAP shall hold an informal meeting with the 
               agency's occupational safety and health program 
               staff to plan the opening conference, develop a 
               list of worksites to visit, and obtain agency 
               safety and health documents for background 
               information. 

          c.   21 Calendar Days after the National Opening 
               Conference.  All subordinate office visits and 
               all establishment onsite visits shall be completed 
               within 21 calendar days of the conclusion of the 
               opening conference with the agency head.  If field 
               visits are delayed by the agency, they shall be 
               completed within 14 calendar days after the 
               Director, OFAP, notifies the Regional 
               Administrator that they may begin. 

          d.   9 Calendar Days after the Field Visit Closing 
               Conference.  Compliance officers' findings shall 
               be provided to the Regional Administrator within 9 
               days after the worksite closing conference. 

                                  XIII-15 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          e.   30 Calendar Days after the Field Visit Closing 
               Conference.  Each Regional Administrator shall 
               send the Director, OFAP, a short narrative report 
               summarizing the results of the worksite surveys. 

          f.   90 Calendar Days after the National Opening 
               Conference.  OFAP shall schedule a closing 
               conference with the agency head and other 
               appropriate agency management officials. 

          g.   90 Calendar Days after the National Closing 
               Conference.  The final report concerning the 
               evaluation shall be presented to the Secretary of 
               Labor for signature.  The Federal agency has 60 
               calendar days to comment on the report.  After 
               comments have been received by OFAP or the 60 
               calendar days have elapsed, the report is a public 
               document and may be released upon request. 

     3.   National Office Responsibilities.  The Director, 
          OFAP, shall: 

          a.   Train FAPOs on evaluation criteria, policies, and 
               procedures. 

          b.   Select agencies for evaluation based on size and 
               hazard indicators, such as injury/illness 
               compensation data.  Reported program deficiencies 
               may also be considered. 

          c.   Determine the scope of the evaluation. 

          d.   Notify the head of the Federal agency to be 
               evaluated by letter from the Secretary at least 2 
               months prior to the opening conference. 

          e.   Contact the OSHA Regional Administrators to 
               discuss potential locations for onsite visits, 
               tentative evaluation time frames, and OSHA's past 
               experience with the agency, and determine the 
               extent of the FAPO's participation in the 
               evaluation. 

          f.   Arrange an informal meeting one month before the 
               opening conference between agency program staff 
               and the OFAP evaluators.  Issues for discussion 
               may include agency organizational structure, 
               program strengths and weaknesses (as they are 
               perceived by the agency), changes since the last 
               evaluation, injury/illness causes, agency 
               operations, and selection of locations for 
               workplace visits. 

          g.   Send to the OSHA Regional Administrators any 
               agency background material or advise them of data 
               available from agency field units. 

               (1)  This material may include injury/illness 
                    data, occupational safety and health program 
                    documentation, agency organizational 
                    structure, and internal safety and health 
                    inspection and self-evaluation reports. 

                                  XIII-16 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (2)  Such material shall be sent to the Regional 
                    Administrator at least 2 weeks before the 
                    opening conference. 

          h.   Request the agency to notify the National 
               headquarters of labor organizations representing 
               employees at the field sites to be visited.  If 
               there is more than one organization, the agency 
               shall be requested to contact at least those with 
               national exclusive recognition or national 
               consultation rights with the agency. 

          i.   Confer with the DASHO to establish a date for the 
               opening conference with top agency management. 

          j.   Request OSHA Regional Administrators, immediately 
               after establishing the opening conference date, to 
               provide a Regional evaluation team.  The team 
               leader for the Regional evaluation team shall be 
               the Regional FAPO and, in most cases, the team 
               will include one health and one safety senior 
               compliance officer. 

          k.   Conduct an opening conference at agency 
               headquarters.  Items for discussion shall include 
               the objectives of the evaluation; evaluation 
               procedures; employee participation in worksite 
               surveys (such participation shall be encouraged by 
               OSHA); the schedule for establishment onsite 
               visits; the closing conference with the agency; 
               and the final report. 

          l.   Contact each FAPO participating in the evaluation 
               by telephone, immediately after the opening 
               conference, to transmit any policy or procedural 
               changes resulting from the conference discussions. 

          m.   Review the safety and health programs at the 
               agency and, where necessary, subagency 
               headquarters (bureaus, agencies, or commands) 
               using the "Occupational Safety and Health Program 
               Evaluation Guide for Agency Headquarters," 
               adapting it, as necessary, for each agency. 

          n.   Schedule a National Office closing conference at 
               the Federal agency headquarters no later than 90 
               calendar days after the opening conference. 

               (1)  The conference shall be held, where schedules 
                    permit, between the Assistant Secretary or 
                    other appropriate high ranking OSHA officials 
                    and top agency management officials. 

               (2)  The closing conference shall include the 
                    major findings of the evaluation, OSHA's 
                    recommendations and an offer of abatement 
                    assistance. 

                                  XIII-17 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

          o.   Prepare a final report to the agency head for the 
               Secretary's signature. 

               (1)  The report will combine major findings from 
                    the headquarters and field reviews.  A draft 
                    report shall be submitted to the Director, 
                    OFAP, within 60 days after the National 
                    Office's closing conference at agency 
                    headquarters. 

               (2)  The agency shall be offered an opportunity to 
                    review informally a draft of the report for 
                    technical errors or misconceptions. 

               (3)  The final report shall be ready for the 
                    Secretary's signature within 90 days after 
                    the closing conference. 

          p.   Send the signed final report to the agency heads 
               and request their response to the evaluation 
               report within 60 calendar days of receipt of the 
               report. 

          q.   Send the final report including the agency's 
               comments to the Federal Advisory Council on 
               Occupational Safety and Health (FACOSH), OSHA 
               Regional Administrators, the House Committee on 
               Education and Labor (Subcommittee on Health and 
               Safety), and the Senate Committee on Labor and 
               Human Resources (Labor Subcommittee). 

          r.   Send a copy of the final agency report and the 
               agency's comments to the President with the 
               Secretary of Labor's Annual Report. 

          s.   Conduct headquarters-only evaluations to assess 
               changes in the agency's occupational safety and 
               health program since the previous evaluation and 
               to monitor progress in implementing OSHA 
               recommendations.  The headquarters only evaluation 
               shall include a headquarters review, and may also 
               include a review at the headquarters of 
               subordinate agencies.  It will not include visits 
               to agency worksites. 

     4.   Regional/Area Office Responsibilities for 
          Evaluations.  The Regional Administrator shall: 

          a.   Select a safety specialist and industrial 
               hygienist to serve as members of each 
               establishment review team.  The teams shall be led 
               by the FAPO or other Regional representative with 
               Federal agency experience.  Each newly assigned 
               FAPO, as a trainee, shall accompany an experienced 
               Federal agency evaluator on at least one Federal 
               establishment evaluation prior to serving as a 
               team leader. 

          b.   Contact the agency's Regional Office and/or 
               establishment to be evaluated by telephone to set 
               a date for the onsite visit, to outline the 
               evaluation process, and to encourage employee 
               participation in the evaluation.  Such contact 
               shall be made only after receiving notification 
               from the OFAP evaluation leader that the 

                                  XIII-18 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               agency has notified its workplace.  OFAP will 
               provide the FAPO with the names, addresses, and 
               telephone numbers of agency contact personnel. 

          c.   Ensure in a preliminary meeting that all Regional 
               team members are familiar with the objectives of 
               the evaluation, Executive Order 12196, 29 CFR Part 
               1960 program elements, agency background 
               information, and the procedures to be followed 
               during the worksite review. 

          d.   Evaluate the safety and health program at the 
               Regional Office level, if directed by OFAP.  The 
               format for Regional Office evaluations will depend 
               on agency organizational structure and the 
               placement of safety and health staff within the 
               agency; the scope of the Regional evaluation, 
               therefore, will be determined by OFAP on a case- 
               by-case basis. 

          e.   Conduct the establishment onsite evaluation as 
               follows: 

               (1)  An opening conference shall be conducted with 
                    the establishment official, the establishment 
                    safety and health program director, the 
                    Committee chairperson, if any, and the 
                    employee representatives.  The FAPO (or other 
                    team leader) shall explain: 

                    (a)  The purpose of the evaluation, the 
                         manner in which interviews are to be 
                         conducted, and the walkaround procedures 
                         to be followed during the workplace 
                         survey; 

                    (b)  That an opportunity for employee 
                         representation will be provided during 
                         the workplace surveys and that employee 
                         representatives will be interviewed 
                         privately; and 

                    (c)  That, although the visit is not a 
                         compliance inspection, OSHA must ensure 
                         that hazards observed by its personnel 
                         are eliminated.  Thus, if hazards are 
                         observed, they will be pointed out at 
                         the time and mentioned again in the 
                         closing conference. 

                         NOTE:     An evaluation may be conducted 
                                   in conjunction with a targeted 
                                   inspection, at the Regional 
                                   Administrator's discretion. 

               (2)  Relevant documents shall be reviewed and 
                    safety and health personnel interviewed.  The 
                    "Occupational Safety and Health Program 
                    Evaluation Workbook" shall be used, adapting 
                    it as appropriate for each agency.  (See OSHA 
                    Instruction FAP 2.1B, Appendix A.) 

               (3)  The team leader shall direct CSHOs to the 
                    proper locations to be included in the 
                    walkaround according to the scope of the 
                    review.  The findings shall be recorded in 
                    accordance with current procedures. 

                                  XIII-19 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (a)  The purpose of the workplace survey is 
                         to assess program implementation at the 
                         field level.  During the survey, 
                         therefore, the CSHO shall concentrate on 
                         interviewing supervisors, employee 
                         representatives, and employees. 

                    (b)  The survey normally shall last no more 
                         than 4 working days. 

                         1    If the establishment is large, 
                              evaluators need not conduct a 
                              walkaround of the entire 
                              facility.  Their efforts shall 
                              be focused on locations where 
                              records indicate that more 
                              injuries or illnesses are 
                              occurring or where operations 
                              are likely to create unsafe or 
                              unhealthful working 
                              conditions. 

                         2    During the workplace survey 
                              the evaluators shall interview 
                              an appropriate sample 
                              (approximately 5-10%) of 
                              supervisors,  employee 
                              representatives, and 
                              employees, using the 
                              "Workbook Survey Questions." 
                              (See OSHA Instruction FAP 
                              2.1B, Appendix B.) 

                    (c)  The workplace survey need not include 
                         full-shift samples for hazardous 
                         exposures.  Screening samples, in 
                         conjunction with interviews, normally 
                         shall be used to determine if the agency 
                         had reasonable cause to conduct full- 
                         shift sampling to verify its normal 
                         sampling protocol. 

                    (d)  The FAPO shall meet the team members at 
                         the conclusion of the workplace survey 
                         to discuss their findings and to 
                         identify items to be discussed at the 
                         closing conference. 

               (4)  A closing conference shall be conducted at 
                    the workplace at the conclusion of the 
                    walkaround tour.  In addition to items 
                    routinely discussed at any inspection closing 
                    conference, the FAPO shall discuss: 

                    (a)  How the establishment survey becomes a 
                         part of the final agency report; 

                    (b)  Recommendations regarding the 
                         establishment's occupational safety and 
                         health program, explaining that these 
                         recommendations may or may not become a 
                         part of the final report, and that 
                         violations of OSHA standards and program 
                         elements may or may not result in the 
                         issuance of the OSHA Notice; and, 

                    (c)  Sources of assistance such as the OSHA 
                         Area Office, Federal Safety and Health 
                         Councils, and the OSHA Training 
                         Institute. 

                                  XIII-20 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (5)  Following the closing conference the 
                    evaluation team shall spend one to 2 days 
                    developing a draft report of the team's 
                    findings. 

                    (a)  Compliance personnel shall transmit 
                         interview and hazard findings and other 
                         documentation, as required, within 9 
                         calendar days following the closing 
                         conference to the FAPO.  The report 
                         shall note if samples were sent to the 
                         laboratory for analysis.  Laboratory 
                         results and exposure evaluations shall 
                         be forwarded to the FAPO when received. 

                    (b)  The report shall summarize the findings 
                         of the survey and shall include: 

                         1    A narrative summary of the
                              responses to workplace survey 
                              questions. 

                         2    Either a list of all violations 
                              observed during the survey or a 
                              copy of the OSHA Notice. 

               (6)  The OSHA Notices shall be issued with 
                    inspection form letter "c" ("Notification to 
                    Employer -- Evaluation Results") for program or 
                    standards violations. 

               (7)  If the workplace survey was conducted by 
                    CSHOs from another Area Office, all case file 
                    documents shall be forwarded through the 
                    Regional Administrator to the Area Director 
                    within whose territory the establishment is 
                    located. 

               (8)  A written report, in the format given in OSHA 
                    Instruction FAP 2.1B, Appendix C, containing 
                    the results of subordinate office and 
                    establishment visits shall be sent to the 
                    Director, OFAP, no later than 30 calendar 
                    days after the field closing conference. 

                    (a)  The narrative summary report (not to 
                         exceed five pages) should be a concise 
                         summary of the major strengths and 
                         weaknesses of the worksite safety and 
                         health program.  A copy of the narrative 
                         summary report shall also be sent to the 
                         establishment official. 

                    (b)  An appendix to the report shall include 
                         a response to each question in the 
                         "Occupational Safety and Health Program 
                         Guide for Field Establishments." 
                         Regional Administrators have been 
                         provided a "floppy disk" containing the 
                         evaluation questions for use on the 
                         Altos computer.  The appendix may be 
                         forwarded under separate cover. 

                                  XIII-21 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    (c)  Workplace summary reports, appendices, 
                         and related materials are considered 
                         internal working documents, not for 
                         distribution outside the agency. 

D.   Agency Technical Assistance Request (ATAR).  An ATAR is 
     a request by a Federal agency for onsite assistance. 
     Assistance provided onsite is recorded on an OSHA-1. 

     1.   An ATAR may include hazard abatement advice, training, 
          a partial or comprehensive inspection, and program 
          assistance. 

     2.   While many ATARs are for hazard abatement advice or for 
          a partial or a comprehensive assistance visit will be 
          submitted by telephone, the requesting agency normally 
          shall be required to reduce the ATAR to writing before 
          an onsite visit can be scheduled.  If, however, special 
          circumstances arise that make it impractical to wait 
          for a written request, the ATAR visit may be performed. 

          a.   ATARs received in the National or the Regional 
               Office shall be forwarded to the appropriate Area 
               Director. 

          b.   The Area Director shall acknowledge all formal 
               ATARs with inspection form letter "d" 
               ("Notification to Employer-ATAR Scheduled") and 
               shall schedule the visit within 60 calendar 
               days. 

     3.   Agencies requesting assistance shall be informed that 
          the agency is expected to correct any violations of 
          citable program elements or OSHA standards observed by 
          CSHOs. 

     4.   Assistance visit procedures will vary according to the 
          scope of the visit, as prescribed by the Area Director. 

          a.   If the ATAR has resulted in a partial or a 
               comprehensive inspection, all violations of 
               citable program elements or OSHA standards 
               observed shall be discussed with the establishment 
               official at the closing conference. 

          b.   For serious violations that are unabated prior to 
               the closing conference, abatement dates and an 
               abatement plan shall be discussed.  Abatement 
               dates shall be based on the shortest interval 
               within which the agency can reasonably be expected 
               to correct the violation. 

          c.   For other-than-serious violations that are 
               unabated prior to the closing conference, 
               abatement advice shall be provided when 
               appropriate. 

          d.   The Area Director shall inform the establishment 
               official using inspection form letter "e" 
               ("Notification to Employer - ATAR Results") of the 
               results of the visit.  The letter shall describe 
               OSHA's action taken in response to the ATAR and 
               provide findings and recommendations, as 
               appropriate. 

                                  XIII-22 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

               (1)  If any violations were uncorrected at the end 
                    of the visit, the letter shall: 

                    (a)  Discuss in sufficient detail all 
                         apparent violations observed by the 
                         assistance team. 

                    (b)  Indicate abatement dates for serious 
                         violations as discussed with the 
                         establishment official. 

                    (c)  Request abatement plans for any serious 
                         violation that cannot be eliminated 
                         within 30 calendar days.  Abatement 
                         plans must be submitted within 30 
                         calendar days of receipt of the letter. 

                    (d)  Request that the establishment official 
                         notify OSHA in writing of abatement 
                         action taken upon expiration of the 
                         established abatement period. 

               (2)  If no violations were observed or if all 
                    hazards were eliminated prior to the 
                    completion of the closing conference, the 
                    Area Director shall so inform the 
                    establishment official. 

          e.   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 shall check on abatement status by 
               telephone or onsite visit.  If any violations are 
               unabated, an OSHA Notice shall be issued. 

               NOTE:     Where onsite assistance is provided for 
                         those agencies excluded from OSHA 
                         jurisdiction, a recommendation letter 
                         shall be sent instead of an OSHA 
                         Notice. 

E.   Notice of Unsafe or Unhealthful Working Conditions, OSHA- 
     2H Form, (OSHA Notice). 

     1.   Issuance of the OSHA Notice.  The OSHA Notice shall 
          be used to inform establishment officials of violations 
          of OSHA standards and 29 CFR Part 1960 citable program 
          elements and/or serious hazards not covered by an OSHA 
          standard found during an OSHA inspection.  The OSHA 
          Notice shall be issued to Federal agencies with 
          certified committees for violations observed during an 
          announced inspection. 

          a.   When violations are observed during an OSHA 
               inspection of, evaluation of, or assistance visit 
               to a Federal agency establishment, the procedures 
               in Chapter III, D.8 and E., Chapter IV, and 
               Chapter V shall be followed, unless otherwise 
               indicated in this chapter or as follows: 

               (1)  29 CFR 1960.8(a) (the Federal equivalent of 
                    the general duty clause) shall be used in the 
                    notification of serious hazards that are not 
                    addressed by a specific OSHA standard.  For 
                    other-than-serious hazards the agency shall 
                    be 

                                  XIII-23 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    notified using inspection form letter "g" 
                    ("Letter for a Hazard Not Covered by Standard 
                    or General Duty Clause"). 

                    NOTE:     Executive Order 12196, Section 1- 
                              201(a), will no longer be used to 
                              cite hazards not addressed by a 
                              specific OSHA standard or program 
                              element. 

               (2)  29 CFR Part 1960, Subpart I, shall be used to 
                    enforce recordkeeping violations. 

                    NOTE:     Executive Order 12196, Section 1- 
                              201(j), will no longer be used to 
                              cite recordkeeping violations. 

               (3)  A Repeat Notice may be issued to a Federal 
                    agency 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 
                         regionwide inspection history for the 
                         agency lists a previous citation issued 
                         within the past 3 years. 

                    (b)  For other-than-serious violations if the 
                         establishment being inspected received a 
                         previous citation issued within the past 
                         3 years. 

                    (c)  The previous citation was issued to an 
                         agency within the same two-digit SIC 
                         code. 

                    (d)  There is documentary evidence that the 
                         previous citation had been abated. 

               NOTE:     Include the inspection identification 
                         number, date, and location of the 
                         previous inspection on the notice. 

               (4)  On multiemployer worksites the OSHA Notice 
                    normally shall be issued to the Federal 
                    employer whose employees are exposed to 
                    hazards (the exposing employer). 

                    (a)  If available facts indicate that another 
                         employer created the hazard or is 
                         responsible for correcting the hazard, 
                         the case file shall document these 
                         findings following the multiemployer 
                         worksite policy.  (See Chapter V, F.2.) 

                    (b)  If the employer that creates the hazard 
                         or is responsible for correcting the 
                         hazard is excluded from OSHA 
                         jurisdiction, a letter shall be sent to 
                         the employer identifying the hazard and 
                         OSHA's concerns that a Federal agency 
                         employee is exposed to the hazard.  The 
                         letter shall 

                                  XIII-24 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                         ask the employer to voluntarily 
                         correct the hazard and, if 
                         needed, request abatement assistance 
                         from OSHA. 

                    (c)  An OSHA Notice may be issued to a 
                         Federal agency who created or is 
                         responsible for correcting a hazard when 
                         only private sector employees are 
                         exposed. 

          b.   An OSHA Notice shall be completed in accordance 
               with current IMIS instructions (IMIS Manual, 
               Chapter VIII) for all serious, willful, repeated, 
               and other-than-serious violations covered by a 
               citable program element or an OSHA standard. 

          c.   The Area Office shall send the OSHA Notice to the 
               establishment official and to the Regional 
               Administrator for possible transmittal to the 
               Regional Office of Information and Public Affairs. 

               (1)  When violations are classified as willful or 
                    repeated, a copy shall also be sent to the 
                    DASHO. 

                    NOTE:     For U.S. Army only send to:  U.S. 
                              Army Safety Center, Fort Rucker, 
                              Alabama  36362-5363, with a copy 
                              to: ODASD (P & L) Environment/S & 
                              OHP, Suite 206, 400 Army Navy Dr., 
                              Arlington, Virginia  22202. 

               (2)  The Director, OFAP, shall provide a list of 
                    DASHO names and addresses to the FAPOs each 
                    October. 

          d.   Area Directors may assign abatement dates up to 6 
               months in 90-day increments for violations of 29 
               CFR Part 1960 authorized program elements. 
               Justification for abatement in excess of 30 days 
               must be documented in the case file. 

     2.   Cover Letter.  Each OSHA Notice shall be 
          accompanied with inspection form letter "a" 
          ("Notification to Employer -- Inspection Results") which 
          shall: 

          a.   Request the establishment official to respond in 
               writing by a specified date, with a detailed 
               description of how each violation has been abated 
               or with a detailed abatement plan.  The abatement 
               plan must include: 

               (1)  All steps that can be taken in an effort to 
                    achieve compliance during the prescribed 
                    abatement period and their projected dates. 

               (2)  The specific additional abatement time 
                    estimated to be necessary to achieve complete 
                    compliance. 

               (3)  The reasons why such additional time is 
                    necessary, including unavailability of 
                    professional or technical personnel, 
                    essential materials or equipment, 

                                  XIII-25 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                    necessity of construction or alteration of 
                    physical facilities that cannot be 
                    completed by the original abatement date. 

               (4)  Interim steps being taken to safeguard 
                    employees against any hazards during the 
                    abatement period. 

          b.   Inform the establishment official that an informal 
               conference may be requested in writing or by 
               telephone with a confirming letter within 15 
               calendar days of receipt of the OSHA Notice.  The 
               letter must identify the items to be discussed. 

F.   Informal Conference Procedures.  Establishment officials 
     may request an informal conference with the Area Director 
     who issued the OSHA Notice. 

     1.   If the establishment official has requested an informal 
          conference, the Area Director shall conduct one within 
          15 calendar days of the request. 

     2.   When an agency requests an informal conference, the 
          Area Director shall advise the employee representatives 
          of the conference date and their right to attend or 
          have a separate conference. 

     3.   Abatement dates on items to be discussed shall remain 
          open until the issues shall have been resolved at the 
          informal conference, or by the Regional Administrator, 
          or by the Director, OFAP. 

     4.   Every effort shall be made to resolve the issues at an 
          informal conference with the establishment official. 
          If, however, an issue is not resolved by the Area 
          Director, a summary of the discussion together with the 
          agency's position on the unresolved issues shall be 
          forwarded to the Regional Administrator within 5 
          calendar days of the informal conference. 

          a.   The Regional Administrator shall confer with the 
               appropriate Regional agency official before making 
               a decision on the unresolved issues. 

          b.   If the Regional Administrator decides that the 
               item in question should remain unchanged on the 
               OSHA Notice, the investigation file and informal 
               conference notes shall be transmitted to the 
               Director, OFAP, for resolution. 

          c.   OFAP shall review the disputed issues and discuss 
               these with top agency officials, as appropriate, 
               to obtain resolution.  The decision at the 
               National Office level is final.  Contest 
               procedures before the OSHA Review Commission do 
               not apply to Federal agencies. 

     5.   Any changes to the OSHA Notice resulting from agreement 
          during the informal conference procedures or subsequent 
          appeal to OFAP will be made in accordance with 
          appropriate guidelines in Chapter III, G. 

                                  XIII-26 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

G.   Verification of Abatement. 

     1.   Abatement Letter.  The Area Director shall review 
          abatement letters and determine if the action taken 
          corrected the violation. 

          a.   If the letter is satisfactory, the case can be 
               closed. 

          b.   If the agency abatement letter is unsatisfactory, 
               the Area Director shall verify abatement status by 
               telephone or other electronic means or by a 
               followup visit, as deemed appropriate. 

     2.   Abatement Plan.  If the agency submitted an 
          abatement plan, the Area Director shall notify the 
          establishment official of its acceptance, and ask 
          him/her to provide a copy of the plan to the Certified 
          Committee (if the agency has one) and to the employee 
          representative who participated in the inspections. 

     3.   No Response.  If the abatement dates have passed 
          with no response, the Area Director shall verify 
          abatement status by telephone or other electronic means 
          or by a followup visit, as deemed appropriate. 

H.   Petitions for Modification of Abatement Dates (PMAs). 
     When Area Offices receive Federal agency requests for 
     additional abatement time, generally they shall follow the 
     private sector procedures in Chapter III, E.9.  For an 
     extension of time to be granted, the agency must provide the 
     Area Office with a written explanation of the reason for 
     delay, a proposed timetable for abatement, a description of 
     the steps being taken to protect employees in the interim, 
     and assurances that notification has been given to any 
     affected employees and any authorized union representatives. 
     When agreement cannot be reached to extend the abatement 
     date, the issue shall be forwarded to the Regional 
     Administrator for resolution with his counterpart in the 
     agency.  Issues not resolved at the regional level shall be 
     forwarded to the Director, OFAP, for resolution with agency 
     headquarters. 

     NOTE:     The Occupational Safety and Health Review 
               Commission has no jurisdiction over Federal 
               agencies; and the provisions of 29 CFR 1903.14(a) 
               and 29 CFR 2200.37 which prescribe PMA procedures 
               for private sector do not apply to Federal 
               agencies. 

I.   Failure to Abate.  Area Directors shall make every 
     effort to work with local Federal agency managers in 
     developing an acceptable abatement plan.  When this cannot 
     be achieved within 30 calendar days of the abatement date, 
     the following steps shall apply: 

     1.   The Area Director shall send a Notice of Failure-to- 
          Abate, OSHA-2C Form, (FTA Notice) with inspection form 
          letter "h"  ("Notification of Failure to Abate Alleged 
          Violation") to the establishment official. 

                                  XIII-27 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     2.   The Area Director shall send a copy of the FTA Notice 
          to the DASHO and representative of employees (no cover 
          letter required). 

          NOTE:     For U.S. Army see "NOTE," E.1.c.(1). 

     3.   If the inspection was initiated because of a complaint, 
          the Area Director shall send a copy of the FTA Notice 
          to the complainant with complaint form letter "o" 
          ("Notification to Complainant -- Failure to Abate 
          Issued"). 

     4.   The Area Director shall forward a copy of the 
          complete case file to the Regional Administrator, 
          if the Area Director cannot resolve the issue at the 
          local level. 

     5.   The Regional Administrator shall 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 
          shall 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, OFAP. 

     6.   The Director, OFAP, shall, within 30 calendar days, 
          determine which Directorate within OSHA is the most 
          appropriate to review the case file.  The Director, 
          Directorate of Compliance Programs (DCP) shall then 
          forward the case file to the appropriate Directorate. 

          a.   The reviewing Directorate shall have 30 calendar 
               days in which to review the case file and return 
               it to DCP with appropriate recommendations. 

          b.   If DCP upholds the citation, the Director shall, 
               within 30 calendar days, schedule a meeting with 
               his or her counterpart in the cited Federal agency 
               to discuss OSHA's findings and request an 
               abatement schedule. 

          c.   If a satisfactory abatement schedule is not. 
               received within 60 calendar days, the Assistant 
               Secretary shall schedule a meeting with the DASHO. 

          d.   If no solution is reached, the Assistant Secretary 
               shall request the Secretary of Labor's 
               involvement. 

     7.   DCP shall provide the Regional Office with a status 
          report every 60 calendar days until the case is 
          resolved. 

                                  XIII-28 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 


                         APPENDIX A 

               29 CFR 1960 CITABLE PROGRAM ELEMENTS 

Program Element           Citable        Explanation 
                          YES  NO 
  1960.1(a-g)                  NO        This section describes the purpose 
                                         and scope of 1960 program elements. 

  1960.2(a-x)                  NO        This section provides definitions of 
                                         terms used in Part 1960. 

  1960.6(a-c)                  NO        This section gives direction to the 
                                         agency head from the Secretary of 
                                         Labor. 

  1960.7(a-b)                  NO        This section deals with budget 
                                         submission and funding of the 
                                         agencies Safety and Health Programs. 

  1960.8(a)               YES            This section is the "general duty 
                                         clause" element, that will replace 
                                         the Executive Order 201(a) for 
                                         enforcing serious hazards that are 
                                         not covered by a standard. 

  1960.8(b)               YES            This element gives specific 
                                         directions for all agencies to 
                                         comply with applicable OSHA 
                                         standards. 

  1960.8(c)               YES            This element gives specific 
                                         directions to all agencies to 
                                         develop, implement, and evaluate an 
                                         occupational safety and health 
                                         program. 

  1960.8(d)               YES            This element gives specific 
                                         directions to all agencies to 
                                         acquire, maintain, and require 
                                         employee use of approved personal 
                                         protective equipment (PPE) and 
                                         other safety equipment. 

  1960.8(e)                    NO        This element gives general guidance 
                                         on providing specialized expertise 
                                         that may not apply to all agencies. 

  1960.9                       NO        This element gives guidance that can 
                                         vary between supervisors depending 
                                         upon their level of authority. 

  1960.10(a-d)                 NO        This section on employee 
                                         responsibilities and rights is 
                                         directed toward employees not 
                                         management. 

  1960.11                 YES            This element provides for 
                                         accountability of managers and 
                                         supervisors and can apply equally to 
                                         all agencies. 

                                  XIII-A-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.12(a)                   NO        This element gives instructions 
                                         that copies of the Act, EO 12196, 
                                         and 1960 program elements be made 
                                         available to employees and employee 
                                         representatives but each agency 
                                         could determine differently the 
                                         procedures for how requests should 
                                         be made and to whom. 

  1960.12(b)                   NO        This element requires the agency to 
                                         provide the safety and health program 
                                         for the establishment to each 
                                         supervisor, committee member, and 
                                         employee representative.  OSHA feels 
                                         it could not be enforced uniformly, 
                                         and that this issue is covered in the 
                                         training section 1960.55(a). 

  1960.12(c)              YES            This element directs all agencies to 
                                         post an agency occupational safety 
                                         and health poster informing employees 
                                         of the agency safety and health 
                                         program. 

  1960.12(d)                   NO        This element gives guidance to the 
                                         agencies to request help with 
                                         developing their poster. 

  1960.12(e)                   NO        This element gives guidance to 
                                         promote employee awareness, which 
                                         may not apply uniformly to all 
                                         agencies. 

  1960.16                      NO        This section requiring agencies to 
                                         comply with OSHA standards is too 
                                         broad to enforce uniformly. 

  1960.17(a-b)                 NO        This section gives guidance to 
                                         interested agencies for applying for 
                                         an alternate standard. 

  1960.18(a-b)                 NO        This section provides instructions 
                                         for agencies to follow if they wish 
                                         to adopt supplementary standards. 

  1960.19(a-c)                 NO        This section provides instructions to 
                                         agencies when other Federal agency 
                                         standards affect safety and health. 

  1960.25(a)              YES            The last sentence requiring that 
                                         necessary equipment to conduct 
                                         inspections be provided can be 
                                         enforced in all agencies; the first 
                                         part of the paragraph is general 
                                         guidance that may not apply. 

  1960.25(b)                   NO        This element applies only to agencies 
                                         requiring security clearance. 

                                  XIII-A-2 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.25(c)              YES            The first sentence requires that each 
                                         agency inspect each workplace 
                                         annually.  The remaining part of the 
                                         element is general guidance that may 
                                         not apply to all agencies. 

  1960.25(d)                   NO        This element encourages agencies to 
                                         coordinate safety and health 
                                         functions when several agencies are 
                                         responsible for conditions at a 
                                         site. 

  1960.26(a)                   NO        These elements give general guidance 
                                         on how to prepare for an agency 
                                         inspection. 

  1960.26(b)(1-4)              NO        These elements give general guidance 
                                         on how agencies may conduct 
                                         inspections. 

  1960.26(b)(5)           YES            The first sentence gives specific 
                                         imminent danger instructions to the 
                                         inspector that can apply uniformly. 
                                         The rest of the paragraph gives 
                                         guidance dealing with imminent danger 
                                         that may not apply at all locations. 

  1960.26(b)(6)                NO        This element gives general guidance 
                                         to agencies on conducting closing 
                                         conferences. 

  1960.26(c)(1-4)         YES            These elements direct how agencies 
                                         should handle agency inspection 
                                         reports and notices of unsafe or 
                                         unhealthful conditions. 

  1960.27(a)              YES            The first sentence gives specific 
                                         instructions that the safety and 
                                         health inspector is in charge of 
                                         an agency inspection.  The rest of 
                                         the paragraph is instructions that 
                                         would be difficult to enforce. 

  1960.27(b-d)                 NO        These elements give general 
                                         inspection guidance that may not 
                                         apply at all locations. 

  1960.28(a-c)                 NO        These elements give general guidance 
                                         on receiving employee reports of 
                                         unsafe or unhealthful working 
                                         conditions, that may not apply at 
                                         all locations. 

  1960.28(d)(1-2)              NO        These elements give general guidance 
                                         on receiving reports that may not 
                                         apply at all locations. 

                                  XIII-A-3 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.28(d)(3)           YES            This element gives specific time 
                                         frames for an agency to inspect 
                                         employee reports of hazards. 

  1960.28(d)(4)                NO        This element gives general guidance 
                                         about notifying the employee who 
                                         submitted the report of hazards. 

  1960.28(e)                   NO        These elements give general guidance 
                                         to the Secretary of Labor on handling 
                                         reports. 

  1960.29(a)                   NO        This element gives general guidance 
                                         on accident investigation that may 
                                         not apply at all locations. 

  1960.29(b)              YES            This element directs all agencies to 
                                         investigate accidents resulting in a 
                                         fatality or hospitalization of five 
                                         or more employees. 

  1960.29(c)                   NO        This element requests that agencies 
                                         give the Secretary information gained 
                                         during an accident investigation 
                                         that may be helpful in developing a 
                                         new OSHA standard. 

  1960.29(d)              YES            This element requires agencies to 
                                         include specific information on all 
                                         investigative reports of accidents. 

  1960.30(a-e)            YES            This section gives specific 
                                         abatement directions that apply to 
                                         all agencies. 

  1960.31(a-d)                 NO        This section gives guidance to OSHA 
                                         inspectors, and does not apply to 
                                         other agencies. 

  1960.34(a-d)            YES            This section gives specific 
                                         directions to General Services 
                                         Administration (GSA) and other 
                                         agencies that affect the safety 
                                         and health programs of agencies in 
                                         federally owned or leased 
                                         buildings. 

  1960.34(e)                   NO        This section gives direction to GSA 
                                         for other services to user agencies 
                                         and does not apply to all agencies. 

  1960.35(a-c)                 NO        This section gives direction to NIOSH 
                                         and does not apply to all agencies. 

  1960.36(a-b)                 NO        This section gives a general 
                                         description of safety and health 
                                         committees. 

                                  XIII-A-4 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.37(a)                   NO        This section gives general guidance 
                                         for agencies considering a 
                                         Certified Safety and Health 
                                         Committee. 

  1960.37(b)              YES            This section requires equal 
                                         representation of management and 
                                         non-management employees for those 
                                         agencies who choose to have a 
                                         Certified Safety and Health 
                                         Committee. 

  1960.37(c)                   NO        This element discusses the terms 
                                         that members serve on Certified 
                                         Safety and Health Committees and 
                                         does not directly affect employee 
                                         safety and health. 

  1960.37(d)              YES           This element directs that the safety 
                                        and health committee chairperson 
                                        alternate between management and non- 
                                        management and applies equally for 
                                        those agencies who choose to have a 
                                        Certified Safety and Health Committee. 

  1960.37(e)              YES           This element requires that safety and 
                                        health committees meet on a regular 
                                        schedule and applies to those agencies 
                                        who choose to have a Certified Safety 
                                        and Health Committee. 

  1960.37(f-g)                 NO       These elements are programmatic in 
                                        nature requiring advance notice of 
                                        meetings and maintaining written 
                                        records for all agencies that choose 
                                        to have committees. 

  1960.38(a-b)                 NO       This section directs heads of agencies 
                                        to inform the Secretary that a 
                                        committee was formed. 

  1960.39(a-b)                 NO       This section gives general guidance to 
                                        the agency of what information should 
                                        be made available to the committees. 

  1960.40(a-b)                 NO       This section gives general guidance 
                                        for the duties of establishment 
                                        committees and may not apply at all 
                                        times. 

  1960.41(a-e)                 NO       This section gives general guidance 
                                        for the duties of National committees 
                                        and may not apply at all times. 

  1960.46(a-b)                 NO       This section does not provide specific 
                                        guidelines for developing a reprisal 
                                        program that could be equally measured 
                                        and enforced. 

                                  XIII-A-5 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.47                      NO       This section requires that reprisal 
                                        investigation findings be given to the 
                                        safety and health committee and to the 
                                        Secretary. 

  1960.54                      NO       This section gives general guidance 
                                        for top management to receive safety 
                                        and health training but the training 
                                        may not apply the same for all 
                                        agencies. 


  1960.55(a)              YES           This element requires agencies to 
                                        train all supervisory employees on 
                                        the Act, E.O. 12196, the agency 
                                        safety and health program, etc. 

  1960.55(b)                   NO       This element gives general guidance on 
                                        training materials and may not apply 
                                        the same for all agencies. 

  1960.56(a)              YES           This element gives specific directions 
                                        for training agency safety and health 
                                        specialists. 

  1960.56(b)                   NO       This section gives general guidance on 
                                        developing career development programs 
                                        for safety and health specialists and 
                                        may not apply the same for all 
                                        agencies. 

  1960.57                 YES           This section directs agencies to train 
                                        safety and health inspectors. 

  1960.58                 YES           This section directs agencies to train 
                                        collateral duty safety and health 
                                        personnel and committee members. 

  1960.59(a-b)            YES           This section directs agencies to train 
                                        employees and employee representatives 
                                        in safety and health appropriate to 
                                        the work performed. 

  1960.60(a-d)                 NO       This section gives general guidance 
                                        for obtaining training assistance 
                                        and may not apply the same for all 
                                        agencies. 

  1960.66(a-g)                 NO       This section describes the purpose and 
                                        scope of recordkeeping. 

  1960.67(a-c)            YES           This section directs all agencies to 
                                        maintain a record or log of 
                                        occupational injuries and illnesses. 

                                  XIII-A-6 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.68                 YES           This section directs all agencies to 
                                        maintain a supplementary record of 
                                        occupational injuries and illnesses. 

  1960.69(a)              YES           This element directs all agencies to 
                                        compile an annual summary of Federal 
                                        occupational injuries and illnesses. 

  1960.69(b)                   NO       This element allows the last page of 
                                        the record or log to be posted as the 
                                        annual summery. 

  1960.69(c)                   NO       This element requires the agency to 
                                        furnish to the Department of Labor a 
                                        copy of the summary when requested. 

  1960.70(a-c)            YES           This section gives directions to all 
                                        agencies when to report serious 
                                        accidents to OSHA. 

  1960.71(a)                   NO       This element gives general guidance 
                                        to agencies to determine which 
                                        records and reports should be 
                                        maintained and made available to 
                                        safety and health inspectors. 

  1960.71(b)              YES           This element directs the agency to 
                                        have a copy of the injury and illness 
                                        log and supplementary records at each 
                                        establishment. 

  1960.71(c)                   NO       This section gives general guidance 
                                        where records may be maintained under 
                                        special circumstances. 

  1960.71(d)              YES           This element directs all agencies 
                                        where and when to post the annual 
                                        summary. 

  1960.71(e)              YES           This element directs agencies to 
                                        ensure safety and health committees, 
                                        employees, former employees and 
                                        employee representatives have access 
                                        to the records and reports. 

  1960.72                 YES           This section directs all agencies to 
                                        make their records available to the 
                                        Secretary of Labor. 

  1960.73                 YES           This section directs all agencies to 
                                        retain records and reports for 5 
                                        years. 

                                  XIII-A-7 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

  1960.74(a-b)                 NO       This section provides the detail 
                                        needed in the annual report to the 
                                        Secretary of the agency's occupational 
                                        safety and health program. 

  1960.78(a-c)                 NO       This section gives the purpose and 
                                        scope for evaluating agency safety 
                                        and health programs. 

  1960.79(a-b)                 NO       This section requires each agency to 
                                        develop and implement their own 
                                        program of self-evaluation. 

  1960.80(a-g)                 NO       This section gives specific 
                                        instructions to the Secretary of Labor 
                                        regarding evaluations of agencies 
                                        safety and health programs. 

  1960.84(a-b)                 NO       This section describes the purpose of 
                                        Field Federal Safety and Health 
                                        Councils (Field Councils). 

  1960.85(a-b)                 NO       This section describes the role of the 
                                        Secretary with Field Councils. 

  1960.86(a-d)                 NO       This section describes how to 
                                        establish a Field Council. 

  1960.87(a-g)                 NO       This section describes the objectives 
                                        of a Field Council. 

  1960.88(a-h)                 NO       These elements give general guidance 
                                        on membership and participation and 
                                        may not apply the same for all Field 
                                        Councils. 

  1960.89(a-d)                 NO       This section describes the 
                                        organization of a Field Council. 

  1960.90(a-d)                 NO       This section describes the general 
                                        operating procedures for Field 
                                        Councils. 

         Office of Federal Agency Programs  (revised January 18, 1994) 

                                  XIII-A-8 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

                            INDEX 


AVD (Alleged Violation Description). . . . . . . . . . . . .V-17 
Abatement 
     Action. . . . . . . . . . . . . . . . . . . . . . . .III-64 
     Assistance. . . . . . . . . . . . . . . . .I-11, III-67, 81 
     Considerations. . . . . . . . . . . . . . . . . . . .III-74 
     Effect of Contest . . . . . . . . . . . . . . . . . .III-69 
     Feasible. . . . . . . . . . . . . . . . . . . .III-69 to 71 
     Interim . . . . . . . . . . . . . . . . . . . . . . .III-74 
     Long Term . . . . . . . . . . . . . . . . . . . . . .III-74 
     Multistep . . . . . . . . . . . . . . . . . . . . . .III-73 
     PMA (see Petition to Modify Abatement Date) 
     Partial . . . . . . . . . . . . . . . . . . . . . . . VI-13 
     Period. . . . . . . . . . . . . . . . . . . . .III-67 to 69 
     Plan. . . . . . . . . . . . . . . . . . . . III-72, XIII-27 
     Verification of . . . . . . . . . . . . . . III-68, XIII-27 
Abatement Date 
     Long-Term . . . . . . . . . . . . . . . . . . . . . .III-72 
     Multiple  . . . . . . . . . . . . . . . . . . . . . . .II-6 
     Reasonable  . . . . . . . . . . . . . . . . . . . . .III-67 
Access to 
     BLS Survey Questionnaire (OSHA-200S). . . . . . . . .III-41 
     Classified Areas. . . . . . . . . . . . . . . . . . .III-40 
     Defense Plants. . . . . . . . . . . . . . . . . . . . III-5 
     Medical and Exposure Records (see Records, 
     see also OSHA pamphlet OSHA 3110). . .III- 14, 33, 41, IV-3 
     Records . . . . . . . . . . . . . . . .III-52, VI-18, XII-2 
     Safety & Health Program . . . . . . . . . . III-45, III-A-4 
Accident (see Fatality/Catastrophe under Inspections) 
Action Plans 
     Guidelines for. . . . . . . . . . . . . . . . . . .XIII-A-1 
Additions/Deletions 
     Establishment Lists . . . . . . . . . . . . . . . II-14, 22 
     Inspection Cycle. . . . . . . . . . . . . . . . . . . II-30 
Addresses 
     Contractor. . . . . . . . . . . . . . . . . . . . . . XII-6 
Adjustment Factors . . . . . . . . . . . . . . . . . . . . .VI-9 
Administrative 
     Controls (see also Feasible). . . . . . . . . . .III-53, 69 
     Subpoena. . . . . . . . . . . . . . . . . . III-12, XIII-13 

                               Index-1 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Administrative Costs 
     Debts . . . . . . . . . . . . . . . . . . . . . . . . VI-26 
Administrative Law Judge (ALJ) . . . . . . . . . . . . . . VI-24 
Advance Notice . . . . . . . . . . . . . . . III-6, VII-3, XII-2 
Affected Employee (see Employee) 
Affirmative Defenses . . . . . . . . . . . . . . . . . . . . V-7 
     Greater Hazard. . . . . . . . . . . . . . . . . . . . . V-8 
     Impossibility . . . . . . . . . . . . . . . . . . . . . V-8 
     Unpreventable Employee Misconduct (Isolated Event). . . V-7 
Agency Technical Assistance Requests (ATARs) . . . . . . XIII-22 
Agreements (see Settlements) 
Air Contaminant Standards. . . . . . . . . . . . . . . . . IV-37 
Alleged Violation Description (AVD). . . . . . . . . . . . .V-17 
Alleging 
     Imminent Danger (in Complaints) . . . . . . . . . . . .IX-8 
     Violations (in Complaints). . . . . . . . . . . . . . .IX-6 
Alternative 
     Housing . . . . . . . . . . . . . . . . . . . . . . . .XI-6 
     Means of Employee Protection. . . . . . . . . . . . V-8, 10 
     Monitoring Schedule . . . . . . . . . . . . . . . . . .II-7 
     Scheduling. . . . . . . . . . . . . . . . . . . . . . II-31 
     Standards . . . . . . . . . . . . . . . . . .IV-12, 14, V-3 
Amending (see also Settlements and Withdrawals) 
     Citation (also see Informal Conference) . . . . . . . .V-10 
Apparent Violation . . . . . . . . . . . . . . . . . . . .III-40 
Area Directors 
     Administration of Inspection List . . . . . . . . . . II-24 
     Pre-Citation Review of 5(a)(1). . . . . . . . . . . . IV-15 
     Responsibilities 
     . . . . . I-2, IV-27, 31, 32, VI-20, VII-1, VIII-2, XIII-25 
     Settlements . . . . . . . . . . . . . . . . . . . . . .V-12 
Area Office Supervisors 
     Responsibilities. . . . . . . . . . . . . . . . . . . . I-4 
Assessment 
     Procedures. . . . . . . . . . . . . . . . . . . . . . VI-26 
Audiotape (see also CPL 2.98). . . . . . . . . . . . . . .III-40 
Authorized Representative (see Employee, Employer, and 
     Representative) 
Bankrupt/Out of Business . . . . . . . . . . . . . . . . .III-19 
Biological Monitoring. . . . . . . . . . . . . . . . . . . IV-41 
Catastrophe. . . . . . . . . . . . . . . .III-21, VIII-1, XIII-6 
Certification 
     Form for Contested Cases. . . . . . . . . . . . . . . .XV-2 
Certified Committee. . . . . . . . . . . . . . . . . . . .XIII-9 
Choice of Standards. . . . . . . . . . . . . . . . . . . . .XI-1 

                                Index-2 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Citable Program Elements . . . . . . . . . . . .XIII-3, XIII-A-1 
Citation 
     5(a)(1) (see General Duty) 
     Amending. . . . . . . . . . . . . . . . . . . . . . . .V-10 
     Construction. . . . . . . . . . . . . . . . . . . . . XII-6 
     Contesting (see also Notice under Contest). . . . . .III-62 
     Imminent Danger . . . . . . . . . . . . . . . . . . . VII-7 
     Issuing . . . . . . . . . . . . . . . . .III-60, V-9, IX-11 
     Mailing . . . . . . . . . . . . . . . . . . . . . . . XII-6 
     Not Warranted . . . . . . . . . . . . . . . . . . . . IX-11 
     Posting . . . . . . . . . . . . . . . . . . . III-60, XII-6 
     Six Month Limitation. . . . . . . . . . . . . . . . . . V-2 
     Violation-By-Violation (Egregious). . . . . . . . . V-6, 10 
     Violation Types (see Violations) 
     Withdrawing . . . . . . . . . . . . . . . . . . . . . .V-10 
     Writing . . . . . . . . . . . . . . . . . . . . . . . . V-2 
Classification 
     Air Contaminant . . . . . . . . . . . . . . . . . . . IV-37 
Classified Areas . . . . . . . . . . . . . . . . . . . . .III-40 
Classified Information/Trade Secrets . . . . . III-6, 30, 39, 57 
Clearance (see Security Clearance) 
Closing Conference . . . . . . . . . . III-58, III-A-5, XII-4, 6 
Collecting Samples . . . . . . . . . . . . . . . . . .III-53, 88 
Combining Violations . . . . . . . . . . . . . . .V-3 to 5, VI-7 
Complaints 
     CASPA (Complaint About State Program Administration).XIV-11 
     Checklist . . . . . . . . . . . . . . . . . . . . . . .IX-7 
     Compulsory Process. . . . . . . . . . . . . . . . . .III-15 
     Construction. . . . . . . . . . . . . . . . . . . . . XII-4 
     Consultation. . . . . . . . . . . . . . . . . . . . .III-27 
     Discrimination. . . . . . . . . . . . . . . . . . . IX-4, X 
     Employee, Right of. . . . . . . . . . . . . . . . . .III-55 
     Expanded Scope of Inspection. . . . . . . . . . . . . IX-10 
     Federal Agencies. . . . . . . . . . . . . . . . . . .XIII-7 
     Formal. . . . . . . . . . . . . . . . . . . . . . . IX-2, 8 
     Imminent Danger Alleged . . . . . . . . . . . . . . . .IX-8 
     Investigations. . . . . . . . . . . . . . . . . . . .III-22 
     Letters . . . . . . . . . . . . . . . . . . . . . . . .IX-9 
     Nonemployee (see Nonformal) 
     Nonformal . . . . . . . . . . . . . . . . . . . . . IX-3, 9 
     Oral. . . . . . . . . . . . . . . . . . . . . . . . .XIII-8 
     Response. . . . . . . . . . . . . . . . . . . . . . . .IX-6 

                               Index-3 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Temporary Labor Camps . . . . . . . . . . . . . . . . .XI-3 
     Workplace . . . . . . . . . . . . . . . . . . . . . . .IX-1 
Compliance Safety and Health Officer (CSHO) 
     Comply with Employer Rules. . . . . . . . . . . . .III-3, 4 
     Equipment . . . . . . . . . . . . . . . . . . . . . . III-2 
     Personal Security Clearance . . . . . . . . . . . . . III-4 
     Planning. . . . . . . . . . . . . . . . . . . . . . . III-1 
     Responsibilities. . . . . . . . . . . . . I-5, III-1, XII-1 
     Subpoena Served on. . . . . . . . . . . . . . . . . . . I-6 
     Testifying. . . . . . . . . . . . . . . . . . . . . . . I-6 
Comprehensive (see Inspections/Investigations) 
Compulsory Process . . . . . . . . . . . . . . . . III-2, 13, 17 
Conference 
     Closing . . . . . . . . . . . . . III-58, III-A-5, XII-4, 6 
     Informal. . . . . . . . . . . . . . . . III-61, 82, XIII-26 
     Opening . . . . . . . . . . . . . III-21, 23, VIII-3, XII-3 
     Telephone . . . . . . . . . . . . . . . . . . . . . .III-82 
Confidential (see also Trade 
     Secrets). . . . . .I-6, III-5, 30, 56, VIII-5, IX-1, 4, XIV 
Consensus Standards. . . . . . . . . . . . . . . . . . . . IV-32 
Construction (see Chapter XII generally) 
     Closing Conference. . . . . . . . . . . . . . . . .XII-4, 6 
     Department of Energy (DOE). . . . . . . . . . . . . .III-38 
     Exemptions and Limitations. . . . . . . . . . . . . . II-35 
     Repeated Violations . . . . . . . . . . . . . . . . . IV-29 
     Scheduling. . . . . . . . . . . . . . . . . . . . . . II-20 
Consultation (see also TED 3.5) 
     Contract Consultations and 7(c)(1). . . . . . . . . .III-25 
     Exemption from Inspection . . . . . . . . . . . . . .III-26 
     Pre-Citation. . . . . . . . . . . . . . . . . . . . . . V-1 
     Services, State Funded. . . . . . . . . . . . . . . .III-66 
     Voluntary Compliance Programs . . . . . . . . .I-11, III-25 
     Voluntary Protection Programs . . . . . . .I-11, III-28, 67 
Contest. . . . . . . . . . . . . . . . . . . . . . . . . . VI-12 
     Notice of . . . . . . . . . . . . . . . .II-7, III-62, XV-1 
     Parties Served. . . . . . . . . . . . . . . . . . . . .XV-5 
     Procedures. . . . . . . . . . . . . . . . . . . . . . .XV-1 
           Process . . . . . . . . . . . . . . . . . . . .III-63 
Controlling Employer (Re: Multi-employer Worksites). . . . . V-9 
Controls (Administrative and Engineering). . . . . . . . .III-52 
Corporate-Wide Settlements (see also CPL 2.90) . .II-7, V-13, 18 
Correcting Employer (Re: Multi-employer Worksite). . . . . . V-9 

                               Index-4 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Correspondence 
     CSHO. . . . . . . . . . . . . . . . . . . . . . . . . . I-7 
     Public, with. . . . . . . . . . . . . . . . . . . . . . I-7 
Court Orders . . . . . . . . . . . . . . . . .III-17, VII-6 to 8 
Credentials 
     Presentation of . . . . . . . . . . . . . . . . . . .III-10 
Creating Employer (Re: Multi-employer Worksite). . . . . . . V-9 
Credit Reporting Bureau. . . . . . . . . . . . . . . . . . VI-29 
Criminal . . . . . . . . . . . . . . . . . . . . . . . . .VIII-6 
Criminal (Willful) . . . . . . . . . . . . . . . . . . . . IV-25 
DCAT (Debt Collection Accountability Team) . . . . . . . . VI-28 
Dates 
     Abatement (see Abatement Date) 
     Final Order . . . . . . . . . . . . . . . . . . . . . VI-24 
     Payment . . . . . . . . . . . . . . . . . . . . . . . VI-21 
Death (see Fatality) 
Debt Collection 
     Agency. . . . . . . . . . . . . . . . . . . . . . . . VI-29 
     Policy. . . . . . . . . . . . . . . . . . . . . . . . VI-23 
     Procedures. . . . . . . . . . . . . . . . . . . . . . VI-23 
Decisions 
     Informal Conference . . . . . . . . . . . . . . . . .III-84 
     Review Commission (OSHRC) . . . . . . . . . . . . . . VI-24 
Definitions 
     Administrative Defenses . . . . . . . . . . . . . . . . V-7 
     Catastrophe . . . . . . . . . . . . . . . . . . . . .VIII-1 
     Citable Program Elements. . . . . . . . . . . . . . .XIII-3 
     Combining . . . . . . . . . . . . . . . . . . . . . . . V-3 
     Complaint . . . . . . . . . . . . . . . . . . . . . . .IX-1 
     Construction Work . . . . . . . . . . . . . . . . . . XII-1 
     Delinquent Debt . . . . . . . . . . . . . . . . . . . VI-25 
     Employee. . . . . . . . . . . . . . . . . . . . IV-16, IX-2 
     Establishment . . . . . . . . . . . . . . . . . . . .XIII-3 
     Establishment Official. . . . . . . . . . . . . . . .XIII-4 
     Fatality. . . . . . . . . . . . . . . . . . . . . . .VIII-1 
     Formal Complaint. . . . . . . . . . . . . . . . . . . .IX-2 
     Grouping. . . . . . . . . . . . . . . . . . . . . . . . V-4 
     Horizontal & Vertical Standards . . . . . . . . . . . .IV-1 
     Hospitalization . . . . . . . . . . . . . . . . . . .VIII-1 
     Imminent. . . . . . . . . . . . . . . . . . . . . . . VII-1 
     Migrant Housing Facility. . . . . . . . . . . . . . . .XI-1 
     New Construction (re: Temporary Labor Camps). . . . . .XI-1 
     Nonformal Complaint . . . . . . . . . . . . . . . . . .IX-3 

                               Index-5 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Referrals . . . . . . . . . . . . . . . . . . . . . . IX-12 
     Reporting Fatalities/Catastrophes . . . . . . . . . .VIII-1 
     Representative of Employee. . . . . . . . . . . . . . .IX-2 
     Temporary Labor Camps . . . . . . . . . . . . . . . . .XI-1 
     Worksite. . . . . . . . . . . . . . . . . . . . . . . XII-2 
Delay in Issuing Citation (see Issuing under Citation) 
Delinquent 
     Charge. . . . . . . . . . . . . . . . . . . . . . . . VI-26 
     Debt. . . . . . . . . . . . . . . . . . . . . . . . . VI-25 
Demand Letters (in Debt Collection). . . . . . . . . . . . VI-25 
De Minimis Violations. . . . . . . . . . . . . . . III-66, IV-31 
Denial of Entry. . . . . . . . . . . .III-11, 18, VII-4, XIII-13 
Department of Energy (DOE) . . . . . . . . . . . . . . III-4, 38 
Designee for State Plan States (see STP 2.22A) 
Diary (Inspection Case File Activity). . . . . . . . . .III-A-25 
Disclaimers. . . . . . . . . . . . . . . . . . . . . . . .III-81 
Disclosure (see also Nondisclosable Information) . . . . . XIV-1 
Discrimination 
     Employee. . . . . . . . . . . . . . . . . . . . . . .III-65 
     OSH Act 11(c) . . . . . . . . . . . . . . . . . . . . . X-1 
Disposition of Files (see Retention) 
Documentation 
     Administrative Defenses . . . . . . . . . . . . . . . . V-8 
     Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-5 
     Exposure. . . . . . . . . . . . . . . . . . . . . . . IV-17 
     Migrant Housing Inspections . . . . . . . . . . . . . .XI-4 
     Proper Case File. . . . . . . . . . . . . . . . . . .III-87 
Economic Feasibility (see also Feasible) . . . . . . . . .III-71 
Egregious Penalty (Violation-by-Violation) . . . . . . . V-6, 10 
Emergency Procedures (Employer's Program). . . . . . . . .III-52 
Emergency Situations . . . . . . . . . . . . . . . . . . .VIII-9 
Emphasis Programs 
     Experimental (Pilot). . . . . . . . . . . . . . . II-31, 32 
     Local . . . . . . . . . . . . . . . . . . II-24, 25, 30, 31 
     National. . . . . . . . . . . . . . . . . . . . . . . II-31 
     Special . . . . . . . . . . . . . . . . . II-10, 31, XIII-6 
Employee 
     Affected. . . . . . . . . . . . . . . . . . . . . . . .IV-6 
     Complaints. . . . . . . . . . . . . . . . . . . . . . . .IX 
     Definition. . . . . . . . . . . . . . . . . . . . . . IV-16 
     Discrimination. . . . . . . . . . . . . . . . . . . .III-65 
     Exposure. . . . . . . . . . . . . . . . . . . . . . . IV-16 
     Interview . . . . . . . . . . . . . . . . . . III-55, XII-5 

                               Index-6 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Misconduct (Isolated Event Defense) . . . . . . . . . . V-7 
     Objection to PMA. . . . . . . . . . . . . . . . . . .III-80 
     Other Employer, of. . . . . . . . . . . . . . . . . .III-24 
     Refusal to Comply . . . . . . . . . . . . . . . . . . . V-7 
     Representative. . . . . . . . . . . III-36, XII-3, 4, XIV-8 
     Responsibilities. . . . . . . . . . . . . . . . . . . . V-6 
     Rights (see also Walkaround). . . . . . . . . .III-55, IX-4 
Employer 
     Abatement Assistance. . . . . . . . . . . . . . .III-67, 81 
     Advance Notice. . . . . . . . . . . . . . . . . . . . III-6 
     Affirmative Defenses. . . . . . . . . . . . . . . . . . V-7 
     Bankrupt/Out of Business. . . . . . . . . . . . . . .III-19 
     Compliance Program. . . . . . . . . . . . . . . . . .III-52 
     Contacts. . . . . . . . . . . . . . . . . . . . . . . .II-3 
     Contest . . . . . . . . . . . . . . . . . . . . . . . VI-12 
     Control of Hazard . . . . . . . . . . . . . . . . . . .IV-6 
     Controlling (Re: Multi-employer Worksite) . . . . . . . V-9 
     Correcting (Re: Multi-employer Worksite). . . . . . . . V-9 
     Creating (Re: Multi-employer Worksite). . . . . . . . . V-9 
     Exposing (Re: Multi-employer Worksite). . . . . . . . . V-9 
     Good Faith. . . . . . . . . . . . . . . . . . . . VI-10, 14 
     History . . . . . . . . . . . . . . . . . . . . . . . VI-11 
     Interference. . . . . . . . . . . . . . . . . . .III-12, 18 
     Multifacility . . . . . . . . . . . . . . . . . . . . IV-29 
     Recognition . . . . . . . . . . . . . . . . . . . . . .IV-9 
     Refusal of Entry. . . . . . . . .III-11, 18, VII-4, XIII-13 
     Representative. . . . . . . . . . . . .III-36, XII-4, XIV-8 
     Resistance. . . . . . . . . . . . . . . . . . . . . . III-5 
     Response to Complaints. . . . . . . . . . . . . . . . .IX-9 
     Responsibilities. . . . . . . . . . . . . . . . . . . . V-6 
     Rules . . . . . . . . . . . . . . . . . . . . . . . . III-3 
     Size. . . . . . . . . . . . . . . . . . . . . . . . . .VI-9 
Engineering Controls . . . . . . . . . . . . . . . . .III-52, 69 
Entry, refusal of. . . . . . . . . . . . . . . .III-9, 11, XII-3 
Equipment 
     Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-3 
     Inspection. . . . . . . . . . . . . . . . . . . . . . III-2 
     Personal Protective 
     . . . III-52, 73 to 76, IV-14, 16, 34, 37 to 40, VI-5, IX-7 
     Respirators (see Respirator) 
Establishment Lists. . . . . . . . . . . . . . . . . . II-12, 13 
Exempt from Disclosure . . . . . . . . . . . . . . . . . . XIV-7 
Exemption from Inspection. . . . . . . . . . . . . . . . .III-26 
Expert Assistance. . . . . . . . . . . . . . . . . III-3, VIII-8 

                               Index-7 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Exposing Employer (Re: Multi-employer) . . . . . . . . . . . V-9 
Exposure . . . . . . . . . . . . . . . . . . . . . . . . . IV-16 
FOIA (Freedom of Information Act). . . . . . . . . . VIII-5, XIV 
Failure to Abate (see Penalty and Violations) 
False Information. . . . . . . . . . . . . . . . . . . . .III-65 
Family 
     FOIA. . . . . . . . . . . . . . . . . . . . . . . . .XIV-12 
     Victims . . . . . . . . . . . . . . . . . . . . . . .VIII-4 
Fatality/Catastrophe . . . . . . . . . . .III-21, VIII-1, XIII-6 
     Definition. . . . . . . . . . . . . . . . . . . . . .III-15 
     Disclosure. . . . . . . . . . . . . . . . . . . . . . XIV-9 
     Flash Reports (Refer to CPL 2.97) . . . . . . . . . .VIII-6 
     Reports (Federal Agencies). . . . . . . . . . . . . .XIII-6 
Feasible 
     Controls. . . . . . . . . . . . . . . . . . . . . . .III-69 
     Correction of Hazard. . . . . . . . . . . . . . . . . IV-10 
     Economic. . . . . . . . . . . . . . . . . . . . . . .III-71 
     Work Practices. . . . . . . . . . . . . . . . . . . .III-69 
Federal Agencies (Construction). . . . . . . . . . . . . . XII-4 
Federal Agency Programs. . . . . . . . . . . . . . . . . . .XIII 
Federal Marshal Assistance . . . . . . . . . . . . . . . .III-18 
Field Sanitation (see also CPL 2-2.42) . . . . . . . . . . . .XI 
Final Order. . . . . . . . . . . . . . . . . . . . . II-7, VI-24 
First Sighting of Alleged Violation (see also Apparent under 
     Violations) . . . . . . . . . . . . . . . . . . . . .III-40 
Follow-up. . . . . . . . II-5, III-8, 16, 22, 64, 86, V-9, VII-8 
Formal 
     Complaints. . . . . . . . . . . . . . . . . . . . . IX-2, 8 
     Settlements . . . . . . . . . . . . . . . . . . . . .V-16.1 
Forms/Pamphlets 
     OSHA-1 (Inspection Report). . . . . . . . . . . . . . XIV-2 
     OSHA-1A (Narrative) . . . . . . . . . III-A-11, XIV-2, 6, 8 
     OSHA-1B or 1BIH (Worksheets). . . . . . . . . . . .XIV-3, 8 
     OSHA-2 (Citation & Notification of Penalty) . XIV-1,3, XV-3 
     OSHA-2B (Notification of Failure to Abate Alleged 
     Violations) . . . . . . . . . . . . . . . . .XIV-1, 3, XV-3 
     OSHA-2H (Hazard Correction List/Notice of Unsafe or 
Unhealthful Working 
          Conditions). . . . . . . . . . . . . . .XIII-23, XIV-3 
     OSHA-7 (Notice of Alleged Safety or Health 
     Hazards) . . . . . . . . . . . . .IX-2, 4 to 6, XIV-3, 6, 9 
     OSHA-8 (Notice of Alleged Imminent 
     Danger). . . . . . . . . . . . . . . III-A-13, VII-7, XIV-4 
     OSHA-36/36F (Fatality/Catastrophe Report) . . . . .XIV-4, 9 
     OSHA-82/82S (Report of Filing of Complaint Under 11(c)) .IX 
     OSHA-89 (Photo Mounting Worksheet). . . .III-A-17, XIV-4, 7 
     OSHA-90 (Referral Report) . . . . . . . . . . . . .XIV-4, 9 
     OSHA-91A (Air Sampling Worksheet) . . . . . . .XIV-4, 7, 10 

                               Index-8 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     OSHA-91B (Air Sampling Report). . . . . . . . . . . . XIV-4 
     OSHA-92 (Noise Survey Report) . . . . . . . . . . XIV-4, 10 
     OSHA-93 (Direct Reading Report) . . . . . . . .XIV-5, 7, 10 
     OSHA-94 (Note Taking Sheet) . . . . . . . . . . . .III-A-21 
     OSHA-98 (Screening Report). . . . . . . . . . . . . . XIV-5 
     OSHA-99 (Octave Band Analysis & Impact Noise) . . XIV-5, 10 
     OSHA-101/101S (Supplementary Record of Occupational Injuries 
     & Illnesses). . . . . . . . . . . . . . . . . . . . . VI-17 
     OSHA-146 (Field Operations Program Plan). . . II-16, 27, 28 
     OSHA-166 (Citation Record Update) . . . . . . . . . . XIV-5 
     OSHA-167C (Complaint Record Update) . . . . . . . XIV-5, 10 
     OSHA-167I (Investigation Record Update) . . . . . . . XIV-5 
     OSHA-170 (Investigation Summary). . . . . . . . . XIV-5, 11 
     OSHA-200 (Log & Summary of Occupational Injuries & 
     Illnesses)  . . . . . . . . . . . . .III-40, VI-16, XIII-14 
     OSHA-200S (BLS Survey Questionnaire). . . . III-41, XIII-14 
     OSHA-3000 (pamphlet). . . . . . . . . . . . . .III-59, XV-3 
Freedom of Information Act (FOIA). . . . . . . . . . VIII-5, XIV 
Full Service Area Office . . . . . . . . . . . . . . .I-11 to 13 
GOCO (Government-Owned Contractor-Operated). . . . . . . .XIII-2 
General Duty . . . . . . . . . . . . . . . . . . . . .IV-4 to 16 
     Classification. . . . . . . . . . . . . . . . . . . . IV-14 
     Complaint . . . . . . . . . . . . . . . . . . . . . . .IX-1 
     Enforcement . . . . . . . . . . . . . . . . . . . . . IV-15 
     Example ADV . . . . . . . . . . . . . . . . . . . . . .V-23 
     Federal Agency. . . . . . . . . . . . . . . . . . . .XIII-3 
     Limitations . . . . . . . . . . . . . . . . . . . . . IV-12 
     Pre-Citation Review . . . . . . . . . . . . . . . . . IV-15 
     Requirements. . . . . . . . . . . . . . . . . . . .IV-4, 11 
     Use of. . . . . . . . . . . . . . . . . . . . . . . . IV-11 
Good Faith . . . . . . . . . . . . . . . . . . . . . . VI-10, 14 
Gravity (see also Penalty and Violations). . . . . .IV-29, VI-14 
Greater Hazard Defense . . . . . . . . . . . . . . . . . . . V-8 
Grouping Violations. . . . . . . . . . . . . . . .V-3 to 5, VI-7 
Handouts . . . . . . . . . . . . . . . . . . . . . . . . .III-24 
Hazard 
     Absorption. . . . . . . . . . . . . . . . . . . . . . IV-40 
     Definition. . . . . . . . . . . . . . . . . . . . . . .IV-4 
     Ingestion . . . . . . . . . . . . . . . . . . . . . . IV-39 
     Not Covered By Standard . . . . . . . . . . . . . . . IV-16 
     Recognized. . . . . . . . . . . . . . . . . . . . . . .IV-7 
     Serious . . . . . . . . . . . . . . . . . . . . . . . .IV-9 
Hazard Communication . . . . . . . . . . . . . . . . . . . IV-18 

                               Index-9 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Health 
     Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-7 
     Inspections . . . . . . . . . . . . . . III-22, 50, III-A-6 
     Referrals . . . . . . . . . . . . . . . . . . . . . . IX-14 
     Standards (see specific type) 
     Violations. . . . . . . . . . . . . . . . . . . IV-32, VI-4 
Hearings (see also Conferences) 
     CSHO Testifying at. . . . . . . . . . . . . . . . . . . I-6 
     Review Commission . . . . . . . . . . . . . . . . . . . .XV 
History (of Employer). . . . . . . . . . . . . . . . . . . VI-11 
Horizontal Standards . . . . . . . . . . . . . . . . . . . .IV-1 
Housing (Migrant Labor) (see also CPL 2-2.42). . . . . . . . .XI 
IMIS (Integrated Management Information System) 
     (see also ADM 1-1.27, IMIS Standard Form Letter 
     Manual). . . .II-13, III-85, V-2, 16, V-17, VI-22, 27 to 29 
Identity of Complainant. . . . . . . . . . . . . . . . . . IX-11 
Immediate Correction . . . . . . . . . . . . . . . .VI-11, VII-8 
Imminent Danger. . . . . . .III-15, III-A-13, VI-11, VII-1, IX-8 
Immunization . . . . . . . . . . . . . . . . . . . . . III-4, 58 
Impossibility Defense. . . . . . . . . . . . . . . . . . . . V-8 
Industry Rank Report . . . . . . . . . . . . . . . . . . . II-11 
Informal 
     Complaints (see Nonformal Complaints) 
     Conference. . . . . . . . . . . . . . . . . . . .III-61, 82 
     Settlements (see also ADM 1-1.13A, 
     Chapter VIII). . . . . . . . . . . . . . . . . V-12, 14, 18 
Information 
     Classified and Trade Secrets  . . . . . . . . . . . . III-6 
     Disclosable . . . . . . . . . . . . . . . . . . . . . XIV-2 
     Exempt from Disclosure. . . . . . . . . . . . . . . . XIV-7 
     False . . . . . . . . . . . . . . . . . . . . . . . .III-65 
     Nondisclosable. . . . . . . . . . . . . . . . . . . . XIV-5 
     Public Information Policy . . . . . . . . . . . . . . .I-13 
     Release of Inspection Information . . . . . . . . . . . I-6 
     Services. . . . . . . . . . . . . . . . . . . . . . . .I-10 
Inspection 
     Case File Diary . . . . . . . . . . . . . . . . . .III-A-25 
     Cycle . . . . . . . . . . . . . . . . . . . . . . . . II-17 
     List. . . . . . . . . . . . . . . . . . . . . . . . . II-21 
     Register. . . . . . . . . . . . . . . . . . . . . . . II-16 
     Scheduling. . . . . . . . . . . . . . . . . . II-11, 17, 20 
Inspections/Investigations 
     Advance Notice. . . . . . . . . . . . . . . . . . . . III-6 
     Catastrophe . . . . . . . . . . . . .III-21, VIII-1, XIII-6 
     Category. . . . . . . . . . . . . . . . . . . . . . . .II-3 

                               Index-10 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Complaint . . . . . . . . . . . . . . . . . . . . . .III-22 
     Comprehensive (wall-to-wall). . . . . .II-2, III-45, VIII-3 
     Construction. . . . . . . . . . . . . . . . . . . . . . XII 
     Criteria. . . . . . . . . . . . . . . . . . . . . . . .II-2 
     Entry of Workplace. . . . . . . . . . . . . . . . . . III-9 
     Exemption from (Consultation) . . . . . . . . . . . .III-26 
     Fatality. . . . . . . . . . . . . . .III-21, VIII-1, XIII-6 
     Follow-up . . . . . II-5, III-8, 16, 22, 64, 86, V-9, VII-8 
     Health. . . . . . . . . . . . . . . . . . . . . .III-22, 50 
     Imminent Danger . . . . . . . . . . . . . III-15, 21, VII-3 
     Interference. . . . . . . . . . . . . . . . . . . . .III-12 
     Materials and Equipment . . . . . . . . . . . . . . . III-2 
     Monitoring. . . . . . . . . . . . . . .II-7, III-16, 22, 88 
     Partial . . . . . . . . . . . . . . . . . . . . . . . .II-2 
     Planning (see also Scheduling). . . . . . . . . . . . III-1 
     Priorities. . . . . . . . . . . . . . . . . . . . . II-3, 4 
     Programmed. . . . . . . . . . . . . II-1, 9, III-16, 20, 22 
     Referrals (see also Referrals). . . . . . . . .II-9, III-22 
     Refusal of Entry. . . . . . . . .III-11, 18, VII-4, XIII-13 
     Reinspections . . . . . . . . . . . . . . . . . . . . .II-9 
     Release of Information. . . . . . . . . . . . . . . . . I-6 
     Scheduling. . . . . . . . . . . . . . . . . . . . . . . .II 
     Scope 
          Complaint Inspections. . . . . . . . . . . . . . IX-10 
          Discrimination Complaints. . . . . . . . . . . . . X-1 
          Fatality/Catastrophe Inspections . . . . . . . .VIII-3 
          Inspection . . . . . . . . . . II-1, 4, 11, 17, III-23 
     Selection Criteria. . . . . . . . . . . . . . . . . . .II-2 
     Targeting . . . . . . . . . . . . . . . . .II, XI-2, XIII-4 
     Teams (for Fatality/Catastrophe). . . . . . . . . . .VIII-2 
     Temporary Labor Camps (see also CPL 2-2.42) . . . . . . .XI 
     Time of . . . . . . . . . . . . . . . . . . . . . . . III-9 
     Types (see also specific types) . . . . . . . . . . . .II-1 
     Unprogrammed. . . . . . . . . . . . . . . . II-1, 4, III-20 
     Walkaround. . . . . . . . . . . . . . . . . . . . . .III-43 
     Workplace . . . . . . . . . . . . . . . . . . . . . . .IX-4 
Integrated Management Information System (IMIS) (see also 
     ADM 1-1.27, IMIS Standard Form Letter 
     Manual). . . .II-13, III-85, V-2, 16, V-17, VI-22, 27 to 29 
Interference . . . . . . . . . . . . . . . . . . . . . . .III-39 
Interviews . . . . . . . . . . . . . . . . . . . . III-54, XII-5 
     Families of Victims . . . . . . . . . . . . . . . . .VIII-4 
     Privacy . . . . . . . . . . . . . . . . . . . . . . .III-55 
     Statements. . . . . . . . . . . . . . . . . . . . . .III-56 

                               Index-11 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Investigations (see Inspections/Investigations) 
Isolated Event Defense . . . . . . . . . . . . . . . . . . . V-7 
Issuing Citations (see also Citation) 
     Multi-employer Worksites. . . . . . . . . . . . . . . . V-9 
     Special Circumstances . . . . . . . . . . . . . . . . . V-9 
     Violation-By-Violation. . . . . . . . . . . . . . . . .V-10 
Jurisdiction (see also Preemption) 
     Federal Agency. . . . . . . . . . . . . . . . . . . .XIII-1 
Labor Dispute/Strike . . . . . . . . . . . . . . . . .III-20, 38 
Labor/Management Programs. . . . . . . . . . . . . . . . . .I-11 
Laws 
     Freedom of Information Act (FOIA) . . . . . . . . . .VIII-5 
     OSHA's Annual Appropriations 
     Act. . . . . . . . . . . . . .I-12, II-35, III-30, VI-2, 15 
Legal 
     Advice (Fatalities/Catastrophe) . . . . . . . . . . .VIII-9 
     Discrimination Complaints . . . . . . . . . . . . . . . X-1 
     Limitations (per Appropriations 
     Act). . . . . . . . . . . . . I-12, II-35, III-30, VI-2, 15 
     Service . . . . . . . . . . . . . . . . . . . . . . . .XV-5 
     Subpoena (see also Administrative Subpoena) . . . I-6, XV-6 
Legislation 
     Limitations . . . . . . . . . I-12, II-35, III-30, VI-2, 15 
Letters (Demand) . . . . . . . . . . . . . . . . . VI-25, 27, 29 
Liaison 
     Other Agencies. . . . . . . . . . . . . . . . . . . . .XI-2 
Limitations 
     Appropriations Act. . . . . . . . . . . . . . II-35, III-30 
     Statute of (for issuing citations). . . . . . . . . . . V-2 
     Time (see Time) 
Local Emphasis Programs (LEP). . . . . . . . . II-24, 25, 30, 31 
Lockout/Tagout . . . . . . . . . . . . . . . . . . . . . .III-41 
Log & Summary of Occupational Injuries/Illnesses 
     (OSHA-200). . . . . . . . . . . . . . . . . .VI-16, XIII-14 
Longshoring. . . . . . . . . . . . . . . . . . . . . . . . IV-30 
Lost Workday Injury Rate (LWDI Rate) . . . . . . . . .III-30, 34 
Mailing 
     . . .Citation . . . . . . . . . . III-60, III-A-1, 2, XII-7 
     Collecting Monies . . . . . . . . . . . . . . . . . . VI-20 
     Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-4 
     . . .Complaints (11(c)) . . . . . . . . . . . . . . . . X-1 
     Demand letters. . . . . . . . . . . . . . . . VI-25, 27, 29 
     Informal Settlements. . . . . . . . . . . . . . . . . IV-14 
     Notice of Contest . . . . . . . . . . . . . . . . . XV-1, 4 
     PMA . . . . . . . . . . . . . . . . . . . . . .III-76 to 81 

                               Index-12 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Payments/Payment Instruments. . . . . . . . . VI-21, 22, 27 
     Samples . . . . . . . . . . . . . . . . . . . .VII-3, 9, 12 
Maritime 
     Inspection Scheduling . . . . . . . . . .II-4, 10, 25 to 31 
     Repeated Violations . . . . . . . . . . . . . . . . . IV-30 
Media Reports. . . . . . . . . . . . . . . . . . . . . . . IX-15 
Medical 
     Access Orders . . . . . . . . . . . . . . . . . . . .III-41 
     Examinations. . . . . . . . . . . . . . . . . . . . .III-51 
     Records . . . . . . . . . . . . . . . . . . .III-41, XIV-11 
Migrant Labor (see also CPL 2-2.42). . . . . . . . . . . . . .XI 
Modification of Abatement Dates (PMA). III-64, 76, XIII-27, XV-3 
Monitoring 
     Biological. . . . . . . . . . . . . . . . . . . . . . IV-41 
     Employer's Program. . . . . . . . . . . . . . . . . .III-51 
     Inspections . . . . . . . . . . . . . .II-7, III-16, 22, 88 
     State Plan Files. . . . . . . . . . . . . . . . . . .XIV-11 
Multi-Employer 
     Inspection Types. . . . . . . . . . . . . . . . . . . .II-1 
     Policy in Federal Agencies. . . . . . . . . . . . . .XIII-4 
     Worksites . . . . . . . . . . . . . .III-50, IV-29, 30, V-9 
National Emphasis Program. . . . . . . . . . . . . . . . . II-31 
National Institute for Occupational Safety & Health 
     (NIOSH). . . . . . . . . . . .I-10, IV-8, 38, VIII-8, IX-14 
National Office 
     Office of Federal Agency Programs . . . . . . .I-1, XIII-16 
     Office of Field Programs. . . . . . . . . . . . . . . . I-1 
     Office of Management Data Systems (OMDS). . . . VI-27 to 29 
Noise Standard . . . . . . . . . . . . . . . . . . . . . . IV-34 
Nondisclosable Information . . . . . . . . . . . . . . . . XIV-5 
Nonformal Complaints . . . . . . . . . . . . . . . . . . IX-3, 9 
Notice 
     Advance . . . . . . . . . . . . . . . . . . . . . . . III-6 
     Alleged Imminent Danger . . . . . . . . . . . . . . . VII-6 
     Contest . . . . . . . . . . . . . . . . .II-7, III-62, XV-1 
     Delay in Issuing Citation . . . . . . . . . . . . . . IX-11 
Notification of Penalty. . . . . . . . . . . . . . III-62, VI-18 
OSH Act 
     4(b)(1). . . . . . . . . . . . . . . . . . . . . . . III-37 
     5(a)(1) (see General Duty) 
     11(c). . . . . . . . . . . . . . . . . . . . . . . . . . .X 
     17 . . . . . . . . . . . . . . . . . . . . . . ..V-13, VI-1 
     OSHA's Annual Appropriations 
     Act. . . . . . . . . . . . . .I-12, II-35, III-30, VI-2, 15 
Office of Management Data Systems (OMDS) . . . . . . VI-27 to 29 

                               Index-13 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Opening Conference . . . . . . . . . . . . . .III-21, 23, VIII-3 
     Construction. . . . . . . . . . . . . . . . . . . . . XII-3 
Orders 
     Court . . . . . . . . . . . . . . . . . .III-17, VII-6 to 8 
     Date of . . . . . . . . . . . . . . . . . . . . . . . VI-24 
     . . .Final. . . . . . . . . . . . . . . . . . . II-7, VI-24 
     Review Commission . . . . . . . . . . . . . . . . . . . .XV 
Other-Than-Serious Violations. . . . . . . . . . . .IV-24, VI-15 
Out of Business/Bankrupt . . . . . . . . . . . . . . . . .III-19 
Outreach Program Plan. . . . . . . . . . . . . . . . . . . . I-7 
Overexposure 
     Air Contaminants. . . . . . . . . . . . . . . . . . . IV-37 
     Noise . . . . . . . . . . . . . . . . . . . . . . . . IV-34 
     Respirator Selection. . . . . . . . . . . . . . . . . IV-36 
     Ventilation . . . . . . . . . . . . . . . . . . . . . IV-32 
PMA (Petition to Modify Abatement Date)III-64, 76, XIII-27, XV-3 
Penalty. . . . . . . . . . . . . . . . . . . . . . . . . .III-62 
     Access to Records . . . . . . . . . . . . . . . . . . VI-18 
     Additional. . . . . . . . . . . . . . . . . . . . . . VI-12 
     Adjustment Factors 
          Good Faith . . . . . . . . . . . . . . . . . VI-10, 14 
          History. . . . . . . . . . . . . . . . . . . . . VI-11 
          Size . . . . . . . . . . . . . . . . . . . . . . .VI-9 
     Assessment. . . . . . . . . . . . . . . . . . . . . . VI-26 
     Calculation . . . . . . . . . . . . . . . . . . . . . . .VI 
     Civil . . . . . . . . . . . . . . . . . . . . . . . . .VI-1 
     Construction. . . . . . . . . . . . . . . . . . . . . XII-6 
     Contested/Uncontested . . . . . . . . . . . . . . . . VI-23 
     Criminal. . . . . . . . . . . . . . . . . . . . . . . VI-20 
     Debt, as a. . . . . . . . . . . . . . . . . . . . . . VI-26 
     Egregious . . . . . . . . . . . . . . . . . . . . . V-6, 10 
     Factors . . . . . . . . . . . . . . . . . . . . . . . .VI-2 
     Failure to Abate. . . . . III-65, 85, IV-31, VI-11, XIII-27 
     Gravity (see Violations) 
     Immediate Correction. . . . . . . . . . . . . . . . . VI-11 
     Imminent Danger . . . . . . . . . . . . . . . .VI-11, VII-7 
     Increase Factors. . . . . . . . . . . . . . . . . . . VI-14 
     Minimum . . . . . . . . . . . . . . . . . . . . . . . .VI-2 
     Notification. . . . . . . . . . . . . . . . . III-62, VI-18 
     Partially Contested . . . . . . . . . . . . . . . . . VI-23 
     Payment . . . . . . . . . . . . . . . . . . . . VI-20 to 23 
     Policy. . . . . . . . . . . . . . . . . . . . . . . . .VI-1 
     Posting . . . . . . . . . . . . . . . . . . . . . . . VI-16 

                               Index-14 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Recordkeeping/Reporting . . . . . . . . . . . . . . . VI-16 
     Regulatory. . . . . . . . . . . . . . . . . . . . . . VI-15 
     Repeated. . . . . . . . . . . . . . . . . . . . . . . VI-14 
     Table . . . . . . . . . . . . . . . . . . . . . . . . VI-19 
     Uncollectible . . . . . . . . . . . . . . . . . . . . VI-28 
     Willful . . . . . . . . . . . . . . . . . . . . . . . VI-15 
Personal Protective Equipment (see also 
     Respirator). . . . . . .III-52, 73 to 76, IV-76, VI-5, IX-7 
Petition to Modify Abatement Date 
     (PMA). . . . . . . . . . . . . . .III-64, 76, XIII-27, XV-3 
Photograph (see also Videotape). . . . . . . . . .III-30, 54, 57 
Planning (see also Scheduling) 
     CSHO. . . . . . . . . . . . . . . . . . . . . . . . . III-1 
     Preinspection . . . . . . . . . . . . . . . . . . . . III-2 
Policy 
     Advance Notice. . . . . . . . . . . . . . . . . . . . III-6 
     Citation. . . . . . . . . . . . . . . . . . . . . . . IV-33 
     Debt Collection . . . . . . . . . . . . . . . . . . . VI-23 
     Disclosure. . . . . . . . . . . . . . . . . . . . . . XIV-1 
     Employer Abatement Assistance . . . . . . . . . . . .III-81 
     Fatality/Catastrophe Investigations . . . . . . . . .VIII-1 
     Lending . . . . . . . . . . . . . . . . . . . . . . . . I-9 
     Penalty . . . . . . . . . . . . . . . . . . . . . . . .VI-1 
     Programmed Inspections. . . . . . . . . . . . . . . . .II-9 
     Public Information. . . . . . . . . . . . . . I-13, VIII-10 
     Trade Secrets . . . . . . . . . . . . . . . . . . . .III-57 
Post-Contest Settlements (Formal Settlements). . . . . . . .V-17 
Post Inspection Procedures 
     Abatement (see Abatement) 
     Contest (see Contest) 
     Settlements (see Settlements) 
Posting 
     Annual Illness/Injury Log (OSHA-200). . . . . . . . . VI-16 
     Citation. . . . . . . . . . . . . . . .III-60, VI-16, XII-6 
     Requirements. . . . . . . . . . . . . . . III-40, 42, VI-16 
Potential Exposure . . . . . . . . . . . . . . . . . . . . IV-17 
Pre-Citation 
     Consultation. . . . . . . . . . . . . . . . . . . . . . V-1 
     Review. . . . . . . . . . . . . . . . . . . . . . . . IV-15 
Pre-Contest Settlements (see Informal Settlements) 
Preemption . . . . . . . . . . . . . . . . . . . . . . . .III-37 
     Atomic Energy Agencies. . . . . . . . . . . . . . . . .IV-8 
     Consulting regarding. . . . . . . . . . . . . . . . . . V-1 
     Department of Energy (DOE). . . . . . . . . . . . . .III-38 
     Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-7 

                               Index-15 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Federal Agencies. . . . . . . . . . . . . . . . . . .III-37 
     Imminent Danger . . . . . . . . . . . . . . . . . . . VII-4 
Preinspection/Preinvestigation 
     Compulsory Process. . . . . . . . . . . . . . . . . . III-2 
     Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-2 
     Imminent Danger . . . . . . . . . . . . . . . . . . . VII-1 
Preliminary Investigations 
     Fatality/Catastrophe. . . . . . . . . . . . . . . . .VIII-2 
Priorities 
     Follow-up . . . . . . . . . . . . . . . . . . . . . . .II-5 
     Formal Complaints . . . . . . . . . . . . . . . . . . .IX-8 
     Inspection (see Priorities under Inspections/Investigations) 
Probability regarding Violations . . . . . . . . . . .VI-3, 5, 8 
Procedures 
     Advance Notice. . . . . . . . . . . . . . . . . . . . III-8 
     Complaint Inspections . . . . . . . . . . . . . . . . IX-10 
     Disclosure. . . . . . . . . . . . . . . . . . . . . . . XIV 
     Employer Abatement Assistance . . . . . . . . . . . .III-81 
     Informal Conference . . . . . . . . . . . . . . . . .III-82 
     Informal Settlements (see also Settlements and ADM 1-1.13A, 
Chapter VIII). . . . . . . . . . . . . . . . . . . . . . . .V-18 
     Migrant Camp Inspections. . . . . . . . . . . . . . . .XI-2 
     Programmed Inspections. . . . . . . . . . . . . . . . .II-9 
Process 
     Preinspection Compulsory. . . . . . . . . . . III-2, 13, 17 
Programmed Inspections (see also Scheduling)II-1, 9, III-16, 20, 22 
     Addition/Deletion Codes . . . . . . . . . . . . . . . II-14 
     Additions/Deletions . . . . . . . . . . . . . . . . . II-20 
     Carryover 
          Activity Code. . . . . . . . . . . . . . . . . . II-16 
          Construction . . . . . . . . . . . . . . . . . . II-23 
          General Industry . . . . . . . . . . . . . . . . II-16 
     Local Emphasis Programs (LEP) . . . . . . II-24, 25, 30, 31 
     Special Emphasis Programs (SEP) . . . . . . . II-31, XIII-6 
Public 
     Correspondence with . . . . . . . . . . . . . . . . . . I-7 
     Information Policy. . . . . . . . . . . . . . I-13, VIII-10 
Recordkeeping 
     Citation. . . . . . . . . . . . . . . . . . . . . . . IV-18 
     Employer. . . . . . . . . . . . . . . . . . . . . . .III-51 
     Forms (OSHA-101 & -200) . . . . .III-40, VI-16, 17, XIII-14 
     Penalty . . . . . . . . . . . . . . . . . . . . . . . VI-16 
     Requirements. . . . . . . . . . . . . . . . . . . . XIII-14 
     Violation . . . . . . . . . . . . . . . . . . . . . . VI-15 

                               Index-16 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Records 
     Partial Inspection. . . . . . . . . . . . . . . . . .III-40 
     Posting . . . . . . . . . . . . . . . . . . . . .III-40, 42 
     Request of. . . . . . . . . . . . . . . . . . . . . . XIV-2 
     Review. . . . . . . . . . . . . . . . . . .III-30, 40 to 42 
     Verification. . . . . . . . . . . . . . . . . . . . .III-33 
Referrals (see also Inspections/Investigations) 
     Complaints. . . . . . . . . . . . . . . . . . . . . . IX-12 
     Compliance Officer (CSHO) . . . . . . . . . . . . . . IX-12 
     Compulsory Process. . . . . . . . . . . . . . . . . .III-15 
     Consultation. . . . . . . . . . . . . . . . . . . . .III-27 
     Credit Reporting Bureau . . . . . . . . . . . . . . . VI-29 
     Debt Collection Agency. . . . . . . . . . . . . . . . VI-29 
     Federal Agencies. . . . . . . . . . . . . . . . IX-4, IX-14 
     Health. . . . . . . . . . . . . . . . . . . . . . . . IX-14 
     Media Reports . . . . . . . . . . . . . . . . . . . . IX-15 
     Reinspection. . . . . . . . . . . . . . . . . . . . . .II-9 
     Safety. . . . . . . . . . . . . . . . . . . . . . . . IX-14 
     Services. . . . . . . . . . . . . . . . . . . . . . . .I-10 
     Solicitor . . . . . . . . . . . . . . . . . . . . . . VI-29 
     Temporary Labor Camps . . . . . . . . . . . . . . . . .XI-3 
     Types of. . . . . . . . . . . . . . . . . . . . IX-12 to 15 
Refusal of Entry . . . . . . . . . . .III-11, 18, VII-4, XIII-13 
Regional Office Support Services . . . . . . . . . . . . . . I-8 
Reinspection Referrals . . . . . . . . . . . . . . . . . . .II-9 
Release of Inspection Information. . . . . . . . . . . . . . I-6 
Repeated Violations. . . . . . . . . . . . . .IV-28 to 31, VI-14 
Reporting 
     Annual Illness/Injury Log (OSHA-200). . . . . . . . . VI-16 
     Fatality/Catastrophe. . . . . . . . . . . VIII-1, 6, XIII-7 
     Imminent Danger Notice. . . . . . . . . . . . . . . . VII-7 
     OSHA-101. . . . . . . . . . . . . . . . . . . . . . . VI-17 
     OSHA-200. . . . . . . . . . . . . . . . . . . . . . . VI-16 
     Requirements. . . . . . . . . . . . . . . . . . . . . VI-16 
Reports of Reprisal. . . . . . . . . . . . . . . . . . . XIII-12 
Representatives 
     Authorized. . . . . . . . . . . . . . . . . . .XII-4, XIV-8 
     Employee. . . . . . . . . . . . . . III-36, XII-3, 4, XIV-8 
     Employer. . . . . . . . . . . . . . . III-36, XII-4, XIII-4 
     Too Many. . . . . . . . . . . . . . . . . . . . . . . XII-5 
     Walkaround. . . . . . . . . . . . . . . . . . . . . .III-36 
Reprisal (Report of) . . . . . . . . . . . . . . . . . . XIII-12 
Rescue Operations. . . . . . . . . . . . . . . . . . . . .VIII-8 

                               Index-17 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Respirator 
     Equipment for CSHO. . . . . . . . . . . . . . . . .III-3, 4 
     Multistep Abatement . . . . . . . . . . . . . . . . .III-74 
     Protection Factors. . . . . . . . . . . . . . . . . . IV-39 
     Safety and Health Program . . . . . . . . . . .III-40 to 44 
     Standard. . . . . . . . . . . . . . . . . . . . . IV-14, 36 
Retention 
     FOIA Files. . . . . . . . . . . . . . . . . . . . . .XIV-12 
     Inspection Records. . . . . . . . . . . . . . . . . . . I-7 
Review Commission. . . . . . . . . . . . . . . . . . . . . . .XV 
Rights 
     Complainant . . . . . . . . . . . . . . . . . . . . .III-55 
     Employee. . . . . . . . . . . . . . . . . . . .III-55, IX-4 
     Walkaround (see Walkaround) 
SAVEs (Standard Alleged Violation Elements). . . . . . V-3, V-17 
SBA Loans. . . . . . . . . . . . . . . . . . . . . . . . .III-65 
Safety 
     Committee . . . . . . . . . . . . . . . . . . . . . .III-37 
     Complaints. . . . . . . . . . . . . . . . . . . . . . .IX-8 
     Referrals . . . . . . . . . . . . . . . . . . . . . . IX-14 
     Violations. . . . . . . . . . . . . . . . . . . . . . .VI-4 
Safety and Health Programs 
     Evaluation of . . . . . . . . . . . . . . . . . . . III-A-4 
     Occupational Health . . . . . . . . . . . . . . . . III-A-8 
     Violations (Federal Agencies) . . . . . . . . . . . XIII-11 
Samples/Sampling 
     Collecting. . . . . . . . . . . . . . . . . . . .III-53, 88 
     Wipe. . . . . . . . . . . . . . . . . . . . . . . . . IV-40 
Scheduling (Generally see Chapter II) 
     Alternative . . . . . . . . . . . . . . . . . . . . . II-31 
     Construction. . . . . . . . . . . . . . . . . . . . . II-20 
     Imminent Danger . . . . . . . . . . . . . . . . . . . VII-3 
     Maritime. . . . . . . . . . . . . . . . . . .II-4, 25 to 31 
     Monitoring. . . . . . . . . . . . . . . . . . . . . . .II-7 
Section 17 Designation . . . . . . . . . . . . . . . . . . .V-13 
Security Clearance . . . . . . . . . III-4 to 6, 9, 40, XIII-A-2 
Serious Physical 
Harm. . . . . . . . . III-1, 15, IV-4, 9, 12, 18, 21 to 24, V-5, 
     . . . . . . . . . . . . . . . . . . . .VI-3, VII-1, VIII-10 
Serious Violations. . . . . . . . . . . . . . . . . IV-18, VI-15 
Settlements 
     Area Director, by . . . . . . . . . . . . . . . . . . .V-12 
     Corporate-Wide (see CPL 2.90) . . . . . . . .II-7, V-13, 18 
     Egregious (see also CPL 2.80) . . . . . . . . . . . . .VI-8 

                               Index-18 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Formal Settlements. . . . . . . . . . . . . . . . . . .V-17 
     Informal Settlements (see also ADM 1-1.13A, 
     Chapter VIII). . . . . . . . . . . . . . . . . V-12, 14, 18 
Severity . . . . . . . . . . . . . . . . . . . . . . . . VI-3, 7 
Size (factor in penalty calculation) . . . . . . . . . . . .VI-9 
Solicitor 
     Clearance with. . . . . . . . . . . . . . . . . . . . .XV-6 
     Notification of . . . . . . . . . . . . . . . . . . . .XV-4 
     Referrals . . . . . . . . . . . . . . . . . . . . . . VI-29 
Special Emphasis Programs (SEP). . . . . . . . . . II-31, XIII-6 
Standard Alleged Violation Elements (see SAVEs). . . . V-3, V-17 
Standards 
     Alternative . . . . . . . . . . . . . . . . . . .IV-14, V-3 
     Choice of . . . . . . . . . . . . . . . . . . . . . . .XI-1 
     Consensus . . . . . . . . . . . . . . . . . . . . . . IV-32 
     Health (see specific type) 
     Horizontal & Vertical . . . . . . . . . . . . . . . . .IV-1 
     New . . . . . . . . . . . . . . . . . . . . . . . . . IV-16 
     New (Health). . . . . . . . . . . . . . . . . . . . . IV-41 
State Consultation Services (see also Consultation). . . .III-66 
State Plan States (see STP 2.22A). . . . . . . . . . . . .XIV-11 
Statements 
     Interview . . . . . . . . . . . . . . . . . . . . . .III-56 
     Witness . . . . . . . . . . . . . . . . . . . . . . .XIV-11 
Strike/Labor Dispute . . . . . . . . . . . . . . . . .III-20, 38 
Subcontractors . . . . . . . . . . . . . . . . . . . . . . XII-3 
Subpoena 
     Administrative. . . . . . . . . . . . . . . III-12, XIII-13 
     CSHO, served on . . . . . . . . . . . . . . . . . . . . I-6 
Supplementary Record (OSHA-101). . . . . . . . . . . . . . VI-17 
Taperecording (Audio/Video) (see also CPL 2.98). . . . . .III-40 
Targeting (see Inspections/Investigations) . . .II, XI-2, XIII-4 
Teams (for Fatality/Catastrophe Investigation) . . . . . .VIII-2 
Technical 
     Assistance Request (Federal Agencies) . . . . . . . XIII-22 
     Considerations for Imminent Danger. . . . . . . . . . VII-2 
     Services. . . . . . . . . . . . . . . . . . . . . . . .I-12 
Telephone 
     Conference. . . . . . . . . . . . . . . . . . . . . .III-82 
     Fatality/Catastrophe Reporting. . . . . . . . . . . .VIII-6 
Temporary Labor Camps (see also CPL 2-2.42). . . . . . . . . .XI 
Testifying 
     CSHO. . . . . . . . . . . . . . . . . . . . . . . . . . I-6 

                               Index-19 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

Time 
     Allowed for Payment of Penalties. . . . . . . . . . . VI-23 
     Frames for Federal Agency Programs. . . . . . . . . XIII-15 
     Inspection of . . . . . . . . . . . . . . . . . . . . III-9 
     Limitations . . . . . . . . . . . . . . . . . . .IV-30, V-2 
Trade Secrets/Classified Information . . . . . III-6, 30, 39, 57 
Training and Education 
     Programs. . . . . . . . . . . . . . . . . . . . .III-45, 67 
     Services. . . . . . . . . . . . . . . . . . . . . . . . I-9 
Types of 
     Inspections (see also specific types) . . . . . . . . .II-1 
     Referrals (see also Referrals). . . . . . . . . IX-12 to 15 
Unpreventable Employee Misconduct (Isolated Event Defense) . V-7 
Unprogrammed Inspections . . . . . . . . . . . . II-1, 4, III-20 
VPP (Voluntary Protection 
     Program). . . . . . . . .I-11, II-5, 16, 18, 29, III-28, 67 
Variance . . . . . . . . . . . . . . . . . . . . . .III-65, IV-3 
Ventilation Standards. . . . . . . . . . . . . . . . . . . IV-32 
Verification of Abatement. . . . . . . . . . . . . . . . .III-68 
Vertical Standards . . . . . . . . . . . . . . . . . . . . .IV-1 
Victim 
     Family. . . . . . . . . . . . . . . . . . . .VIII-4, XIV-12 
     FOIA. . . . . . . . . . . . . . . . . . . . . . . . .XIV-12 
Videotape (see also Photographs and 
     CPL 2.98). . . . . . . . . . . . . . . . III-30, 40, 54, 57 
Violations 
     Apparent. . . . . . . . . . . . . . . . . . . . . . .III-40 
     Basis of. . . . . . . . . . . . . . . . . . . . . . . .IV-1 
     Criminal/Willful. . . . . . . . . . . . . . . . . . . IV-25 
     De Minimis. . . . . . . . . . . . . . . . . . III-66, IV-31 
     Failure to Abate (see Penalty) 
     Gravity . . . . . . . . . . . . . . . IV-29, VI-2, 6, 8, 14 
     Health. . . . . . . . . . . . . . . . . . . . . IV-32, VI-4 
     Other Laws. . . . . . . . . . . . . . . . . . . .III-50, 58 
     Other-Than-Serious. . . . . . . . . . . . . . .IV-24, VI-15 
     Probability . . . . . . . . . . . . . . . . . . .VI-3, 5, 8 
     Recordkeeping . . . . . . . . . . . . . . . . . . . . VI-15 
     Regulatory. . . . . . . . . . . . . . . . . . . . . . VI-15 
     Repeated. . . . . . . . . . . . . . . . .IV-28 to 31, VI-14 
     Safety. . . . . . . . . . . . . . . . . . . . . . . . .VI-4 
     Safety and Health Programs. . . . . . . . . . . . . XIII-11 
     Section 17 Designation. . . . . . . . . . . . . . . . .V-13 
     Serious . . . . . . . . . . . . . . . . . . . .IV-18, VI-15 
     Severity. . . . . . . . . . . . . . . . . . . . . . VI-3, 7 

                               Index-20 

OSHA Instruction CPL 2.45B CH-4 
December 13, 1993 
Office of General Industry Compliance Assistance 

     Variances . . . . . . . . . . . . . . . . . . . . . . .IV-3 
     Willful . . . . . . . . . . . . . . . . . .IV-24, 30, VI-15 
Violation-By-Violation (Egregious) . . . . . . . . . . . V-6, 10 
Voluntary 
     Abatement Action. . . . . . . . . . . . . . . . . . . .I-12 
     Elimination of Imminent Danger. . . . . . . . . .VII-4 to 6 
     Supplied Documents by Employer. . . . . . . . . . . .III-42 
Voluntary Compliance Programs. . . . . . . . . . . . I-11,III-25 
Voluntary Protection Programs 
     (VPP). . . . . . . . . . I-11, II-5, 16, 18, 29, III-28, 67 
Waiver 
     FOIA Fees . . . . . . . . . . . . . . . . . . . . . .XIV-12 
Walkaround . . . . . . . . . . . . . . .III-39, 43, IX-11, XII-5 
     Representatives . . . . . . . . . . . . . . . . .III-36, 39 
Warrants . . . . . . . . . . . . . . . . . . III-13, 17, XIII-13 
Weather Conditions . . . . . . . . . . . . . . . . . . . . XII-3 
Willful Violations . . . . . . . . . . . . . . .IV-24, 30, VI-15 
Withdrawal 
     Citation. . . . . . . . . . . . . . . . . . . . .V-10 to 12 
     Penalty . . . . . . . . . . . . . . . . . . . . . . . .V-13 
Witness Statements . . . . . . . . . . . . . . . . . . . .XIV-11 
Work Practices (see also Feasible) . . . . . . . . . .III-52, 69 
Worksite 
     Construction. . . . . . . . . . . . . . . . . . . . . XII-2 
     Entry . . . . . . . . . . . . . . . . . . . . . . . . XII-3 
Writing 
     Citations . . . . . . . . . . . . . . . . . . . . . . . V-2 

                               Index-21 


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