ABSTRACT-1

DIRECTIVE NUMBER: CPL 02-00-159 EFFECTIVE DATE: October 1, 2015

SUBJECT: Field Operations Manual (FOM)

ABSTRACT

Purpose: To provide OSHA offices, State Plan programs and federal 

agencies with policy and procedures concerning the enforcement 

of occupational safety and health standards. Also, this instruction 

provides current information and ensures occupational safety and 

health standards are enforced with uniformity. 

Scope: OSHA-wide.

References: Advance Notice of Inspections, 29 Code of C.F.R. §1903.6; Policy 

Regarding Employee Rescue Activities, 29 C.F.R. §1903.14(f); 

Abatement Verification, 29 C.F.R. §1903.19; Reporting Fatalities and 

Multiple Hospitalization Incidents, 29 C.F.R. §1904.39; Housing for 

Agricultural Workers, 20 C.F.R. Part 654, Subpart E; CPL 02-00-153, 

Communicating OSHA Fatality Inspection Procedures to a Victim’s 

Family, April 17, 2012. 

Cancellations: OSHA Instruction CPL 02-00-150, Field Operations Manual, issued 

April 22, 2011; OSHA CPL 02-02-007, CH-1, Removal of Obsolete 

Sections, June 3, 1985.

State Impact: Notice of Intent and Equivalency required. See Section VI.

Action Offices: National, Regional, and Area Offices. 

Originating Office: Directorate of Enforcement Programs (DEP).

Contact: Director, Office of General Industry and Agricultural Enforcement 

U.S. Department of Labor – OSHA

200 Constitution Avenue, N.W., Room N-3119

Washington, DC 20210

202-693-1850

By and Under the Authority of

David Michaels, PhD, MPH

Assistant Secretary
ABSTRACT-2

Executive Summary

This instruction provides current information and guidance to the Occupational Safety and 

Health Administration (OSHA) national, regional, and area offices concerning OSHA’s 

policy and procedures for implementing inspections, issuing citations and proposing 

penalties.

Significant Changes for 2015 Update

 Table of Contents section is revised.

 References section is revised.

 Revised language in Chapter 1 Section VI., referring to State Plan Impact language.

 Added language associated with OSHA Strategic Partnerships (OSPs) in Chapter 2 

Section VI., Programmed Inspections.

 Deleted the bullet for OSHA Strategic Partnerships in Chapter 2 under Section VI., 

Programmed Inspections.

 Deleted language relating to Site Specific Targeting (SST) Program in Chapter 2.

 Added language related to Workplace Violence in Chapter 3 Section II., Inspection 

Planning.

 Added language related to the Occupational Injury and Illness Recording and 

Reporting Requirements – NAICS Update and Reporting Revisions in Chapter 3

Section V.A.6., Chapter 4 Section I.C., Chapter 6 Section X.D., Chapter 11 Section 

II.N.3., and Chapter 13 Section I.D.1.c. 

 Added language related to Safety Incentive Programs in Chapter 3 Section VI., 

Review of Records.

 Revised language relating to Walkaround Representatives in Chapter 3 Section VII., 

Walkaround Inspections.

 Deleted language relating to OSHA Data Initiative (ODI) Data Review in Chapter 3.

 Revised language related to Repeated Violations from three to five years in Chapter 4 

Section VII., Obtaining Inspection History. 

 Revised AVD language for Repeated Violations in Chapter 4 Section VII.G.5.

 Restore the “Reserved” paragraphs in Chapter 4 Section XI., Health Standards 

Violations. 

 Revised OSHA Penalty Policy in Chapter 6 Section III., Penalty Adjustment Factors.

 Revised language to time limitation and final order in Chapter 6 Section III., Penalty 

Adjustment Factors.

 Added new Penalty Comparison Chart in Chapter 6 Section III., Penalty Adjustment 

Factors.

 Deleted language to OSHA Strategic Partnerships in Chapter 6 Section III., Penalty 

Adjustment Factors.

 Revised Debt Collection Section in Chapter 6, Adjustment to Payments.

 Revised Debt Collection Section in Chapter 6, Depositing Payments.

 Added Debt Collection Control Flowchart in Chapter 6, Debt Collection.

 Added language in Chapter 8 Section I., Settlement of Cases by Area Director.
ABSTRACT-3

 Revised Electronic Complaints in Chapter 9, Electronic Complaints Received via the 

OSHA Public Website.

 Added language in Chapter 11 Section II., Families of Victims.

 Deleted language in Chapter 11 Section II., Recording and Tracking for 

Fatality/Catastrophe Investigations.

 Added language in Chapter 11 Section II., Investigation (OSHA-170).

 Added language to the Severe Violator Enforcement Program in Chapter 11 Section 

II., Severe Violator Enforcement Program.

 Deleted language in Chapter 11 Section II., Recording and Tracking for 

Fatality/Catastrophe Investigations.

 Added language in Chapter 13 Section III., Federal Agency Inspection Scheduling.

 Added language in Chapter 13 Section III., Other Whistleblower Protections.

 Added language in Chapter 13 Section VIII., Notice(s) of Unsafe or Unhealthful 

Working Conditions.

 Added new Federal Appeals Process Flow Charts in Chapter 13. 

 Added new Appendices A-C in Chapter 13.

 Added Preemption by Other Agencies in Chapter 17.

 Added web-link to OSHA Instruction, OSHA Authority Over Vessels and Facilities 

on or Adjacent to U.S. Navigable Waters and the Outer Continental Shelf (OCS) in

Chapter 17, Jurisdiction Coverage.

Disclaimer

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

operations of the Occupational Safety and Health Administration (OSHA), and 

is solely for the benefit of the Government. No duties, rights, or benefits, 

substantive or procedural, are created or implied by this manual. The contents 

of this manual are not enforceable by any person or entity against the 

Department of Labor or the United States. Statements which reflect current 

Occupational Safety and Health Review Commission or court precedents do not 

necessarily indicate acquiescence to those precedents.
i

TABLE OF CONTENTS

CHAPTER 1

INTRODUCTION

I. PURPOSE. ..................................................................................................... 1-1

II. SCOPE. .......................................................................................................... 1-1

III. REFERENCES............................................................................................... 1-1

IV. CANCELLATIONS....................................................................................... 1-5

V. ACTION INFORMATION............................................................................ 1-6

A. RESPONSIBLE OFFICE........................................................................................................................1-6

B. ACTION OFFICES ...............................................................................................................................1-6

C. INFORMATION OFFICES.....................................................................................................................1-6

VI. FEDERAL PROGRAM CHANGE – NOTICE OF INTENT AND

EQUIVALENCY REQUIRED....................................................................... 1-6

VII. SIGNIFICANT CHANGES. .......................................................................... 1-6

VIII.BACKGROUND. ........................................................................................... 1-8

IX. DEFINITIONS AND TERMINOLOGY........................................................ 1-8

A. THE ACT ............................................................................................................................................1-8

B. COMPLIANCE SAFETY AND HEALTH OFFICER (CSHO)...................................................................1-8

C. HE/SHE AND HIS/HERS .....................................................................................................................1-8

D. PROFESSIONAL JUDGMENT ...............................................................................................................1-8

E. WORKPLACE AND WORKSITE...........................................................................................................1-9

CHAPTER 2

PROGRAM PLANNING

I. INTRODUCTION.......................................................................................... 2-1

II. AREA OFFICE RESPONSIBILITIES.......................................................... 2-1

A. PROVIDING ASSISTANCE TO SMALL EMPLOYERS............................................................................2-1

B. AREA OFFICE OUTREACH PROGRAM...............................................................................................2-1

C. RESPONDING TO REQUESTS FOR ASSISTANCE.................................................................................2-1

III. OSHA COOPERATIVE PROGRAMS OVERVIEW. .................................. 2-1

A. VOLUNTARY PROTECTION PROGRAMS (VPP).................................................................................2-1

B. ON-SITE CONSULTATION PROGRAM.................................................................................................2-2

C. SAFETY AND HEALTH ACHIEVEMENT RECOGNITION PROGRAM (SHARP)...................................2-2

D. STRATEGIC PARTNERSHIPS...............................................................................................................2-2

E. ALLIANCE PROGRAM........................................................................................................................2-2

IV. ENFORCEMENT PROGRAM SCHEDULING. .......................................... 2-3

A. GENERAL. ..........................................................................................................................................2-3

B. INSPECTION PRIORITY CRITERIA......................................................................................................2-3

C. EFFECT OF CONTEST.........................................................................................................................2-4

D. ENFORCEMENT EXEMPTIONS AND LIMITATIONS.............................................................................2-4
ii

E. PREEMPTION BY ANOTHER FEDERAL AGENCY. ..............................................................................2-5

F. UNITED STATES POSTAL SERVICE....................................................................................................2-5

G. HOME-BASED WORKSITES...............................................................................................................2-6

H. INSPECTION/INVESTIGATION TYPES.................................................................................................2-6

V. UNPROGRAMMED ACTIVITY – HAZARD EVALUATION AND 

INSPECTION SCHEDULING. ..................................................................... 2-7

VI. PROGRAMMED INSPECTIONS................................................................. 2-7

A. SCHEDULING FOR CONSTRUCTION INSPECTIONS.............................................................................2-7

B. SCHEDULING FOR MARITIME INSPECTIONS. ....................................................................................2-7

C. SPECIAL EMPHASIS PROGRAMS (SEPS)...........................................................................................2-8

D. NATIONAL EMPHASIS PROGRAMS (NEPS).......................................................................................2-9

E. LOCAL EMPHASIS PROGRAMS (LEPS) AND REGIONAL EMPHASIS PROGRAMS (REPS). ...............2-9

F. OTHER SPECIAL PROGRAMS.............................................................................................................2-9

G. INSPECTION SCHEDULING AND INTERFACE WITH COOPERATIVE PROGRAM PARTICIPANTS.........2-9

CHAPTER 3

INSPECTION PROCEDURES

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

II. INSPECTION PREPARATION AND PLANNING. ..................................... 3-1

A. REVIEW OF INSPECTION HISTORY....................................................................................................3-1

B. REVIEW OF COOPERATIVE PROGRAM PARTICIPATION....................................................................3-1

C. SAFETY AND HEALTH ISSUES RELATING TO CSHOS......................................................................3-1

D. ADVANCE NOTICE OF AN INSPECTION. ............................................................................................3-3

E. PRE-INSPECTION COMPULSORY PROCESS........................................................................................3-4

F. PERSONAL SECURITY CLEARANCE...................................................................................................3-4

G. EXPERT ASSISTANCE.........................................................................................................................3-4

III. INSPECTION SCOPE................................................................................... 3-4

A. COMPREHENSIVE...............................................................................................................................3-4

B. PARTIAL.............................................................................................................................................3-5

IV. CONDUCT OF INSPECTION....................................................................... 3-5

A. TIME OF INSPECTION.........................................................................................................................3-5

B. PRESENTING CREDENTIALS..............................................................................................................3-5

C. REFUSAL TO PERMIT INSPECTION AND INTERFERENCE...................................................................3-5

D. EMPLOYEE PARTICIPATION...............................................................................................................3-6

E. RELEASE FOR ENTRY........................................................................................................................3-7

F. BANKRUPT OR OUT OF BUSINESS.....................................................................................................3-7

G. EMPLOYEE RESPONSIBILITIES. .........................................................................................................3-7

H. STRIKE OR LABOR DISPUTE..............................................................................................................3-7

I. VARIANCES........................................................................................................................................3-8

V. OPENING CONFERENCE........................................................................... 3-8

A. GENERAL. ..........................................................................................................................................3-8

B. REVIEW OF APPROPRIATION ACT EXEMPTIONS AND LIMITATION. ..............................................3-10

C. REVIEW SCREENING FOR PROCESS SAFETY MANAGEMENT (PSM) COVERAGE..........................3-10

D. REVIEW OF VOLUNTARY COMPLIANCE PROGRAMS......................................................................3-10

E. DISRUPTIVE CONDUCT....................................................................................................................3-11

F. CLASSIFIED AREAS. ........................................................................................................................3-11
iii

VI. REVIEW OF RECORDS............................................................................. 3-11

A. INJURY AND ILLNESS RECORDS......................................................................................................3-11

B. RECORDING CRITERIA.....................................................................................................................3-13

C. RECORDKEEPING DEFICIENCIES. ....................................................................................................3-13

VII. WALKAROUND INSPECTION. ................................................................ 3-14

A. WALKAROUND REPRESENTATIVES................................................................................................3-14

B. EVALUATION OF SAFETY AND HEALTH MANAGEMENT SYSTEM.................................................3-15

C. RECORD ALL FACTS PERTINENT TO A VIOLATION. .......................................................................3-15

D. TESTIFYING IN HEARINGS...............................................................................................................3-15

E. TRADE SECRETS..............................................................................................................................3-15

F. COLLECTING SAMPLES....................................................................................................................3-16

G. PHOTOGRAPHS AND VIDEOTAPES...................................................................................................3-16

H. VIOLATIONS OF OTHER LAWS........................................................................................................3-16

I. INTERVIEWS OF NON-MANAGERIAL EMPLOYEES. ........................................................................3-17

J. MULTI-EMPLOYER WORKSITES.....................................................................................................3-19

K. ADMINISTRATIVE SUBPOENA. ........................................................................................................3-19

L. EMPLOYER ABATEMENT ASSISTANCE...........................................................................................3-19

VIII. CLOSING CONFERENCE. ........................................................................ 3-20

A. PARTICIPANTS.................................................................................................................................3-20

B. DISCUSSION ITEMS..........................................................................................................................3-20

C. ADVICE TO ATTENDEES..................................................................................................................3-21

D. PENALTIES.......................................................................................................................................3-21

E. FEASIBLE ADMINISTRATIVE,WORK PRACTICE AND ENGINEERING CONTROLS..........................3-21

F. REDUCING EMPLOYEE EXPOSURE..................................................................................................3-22

G. ABATEMENT VERIFICATION. ..........................................................................................................3-22

H. EMPLOYEE DISCRIMINATION..........................................................................................................3-23

IX. SPECIAL INSPECTION PROCEDURES................................................... 3-23

A. FOLLOW-UP AND MONITORING INSPECTIONS................................................................................3-23

B. CONSTRUCTION INSPECTIONS.........................................................................................................3-24

C. FEDERAL AGENCY INSPECTIONS....................................................................................................3-25

CHAPTER 4

VIOLATIONS

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

A. STANDARDS AND REGULATIONS......................................................................................................4-1

B. EMPLOYEE EXPOSURE. .....................................................................................................................4-2

C. REGULATORY REQUIREMENTS.........................................................................................................4-4

D. HAZARD COMMUNICATION. .............................................................................................................4-5

E. EMPLOYER/EMPLOYEE RESPONSIBILITIES.......................................................................................4-5

II. SERIOUS VIOLATIONS............................................................................... 4-6

A. SECTION 17(K)...................................................................................................................................4-6

B. ESTABLISHING SERIOUS VIOLATIONS. .............................................................................................4-6

C. FOUR STEPS TO BE DOCUMENTED....................................................................................................4-6

III. GENERAL DUTY REQUIREMENTS.......................................................... 4-9

A. EVALUATION OF GENERAL DUTY REQUIREMENTS.......................................................................4-10

B. ELEMENTS OF A GENERAL DUTY REQUIREMENT VIOLATION. .....................................................4-10
iv

C. USE OF THE GENERAL DUTY CLAUSE............................................................................................4-16

D. LIMITATIONS OF USE OF THE GENERAL DUTY CLAUSE................................................................4-16

E. CLASSIFICATION OF VIOLATIONS CITED UNDER THE GENERAL DUTY CLAUSE..........................4-18

F. PROCEDURES FOR IMPLEMENTATION OF SECTION 5(A)(1) ENFORCEMENT..................................4-18

IV. OTHER-THAN-SERIOUS VIOLATIONS.................................................. 4-18

V. WILLFUL VIOLATIONS. .......................................................................... 4-19

A. INTENTIONAL DISREGARD OF VIOLATIONS. ..................................................................................4-19

B. PLAIN INDIFFERENCE VIOLATIONS.................................................................................................4-19

VI. CRIMINAL/WILLFUL VIOLATIONS. ..................................................... 4-20

A. AREA DIRECTOR COORDINATION...................................................................................................4-20

B. CRITERIA FOR INVESTIGATING POSSIBLE CRIMINAL/WILLFUL VIOLATIONS. .............................4-21

C. WILLFUL VIOLATIONS RELATED TO A FATALITY..........................................................................4-21

VII. REPEATED VIOLATIONS......................................................................... 4-21

A. FEDERAL AND STATE PLAN VIOLATIONS. .....................................................................................4-21

B. IDENTICAL STANDARDS..................................................................................................................4-22

C. DIFFERENT STANDARDS. ................................................................................................................4-22

D. OBTAINING INSPECTION HISTORY..................................................................................................4-22

E. TIME LIMITATIONS..........................................................................................................................4-23

F. REPEATED V. FAILURE TO ABATE..................................................................................................4-23

G. AREA DIRECTOR RESPONSIBILITIES...............................................................................................4-23

VIII. DE MINIMIS CONDITIONS. ..................................................................... 4-24

A. CRITERIA. ........................................................................................................................................4-24

B. PROFESSIONAL JUDGMENT.............................................................................................................4-25

C. AREA DIRECTOR RESPONSIBILITIES...............................................................................................4-25

IX. CITING IN THE ALTERNATIVE.............................................................. 4-25

X. COMBINING AND GROUPING VIOLATIONS. ...................................... 4-25

A. COMBINING. ....................................................................................................................................4-25

B. GROUPING. ......................................................................................................................................4-25

C. WHEN NOT TO GROUP OR COMBINE..............................................................................................4-26

XI. HEALTH STANDARD VIOLATIONS....................................................... 4-26

A. CITATION OF VENTILATION STANDARDS.......................................................................................4-26

B. VIOLATIONS OF THE NOISE STANDARD. ........................................................................................4-27

XII. VIOLATIONS OF THE RESPIRATORY PROTECTION STANDARD 

(§1910.134).................................................................................................... 4-29

XIII. VIOLATIONS OF AIR CONTAMINANT STANDARDS (§1910.1000)..... 4-29

A. REQUIREMENTS UNDER THE STANDARD:.......................................................................................4-29

B. CLASSIFICATION OF VIOLATIONS OF AIR CONTAMINANT STANDARDS.......................................4-29

XIV. CITING IMPROPER PERSONAL HYGIENE PRACTICES. ................... 4-30

A. INGESTION HAZARDS......................................................................................................................4-30

B. ABSORPTION HAZARDS...................................................................................................................4-31

C. WIPE SAMPLING..............................................................................................................................4-31

D. CITATION POLICY............................................................................................................................4-31

XV. BIOLOGICAL MONITORING................................................................... 4-31
v

CHAPTER 5

CASE FILE PREPERATION AND DOCUMENTATION

I. INTRODUCTION.......................................................................................... 5-1

II. INSPECTION CONDUCTED, CITATIONS BEING ISSUED..................... 5-1

A. INSPECTION (OSHA-1). ...............................................................................................................5-1

B. NARRATIVE (OSHA-1A)..............................................................................................................5-1

C. VIOLATION (OSHA-1B)...............................................................................................................5-2

III. INSPECTION CONDUCTED BUT NO CITATIONS ISSUED.................... 5-4

IV. NO INSPECTION.......................................................................................... 5-4

V. HEALTH INSPECTIONS.............................................................................. 5-4

A. DOCUMENT POTENTIAL EXPOSURE..................................................................................................5-4

B. EMPLOYER’S OCCUPATIONAL SAFETY AND HEALTH SYSTEM.......................................................5-4

VI. AFFIRMATIVE DEFENSES......................................................................... 5-5

A. BURDEN OF PROOF............................................................................................................................5-5

B. EXPLANATIONS. ................................................................................................................................5-5

VII. INTERVIEW STATEMENTS. ...................................................................... 5-7

A. GENERALLY.......................................................................................................................................5-7

B. CSHOS SHALL OBTAIN WRITTEN STATEMENTS WHEN:...................................................................5-7

C. LANGUAGE AND WORDING OF STATEMENT....................................................................................5-7

D. REFUSAL TO SIGN STATEMENT........................................................................................................5-7

E. VIDEO AND AUDIOTAPED STATEMENTS..........................................................................................5-7

F. ADMINISTRATIVE DEPOSITIONS.......................................................................................................5-7

VIII.PAPERWORK AND WRITTEN PROGRAM REQUIREMENTS............... 5-7

IX. GUIDELINES FOR CASE FILE DOCUMENTATION FOR USE WITH 

VIDEOTAPES AND AUDIOTAPES............................................................. 5-8

X. CASE FILE ACTIVITY DIARY SHEET...................................................... 5-8

XI. CITATIONS................................................................................................... 5-8

A. STATUTE OF LIMITATIONS................................................................................................................5-8

B. ISSUING CITATIONS...........................................................................................................................5-8

C. AMENDING/WITHDRAWING CITATIONS AND NOTIFICATION OF PENALTIES..................................5-9

D. PROCEDURES FOR AMENDING OR WITHDRAWING CITATIONS. ......................................................5-9

XII. INSPECTION RECORDS. .......................................................................... 5-10

A. GENERALLY.....................................................................................................................................5-10

B. RELEASE OF INSPECTION INFORMATION........................................................................................5-10

C. CLASSIFIED AND TRADE SECRET INFORMATION...........................................................................5-10

CHAPTER 6
vi

PENALTIES AND DEBT COLLECTION

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

II. CIVIL PENALTIES....................................................................................... 6-1

A. STATUTORY AUTHORITY FOR CIVIL PENALTIES. ............................................................................6-1

B. APPROPRIATION ACT RESTRICTIONS. ..............................................................................................6-1

C. MINIMUM PENALTIES........................................................................................................................6-2

D. MAXIMUM PENALTIES......................................................................................................................6-2

III. PENALTY FACTORS. .................................................................................. 6-2

A. GRAVITY OF VIOLATION. ..................................................................................................................6-2

B. PENALTY ADJUSTMENT FACTORS....................................................................................................6-6

IV. EFFECT ON PENALTIES IF EMPLOYER IMMEDIATELY CORRECTS. ... 6-10

A. QUICK-FIX PENALTY REDUCTION..................................................................................................6-10

B. QUICK-FIX REDUCTION SHALL APPLY TO:....................................................................................6-10

C. QUICK-FIX REDUCTIONS SHALL NOT APPLY TO:..........................................................................6-10

D. REDUCTION AMOUNT.....................................................................................................................6-10

V. REPEATED VIOLATIONS......................................................................... 6-11

A. GENERAL. ........................................................................................................................................6-11

B. PENALTY INCREASE FACTORS FOR REPEATED VIOLATIONS.........................................................6-11

C. OTHER-THAN-SERIOUS, NO INITIAL PENALTY..............................................................................6-12

D. REGULATORY VIOLATIONS.............................................................................................................6-12

VI. WILLFUL VIOLATIONS. .......................................................................... 6-12

A. GENERAL. ........................................................................................................................................6-12

B. SERIOUS WILLFUL PENALTY REDUCTIONS....................................................................................6-12

C. WILLFUL REGULATORY VIOLATIONS. ...........................................................................................6-13

VII. PENALTIES FOR FAILURE TO ABATE.................................................. 6-13

A. GENERAL. ........................................................................................................................................6-13

B. CALCULATION OF ADDITIONAL PENALTIES...................................................................................6-14

C. PARTIAL ABATEMENT.....................................................................................................................6-15

VIII. VIOLATION-BY-VIOLATION (EGREGIOUS) PENALTY POLICY...... 6-15

A. PENALTY PROCEDURE.....................................................................................................................6-15

B. CASE HANDLING. ............................................................................................................................6-15

C. CALCULATION OF PENALTIES.........................................................................................................6-15

IX. SIGNIFICANT ENFORCEMENT ACTIONS. ........................................... 6-15

A. DEFINITION......................................................................................................................................6-15

B. MULTI-EMPLOYER WORKSITES......................................................................................................6-15

C. FEDERAL AGENCY SIGNIFICANT CASES.........................................................................................6-15

D. ASSISTANT SECRETARY CONCURRENCE........................................................................................6-16

X. PENALTY AND CITATION POLICY FOR PARTS 1903 AND 1904 

REGULATORY REQUIREMENTS. .......................................................... 6-16

A. POSTING REQUIREMENTS UNDER PART 1903................................................................................6-16

B. ADVANCE NOTICE OF INSPECTION – §1903.6................................................................................6-16

C. ABATEMENT VERIFICATION REGULATION VIOLATIONS – §1903.19............................................6-17

D. INJURY AND ILLNESS RECORDS AND REPORTING UNDER PART 1904. .........................................6-17
vii

XI. FAILURE TO PROVIDE ACCESS TO MEDICAL AND EXPOSURE 

RECORDS – §1910.1020.............................................................................. 6-17

A. PROPOSED PENALTIES.....................................................................................................................6-17

B. USE OF VIOLATION-BY-VIOLATION PENALTIES. ...........................................................................6-18

XII. CRIMINAL PENALTIES............................................................................ 6-18

A. OSH ACT AND U.S. CODE..............................................................................................................6-18

B. COURTS............................................................................................................................................6-18

XIII.HANDLING MONIES RECEIVED FROM EMPLOYERS. ...................... 6-18

A. RESPONSIBILITY OF THEAREA DIRECTOR.....................................................................................6-18

B. RECEIVING PAYMENTS....................................................................................................................6-18

C. REFUNDS..........................................................................................................................................6-20

XIV. DEBT COLLECTION PROCEDURES....................................................... 6-20

A. POLICY.............................................................................................................................................6-20

B. TIME ALLOWED FOR PAYMENT OF PENALTIES..............................................................................6-21

C. NOTIFICATION PROCEDURES..........................................................................................................6-21

D. NOTIFICATION OF OVERDUE DEBT.................................................................................................6-21

E. ASSESSMENT OF ADDITIONAL CHARGES. ......................................................................................6-22

F. ASSESSMENT PROCEDURES............................................................................................................6-23

G. APPLICATION OF PAYMENTS. .........................................................................................................6-24

H. UNCOLLECTIBLE PENALTIES..........................................................................................................6-24

I. NATIONAL OFFICE DEBT COLLECTION PROCEDURES...................................................................6-24

CHAPTER 7

POST-CITATION PROCEDURES AND ABATEMENT

VERIFICATION

I. CONTESTING CITATIONS, NOTIFICATIONS OF PENALTY OR 

ABATEMENT DATES. ................................................................................. 7-1

A. NOTICE OF CONTEST.........................................................................................................................7-1

B. CONTEST PROCESS............................................................................................................................7-1

II. INFORMAL CONFERENCES...................................................................... 7-2

A. GENERAL. ..........................................................................................................................................7-2

B. ASSISTANCE OF COUNSEL.................................................................................................................7-2

C. OPPORTUNITY TO PARTICIPATE........................................................................................................7-2

D. NOTICE OF INFORMAL CONFERENCES..............................................................................................7-2

E. POSTING REQUIREMENT. ..................................................................................................................7-3

F. CONDUCT OF THE INFORMAL CONFERENCE. ...................................................................................7-3

III. PETITION FOR MODIFICATION OF ABATEMENT DATE (PMA)........ 7-3

A. FILING. ...............................................................................................................................................7-3

B. WHERE FILING REQUIREMENTS ARE NOT MET..............................................................................7-4

C. APPROVAL OF PMA..........................................................................................................................7-4

D. OBJECTION TO PMA.........................................................................................................................7-4

IV. OSHA’S ABATEMENT VERIFICATION REGULATION, §1903.19. ........ 7-5

A. IMPORTANT TERMS AND CONCEPTS.................................................................................................7-5

B. WRITTEN CERTIFICATION.................................................................................................................7-6
viii

C. VERIFICATION PROCEDURES. ...........................................................................................................7-7

D. SUPPLEMENTAL PROCEDURES..........................................................................................................7-7

E. REQUIREMENTS.................................................................................................................................7-7

V. ABATEMENT CERTIFICATION................................................................ 7-7

A. MINIMUM LEVEL...............................................................................................................................7-7

B. CERTIFICATION REQUIREMENTS. .....................................................................................................7-7

C. CERTIFICATION TIMEFRAME.............................................................................................................7-7

VI. ABATEMENT DOCUMENTATION............................................................ 7-8

A. REQUIRED ABATEMENT DOCUMENTATION. ....................................................................................7-8

B. ADEQUACY OF ABATEMENT DOCUMENTATION. .............................................................................7-8

C. ABATEMENT DOCUMENTATION FOR SERIOUS VIOLATIONS. ..........................................................7-9

D. CSHO OBSERVED ABATEMENT.......................................................................................................7-9

VII. MONITORING INFORMATION FOR ABATEMENT PERIODS GREATER 

THAN 90 DAYS. .......................................................................................... 7-10

A. ABATEMENT PERIODS GREATER THAN 90 DAYS...........................................................................7-10

B. ABATEMENT PLANS........................................................................................................................7-10

C. PROGRESS REPORTS........................................................................................................................7-10

D. SPECIAL REQUIREMENTS FOR LONG-TERM ABATEMENT.............................................................7-10

VIII.EMPLOYER FAILURE TO SUBMIT REQUIRED ABATEMENT 

CERTIFICATION. ...................................................................................... 7-11

A. ACTIONS PRECEDING CITATION FOR FAILURE TO CERTIFY ABATEMENT....................................7-11

B. CITATION FOR FAILURE TO CERTIFY..............................................................................................7-11

C. CERTIFICATION OMISSIONS............................................................................................................7-11

D. PENALTY ASSESSMENT FOR FAILURE TO CERTIFY........................................................................7-12

IX. TAGGING FOR MOVABLE EQUIPMENT............................................... 7-12

A. TAG-RELATED CITATIONS..............................................................................................................7-12

B. EQUIPMENT WHICH IS MOVED.......................................................................................................7-12

X. FAILURE TO NOTIFY EMPLOYEES BY POSTING............................... 7-12

A. EVIDENCE. .......................................................................................................................................7-12

B. LOCATION OF POSTING. ..................................................................................................................7-12

C. OTHER COMMUNICATION...............................................................................................................7-12

XI. ABATEMENT VERIFICATION FOR SPECIAL ENFORCEMENT 

SITUATIONS............................................................................................... 7-13

A. CONSTRUCTION ACTIVITY CONSIDERATIONS................................................................................7-13

B. FIELD SANITATION AND TEMPORARY LABOR CAMPS...................................................................7-13

C. FOLLOW-UP POLICY FOR EMPLOYER FAILURE TO VERIFY ABATEMENT UNDER §1903.19........7-14

XII. ONSITE VISITS: PROCEDURES FOR ABATEMENT VERIFICATION 

AND MONITORING................................................................................... 7-14

A. FOLLOW-UP INSPECTIONS..............................................................................................................7-14

B. SEVERE VIOLATOR ENFORCEMENT PROGRAM (SVEP) FOLLOW-UP...........................................7-14

C. INITIAL FOLLOW-UP. ......................................................................................................................7-15

D. SECOND FOLLOW-UP......................................................................................................................7-15

E. OSH ACT SECTION 11(B). ..............................................................................................................7-15

F. FOLLOW-UP INSPECTION REPORTS................................................................................................7-16
ix

XIII.MONITORING INSPECTIONS.................................................................. 7-16

A. GENERAL. ........................................................................................................................................7-16

B. CONDUCT OF MONITORING INSPECTION (PMAS AND LONG-TERM ABATEMENT)......................7-17

C. ABATEMENT DATES IN EXCESS OF ONE YEAR..............................................................................7-17

D. MONITORING ABATEMENT EFFORTS. ............................................................................................7-17

E. MONITORING CORPORATE-WIDE SETTLEMENT AGREEMENTS....................................................7-18

XIV. NOTIFICATION OF FAILURE TO ABATEMENT.................................. 7-18

A. VIOLATION. .....................................................................................................................................7-18

B. PENALTIES.......................................................................................................................................7-18

C. CALCULATION OF ADDITIONAL PENALTIES...................................................................................7-18

XV. CASE FILE MANAGEMENT..................................................................... 7-18

A. CLOSING OF CASE FILE WITHOUT ABATEMENT CERTIFICATION. ................................................7-18

B. REVIEW OF EMPLOYER-SUBMITTED ABATEMENT. .......................................................................7-18

C. WHETHER TO KEEP ABATEMENT DOCUMENTATION. ...................................................................7-19

XVI. ABATEMENT SERVICES AVAILABLE TO EMPLOYERS.................... 7-19

CHAPTER 8

SETTLEMENTS

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

A. GENERAL. ..........................................................................................................................................8-1

B. PRE-CONTEST SETTLEMENT (INFORMAL SETTLEMENT AGREEMENT)...........................................8-1

C. PROCEDURES FOR PREPARING THE INFORMAL SETTLEMENT AGREEMENT...................................8-4

D. POST-CONTEST SETTLEMENT (FORMAL SETTLEMENT AGREEMENT)............................................8-4

E. CORPORATE-WIDE SETTLEMENT AGREEMENT...............................................................................8-4

CHAPTER 9

COMPLAINT AND REFERRAL PROCESSING

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

A. DEFINITIONS......................................................................................................................................9-1

B. CLASSIFYING AS A COMPLAINT OR A REFERRAL.............................................................................9-2

C. CRITERIA WARRANTING AN INSPECTION.........................................................................................9-2

D. SCHEDULING AN INSPECTION OF AN EMPLOYER IN AN EXEMPT INDUSTRY...................................9-3

E. ELECTRONIC COMPLAINTS RECEIVED VIA THE OSHA PUBLIC WEBSITE......................................9-3

F. INFORMATION RECEIVED BY TELEPHONE........................................................................................9-4

G. PROCEDURES FOR HANDLING COMPLAINTS FILED IN MULTIPLE AREA OFFICES OR REGIONS. ...9-5

H. PROCEDURES FOR AN INSPECTION....................................................................................................9-5

I. PROCEDURES FOR AN INQUIRY.........................................................................................................9-6

J. COMPLAINANT PROTECTION. ...........................................................................................................9-7

K. RECORDING IN OIS. ..........................................................................................................................9-8

II. WHISTLEBLOWER COMPLAINTS........................................................... 9-8

III. DECISION TREES........................................................................................ 9-8
x

CHAPTER 10

INDUSTRY SECTORS

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

A. INTRODUCTION................................................................................................................................10-1

B. DEFINITIONS....................................................................................................................................10-1

C. APPROPRIATIONS ACT EXEMPTIONS FOR FARMING OPERATIONS................................................10-2

D. STANDARDS APPLICABLE TO AGRICULTURE.................................................................................10-3

E. PESTICIDES......................................................................................................................................10-4

F. WAGE &HOUR/OSHA SHARED AUTHORITY UNDER SECRETARY’S ORDER...............................10-4

II. CONSTRUCTION [RESERVED]............................................................... 10-5

III. MARITIME.................................................................................................. 10-6

A. MARITIME INDUSTRY PRIMARY RESOURCES.................................................................................10-7

B. SHIPYARD EMPLOYMENT (PART 1915)........................................................................................10-11

C. MARINE CARGO HANDLING INDUSTRY (PARTS 1917 & 1918)...................................................10-18

D. OTHER MARINE ACTIVITIES.........................................................................................................10-25

E. SECURITY PROCEDURES................................................................................................................10-26

CHAPTER 11

IMMINENT DANGER, FATALITY, CATASTROPHE, AND

EMERGENCY RESPONSE

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

A. GENERAL. ........................................................................................................................................11-1

B. PRE-INSPECTION PROCEDURES.......................................................................................................11-1

C. IMMINENT DANGER INSPECTION PROCEDURES.............................................................................11-2

D. ELIMINATION OF THE IMMINENT DANGER.....................................................................................11-2

II. FATALITY AND CATASTROPHE INVESTIGATIONS. ......................... 11-4

A. DEFINITIONS....................................................................................................................................11-4

B. INITIAL REPORT...............................................................................................................................11-4

C. INVESTIGATION PROCEDURES........................................................................................................11-4

D. INTERVIEW PROCEDURES................................................................................................................11-5

E. INVESTIGATION DOCUMENTATION.................................................................................................11-6

F. POTENTIAL CRIMINAL PENALTIES IN FATALITY AND CATASTROPHE CASES...............................11-6

G. FAMILIES OF VICTIMS.....................................................................................................................11-8

H. PUBLIC INFORMATION POLICY.......................................................................................................11-9

I. RECORDING AND TRACKING FOR FATALITY/CATASTROPHE INVESTIGATIONS. ..........................11-9

J. PRE-CITATION REVIEW.................................................................................................................11-11

K. POST-CITATION PROCEDURES/ABATEMENT VERIFICATION.......................................................11-11

L. AUDIT PROCEDURES.....................................................................................................................11-12

M. RELATIONSHIP OF FATALITY AND CATASTROPHE INVESTIGATIONS TO OTHER PROGRAMS AND 

ACTIVITIES....................................................................................................................................11-12

N. SPECIAL ISSUES RELATED TO WORKPLACE FATALITIES.............................................................11-14

III. RESCUE OPERATIONS AND EMERGENCY RESPONSE. .................. 11-14

A. OSHA’S AUTHORITY TO DIRECT RESCUE OPERATIONS.............................................................11-14

B. VOLUNTARY RESCUE OPERATIONS PERFORMED BY EMPLOYEES..............................................11-14

C. EMERGENCY RESPONSE................................................................................................................11-15
xi

CHAPTER 12

SPECIALIZED INSPECTION PROCEDURES

I. MULTI-EMPLOYER WORKPLACE/WORKSITE [RESERVED]........... 12-1

II. TEMPORARY LABOR CAMPS................................................................. 12-1

A. INTRODUCTION................................................................................................................................12-1

B. DEFINITIONS....................................................................................................................................12-1

C. WAGE &HOUR/OSHA SHARED AUTHORITY UNDER SECRETARY’S ORDER..............................12-1

D. ENFORCEMENT OF TEMPORARY LABOR CAMP STANDARDS FOR AGRICULTURE........................12-2

E. OSHA ENFORCEMENT FOR NON-AGRICULTURE WORKSITES......................................................12-3

F. EMPLOYEE OCCUPIED HOUSING. ...................................................................................................12-3

G. PRIMARY CONCERNS. .....................................................................................................................12-3

H. DIMENSIONS. ...................................................................................................................................12-4

I. DOCUMENTATION FOR HOUSING INSPECTIONS.............................................................................12-5

J. CONDITION OF EMPLOYMENT.........................................................................................................12-5

CHAPTER 13

FEDERAL AGENCY FIELD ACTIVITIES

I. INTRODUCTION........................................................................................ 13-1

A. SCOPE. .............................................................................................................................................13-1

B. OVERVIEW.......................................................................................................................................13-1

C. IMPORTANT DEFINITIONS. ..............................................................................................................13-2

D. LAWS AND REGULATIONS AFFECTING FEDERAL AGENCIES.........................................................13-3

E. OSHA CONTACTS FOR INFORMATION REGARDING FEDERAL AGENCIES....................................13-4

II. COVERAGE OF FEDERAL AGENCIES UNDER 29 CFR PART 1960.... 13-5

A. ENFORCEMENT................................................................................................................................13-5

B. MILITARY PERSONNEL, EQUIPMENT AND OPERATIONS................................................................13-5

C. FEDERAL AGENCIES EXEMPT FROM UNANNOUNCED INSPECTIONS.............................................13-6

D. FEDERAL AGENCIES WITH PRIVATE SECTOR EMPLOYEES ON-SITE.............................................13-6

E. UNITED STATES POSTAL SERVICE..................................................................................................13-7

III. FEDERAL AGENCY INSPECTION SCHEDULING. ............................... 13-7

A. TARGETED INSPECTIONS.................................................................................................................13-7

B. SPECIAL EMPHASIS INSPECTIONS...................................................................................................13-7

C. INCIDENT INSPECTIONS...................................................................................................................13-8

D. COMPLAINT HANDLING. .................................................................................................................13-8

E. REPORTS OF REPRISAL OR DISCRIMINATION. ................................................................................13-9

F. ALTERNATE AND SUPPLEMENTARY STANDARDS........................................................................13-11

G. REFUSAL OF ENTRY......................................................................................................................13-12

IV. FEDERAL AGENCY RECORDKEEPING AND REPORTING 

REQUIREMENTS..................................................................................... 13-12

A. GENERAL BACKGROUND. .............................................................................................................13-12

B. RECORDING AND REPORTING INJURIES AND ILLNESSES AT FEDERAL AGENCIES......................13-12

C. SUMMARY OF MAJOR FEDERAL RECORDKEEPING REQUIREMENTS DIFFERENCES COMPARED TO 

PRIVATE SECTOR...........................................................................................................................13-13
xii

D. REPORTS AND INVESTIGATIONS OF FATALITIES/CATASTROPHES...............................................13-13

E. FEDERAL AGENCY RECORDKEEPING FORMS...............................................................................13-14

V. ACCESS TO FEDERAL EMPLOYEE OCCUPATIONAL SAFETY AND 

HEALTH-RELATED RECORDS. ............................................................ 13-14

A. ACCESS TO FEDERAL EMPLOYEE INJURY AND ILLNESS RECORDS.............................................13-14

B. FEDERAL EMPLOYEE ACCESS TO EXPOSURE AND MEDICAL RECORDS.....................................13-14

VI. EVALUATIONS OF FEDERAL AGENCY PROGRAMS. ...................... 13-15

A. PURPOSE........................................................................................................................................13-15

B. TIME FRAMES................................................................................................................................13-15

C. OFFICE RESPONSIBILITIES.............................................................................................................13-15

VII. AGENCY TECHNICAL ASSISTANCE REQUEST (ATAR)................... 13-16

A. DEFINITION....................................................................................................................................13-16

B. AGENCY PROCEDURES FOR REQUESTING AN ATAR. .................................................................13-16

C. OSHA RESPONSE TO ATARS.......................................................................................................13-16

D. VISIT PROCEDURES.......................................................................................................................13-16

E. ABATEMENT..................................................................................................................................13-17

VIII. NOTICE(S) OF UNSAFE OR UNHEALTHFUL WORKING CONDITIONS. 13-17

A. ISSUANCE OF AN OSHA NOTICE..................................................................................................13-17

B. COVER LETTER FOR FEDERAL AGENCIES....................................................................................13-18

C. VIOLATIONS OF CITABLE PROGRAM ELEMENTS OF 29 CFR PART 1960....................................13-18

D. REPEAT OSHA NOTICE FOR FEDERAL AGENCIES.......................................................................13-19

E. MULTI-EMPLOYER WORKSITE POLICY FOR FEDERAL AGENCIES. .............................................13-19

F. INFORMAL CONFERENCE PROCEDURES FOR FEDERAL AGENCIES..............................................13-19

G. FEDERAL AGENCY APPEALS PROCEDURE....................................................................................13-20

H. VERIFICATION OF ABATEMENT....................................................................................................13-22

I. PETITION FOR MODIFICATION OF ABATEMENT DATES (PMA)...................................................13-22

J. FAILURE TO ABATE.......................................................................................................................13-23

CHAPTER 14

HEALTH INSPECTION ENFORCEMENT POLICY

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

CHAPTER 15

LEGAL ISSUES

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

A. WHEN TO ISSUE...............................................................................................................................15-1

B. TWO TYPES OF SUBPOENAS............................................................................................................15-1

C. AREA DIRECTOR DELEGATED AUTHORITY TO ISSUE ADMINISTRATIVE SUBPOENAS.................15-1

D. REGIONAL ADMINISTRATOR AUTHORITY TO ISSUE ADMINISTRATIVE SUBPOENAS. ..................15-2

E. ADMINISTRATIVE SUBPOENA CONTENT AND SERVICE.................................................................15-2

F. COMPLIANCE WITH THE SUBPOENA. ..............................................................................................15-3

G. REFUSAL TO HONOR SUBPOENA. ...................................................................................................15-3

H. ANTICIPATORY SUBPOENA.............................................................................................................15-3
xiii

II. SERVICE OF SUBPOENA ON OSHA PERSONNEL................................ 15-3

A. PROCEEDINGS TO WHICH THE SECRETARY OF LABOR IS A PARTY. ..............................................15-3

B. PROCEEDINGS TO WHICH THE SECRETARY OF LABOR IS NOT A PARTY.......................................15-4

III. OBTAINING WARRANTS. ........................................................................ 15-4

A. WARRANT APPLICATIONS...............................................................................................................15-4

B. GENERAL INFORMATION NECESSARY TO OBTAIN A WARRANT...................................................15-4

C. SPECIFIC WARRANT INFORMATION BASED ON INSPECTION TYPE. ..............................................15-5

D. WARRANT PROCEDURES.................................................................................................................15-6

E. SECOND WARRANT.........................................................................................................................15-6

F. REFUSED ENTRY OR INTERFERENCE..............................................................................................15-6

G. FEDERAL MARSHAL ASSISTANCE..................................................................................................15-6

IV. EQUAL ACCESS TO JUSTICE ACT (EAJA)............................................ 15-7

A. PREVAILING PARTY MAY BE AWARDED FEES...............................................................................15-7

B. OSHA’S POSITION MUST BE SUBSTANTIALLY JUSTIFIED.............................................................15-7

C. EAJA SHOULD NOT AFFECT HOW THE AGENCY OPERATES........................................................15-7

V. NOTICE OF CONTEST.............................................................................. 15-7

A. TIME LIMIT FOR FILING A NOTICE OF CONTEST............................................................................15-7

B. CONTEST OF ABATEMENT PERIOD ONLY.......................................................................................15-8

C. COMMUNICATION WHERE THE INTENT TO CONTEST IS UNCLEAR...............................................15-8

VI. LATE NOTICE OF CONTEST................................................................... 15-8

A. FAILURE TO NOTIFY OSHA OF INTENT TO CONTEST....................................................................15-8

B. NOTICE RECEIVED AFTER THE CONTEST PERIOD..........................................................................15-8

C. RETENTION OF DOCUMENTS...........................................................................................................15-9

VII. CONTESTED CASE PROCESSING PROCEDURES................................ 15-9

A. TRANSMITTAL OF NOTICE OF CONTEST TO COMMISSION.............................................................15-9

B. TRANSMITTAL OF FILE TO REGIONAL SOLICITOR. ......................................................................15-10

VIII. COMMUNICATIONS WHILE PROCEEDINGS ARE PENDING BEFORE 

THE COMMISSION.................................................................................. 15-10

A. CONSULTATION WITH REGIONAL SOLICITOR. .............................................................................15-10

B. COMMUNICATIONS WITH COMMISSION REPRESENTATIVES WHILE PROCEEDINGS ARE PENDING 

BEFORE THE COMMISSION.............................................................................................................15-10

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

A. TWO LEVELS OF ADJUDICATION. .................................................................................................15-10

B. RULES OF PROCEDURE..................................................................................................................15-10

X. DISCOVERY METHODS. ........................................................................ 15-11

A. INTERROGATORIES........................................................................................................................15-11

B. PRODUCTION OF DOCUMENTS......................................................................................................15-11

C. DEPOSITIONS.................................................................................................................................15-11

XI. TESTIFYING IN HEARINGS................................................................... 15-12

A. REVIEW DOCUMENTS AND EVIDENCE..........................................................................................15-12

B. ATTIRE...........................................................................................................................................15-12

C. RESPONSES TO QUESTIONS...........................................................................................................15-12

D. JUDGE’S INSTRUCTION(S).............................................................................................................15-12
xiv

XII. COMMISSION SIMPLIFIED PROCEEDINGS....................................... 15-12

A. PROPOSED PENALTY THRESHOLD................................................................................................15-12

B. PROMPT DISCLOSURE OF INSPECTION DOCUMENTS....................................................................15-12

XIII. CITATION FINAL ORDER DATES. ....................................................... 15-13

A. CITATION/NOTICE OF PENALTY NOT CONTESTED......................................................................15-13

B. CITATION/NOTICE OF PENALTY RESOLVED BY INFORMAL SETTLEMENT AGREEMENT (ISA)........15-13

C. CITATION/NOTICE OF PENALTY RESOLVED BY FORMAL SETTLEMENT AGREEMENT (FSA)....15-13

D. CASES RESOLVED BY AN ALJ DECISION. ....................................................................................15-13

E. ALJ DECISION REVIEWED BY COMMISSION................................................................................15-13

F. COMMISSION DECISION REVIEW BY THE U.S. COURT OF APPEALS...........................................15-13

XIV. FEDERAL COURT ENFORCEMENT UNDER SECTION 11(B) OF THE 

OSH ACT................................................................................................... 15-13

A. SECTION 11(B) SUMMARY ENFORCEMENT ORDERS....................................................................15-13

B. SELECTION OF CASES FOR SECTION 11(B)ACTION.....................................................................15-14

C. DRAFTING OF CITATIONS AND SETTLEMENTS TO FACILITATE SECTION 11(B)ENFORCEMENT......15-14

D. FOLLOW-UP INSPECTIONS.............................................................................................................15-14

E. CONDUCT OF VERIFICATION INSPECTIONS. .................................................................................15-15

CHAPTER 16

DISCLOSURE UNDER THE FREEDOM OF INFORMATION ACT

(FOIA)

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

CHAPTER 17

PREEMPTION BY OTHER AGENCIES

I. INTRODUCTION........................................................................................ 17-1

II. TESTING EXEMPTIONS. .......................................................................... 17-1

III. STATUTORY EXERCISE. ......................................................................... 17-2

IV. OTHER AGENCIES WHICH MAY PREEMPT OSHA. ........................... 17-2

A. DEPARTMENT OF TRANSPORTATION..............................................................................................17-3

B. DEPARTMENT OF LABOR.................................................................................................................17-3

C. ENVIRONMENTAL PROTECTION AGENCY.......................................................................................17-4

D. NUCLEAR REGULATORY COMMISSION. .........................................................................................17-4

E. DEPARTMENT OF ENERGY. .............................................................................................................17-4

F. DEPARTMENT OF HOMELAND SECURITY.......................................................................................17-4

G. DEPARTMENT OF JUSTICE...............................................................................................................17-5

H. DEPARTMENT OF INTERIOR.............................................................................................................17-5
1-1

Chapter 1

INTRODUCTION

I. Purpose.

This FOM is a reference document for field personnel, providing enforcement 

policies and procedures in conducting OSHA investigations.

II. Scope.

This Instruction applies OSHA-wide.

III. References.

A. The Equal Access to Justice Act, 5 U.S.C. § 504.

B. Small Business Regulatory Enforcement Fairness Act, 18U.S.C. § 601.

C. Disclosure of Confidential Information, 18 U.S.C. § 1905.

D. Rules Implementing the Equal Access to Justice Act; Costs and Fees, 28 U.S.C. 

§ 2412.

E. Occupational Safety and Health Act of 1970, 29 U.S.C. § 651 et seq.

F. Migrant and Seasonal Agricultural Worker Protection Act, 29 U.S.C. § 1802.

G. Debt Collection Improvement Act, 31 U.S.C. § 3717.

H. The Postal Employee Safety Enhancement Act of 1998, 39 U.S.C. § 101.

I. Employees Served with Subpoenas, 29 Code of Federal Regulations 2.21 and 

2.22.

J. Federal Claims Collection, 29 C.F.R. Part 20.

K. Applicable Federal Standards: ETA and OSHA Housing Standards, 29 C.F.R. 

500.132.

L. Social Responsibilities of the Employment Service System, 29 C.F.R. Part 654.

M. Advance Notice of Inspections, 29 C.F.R. 1903.6.

N. Policy Regarding Employee Rescue Activities, 29 C.F.R. 1903.14.

O. Abatement Verification, 29 C.F.R. 1903.19.

P. Reporting Fatalities and Multiple Hospitalizations to OSHA, 29 C.F.R. 

1904.39.

Q. Consultation Agreements, 29 C.F.R. Part 1908.

R. Occupational Safety and Health Standards, 29 C.F.R. Part 1910.

S. Occupational Safety and Health Standards for Shipyard Employment, 29 C.F.R. 

Part 1915.

T. Marine Terminals, 29 C.F.R. Part 1917.

U. Safety and Health Regulations for Longshoring, 29 C.F.R. Part 1918.

V. Gear Certification, 29 C.F.R. Part 1919.

W. Safety and Health Regulations for Construction, 29 C.F.R. Part 1926.
1-2

X. Occupational Safety and Health Standards for Agriculture, 29 C.F.R. Part 1928.

Y. Approved State Plans for Enforcement of State Standards, 29 C.F.R. Part 1952.

Z. Basic Program Elements for Federal Employees OSHA, 29 C.F.R. Part 1960.

AA. Coverage – Agricultural Employers, 29 C.F.R. 1975.4(b)(2).

BB. Rules of Procedure, 29 C.F.R. Part 2200.

CC. Worker Protection Standard, 29 C.F.R. Part 170.

DD. Housing for Agricultural Workers: Final Rule, Federal Register, March 4, 

1980 (45 FR 14180).

EE. Safety and Health Program Management Guidelines; Issuance of Voluntary 

Guidelines, Federal Register, January 16, 1989 (54 FR 3904).

FF. Incorporation of General Industry Safety and Health Standards Applicable to 

Construction Work, Federal Register, August 12, 1996 (61 FR 41738).

GG. Delegation of Authorities and Assignment of Responsibilities to the Assistant 

Secretary for Employment Standards and Other Officials in the Employment 

Standards Administration, Federal Register, January 2, 1997 (62 FR 107).

HH. Final Rule on State Plans Coverage of the U.S. Postal Service (Federal 

Register, June 9, 2000 (65 FR 36618).

II. Final Policy Concerning the Occupational Safety and Health Administration’s 

Treatment of Voluntary Employer Safety and Health Self-Audits, Federal 

Register, July 28, 2000 (65 FR 46498).

JJ. Secretary’s Order 5-2002; Delegation of Authority and Assignment of 

Responsibility to the Assistant Secretary for Occupational Safety and Health, 

Federal Register, October 22, 2002 (67 FR 65007).

KK. Occupational Injury and Illness Recording and Reporting Requirements –

NAICS Update and Reporting Revisions, September 18, 2014 (79 FR 56129).

LL. OSHA Instruction ADM 01-00-003, Redelegation of Authority and 

Responsibility of the Assistant Secretary for Occupational Safety and Health, 

March 6, 2003.

MM. OSHA Instruction ADM 03-01-005, OSHA Compliance Records, August 3, 

1998.

NN. OSHA Instruction CPL 02-00-025, Scheduling System for Programmed 

Inspections, January 4, 1995.

OO. OSHA Instruction CPL 02-00-028, Compliance Assistance the Powered 

Industrial Truck Operator Training Standards, November 30, 2000.

PP. OSHA Instruction CPL 02-00-051, Enforcement Exemptions and Limitations 

under the Appropriations Act, May 28, 1998.

QQ. OSHA Instruction CPL 02-00-080, Handling of Cases to be Proposed for 

Violation-By-Violation Penalties, October 21, 1990.

RR. OSHA Instruction CPL 02-00-152, Guidelines for Administering CorporateWide Settlement Agreements, June 22, 2011.

SS. OSHA Instruction CPL 02-00-094, OSHA Response to Significant Events of 

Potentially Catastrophic Consequences, Edited on July 14, 2004.

TT. OSHA Instruction CPL 02-00-098, Guidelines for Case File Documentation 

for use with Videotapes and Audiotapes, October 12, 1993.
1-3

UU. OSHA Instruction CPL 02-00-111, Citation Policy for Paperwork and 

Written Program Requirement Violations, November 27, 1995.

VV. OSHA Instruction CPL 02-00-158, Inspection Procedures for the Respiratory 

Protection Standard, June 26, 2014.

WW. OSHA Instruction CPL 02-00-121, Providing Assistance to Smaller 

Employers, March 12, 1998.

XX. OSHA Instruction CPL 02-00-122, Enforcement Guidance for the U.S. Postal 

Service, April 16, 1999.

YY. OSHA Instruction CPL 02-00-124, Multi-Employer Citation Policy, 

December 10, 1999.

ZZ. OSHA Instruction CPL 02-00-125, Home-Based Worksites, February 25, 

2000.

AAA. OSHA Instruction CPL 02-00-135, Recordkeeping Policies and Procedures 

Manual (RKM), December 30, 2004.

BBB. OSHA Instruction CPL 03-00-012, OSHA’s National Emphasis Program 

(NEP) on Shipbreaking, November 4, 2010.

CCC. OSHA Instruction CPL 02-00-157, Shipyard Employment “Tool Bag”

Directive, April 1, 2014.

DDD. OSHA Instruction CPL 02-00-155, Inspection Scheduling for Construction, 

July 14, 2006.

EEE. OSHA Instruction CPL 02-00-154, Longshoring and Marine Terminals “Tool 

Shed” Directive, July 31, 2012.

FFF. OSHA Instruction CPL-02-00-153, Communicating OSHA Fatality 

Inspection to a Victim’s Family, April 17, 2012.

GGG. OSHA Instruction CPL 02-00-151, 29 CFR Part 1910, Subpart T –

Commercial Diving Operations, June 13, 2011.

HHH. OSHA Instruction CPL 02-00-149, Severe Violator Enforcement Program 

(SVEP), June 18, 2010.

III. OSHA Instruction CPL 02-01-055, Maritime Cargo Gear Standards and 29 

CFR Part 1919 Certification, September 30, 2013.

JJJ. OSHA Instruction CPL 02-01-051, 29 CFR Part 1915, Subpart B, Confined 

and Enclosed Spaces and Other Dangerous Atmospheres in Shipyard 

Employment, May 20, 2011.

KKK. OSHA Instruction CPL 02-01-047, OSHA Authority Over Vessels and 

Facilities on or Adjacent to U.S. Navigable Waters and the Outer Continental 

Shelf (OCS), February 22, 2010.

LLL. OSHA Instruction CPL 02-01-049, 29 CFR Part 1915, Subpart I, 

Enforcement Guidance for Personal Protective Equipment (PPE) in Shipyard 

Employment, November 4, 2010.

MMM. OSHA Instruction CPL 02-02-035, 29 CFR 1910.95(b)(1), Guidelines for 

Noise Enforcement; Appendix A, December 19, 1983.

NNN. OSHA Instruction CPL 02-02-079, Inspection Procedures for the Hazard 

Communication Standard (HCS 2012), July 9, 2015.
1-4

OOO. OSHA Instruction CPL 02-02-043, Chemical Sampling Information (CSI) 

Web page.

PPP. OSHA Instruction CPL 02-02-054, Respiratory Protection Program 

Guidelines, July 14, 2000.

QQQ. OSHA Instruction CPL 02-02-063, Inspection Procedures for Occupational 

Exposure to Asbestos Final Rule 29 CFR Parts 1910.1001, 1926.1101, 

1915.1001, January 9, 1996.

RRR. OSHA Instruction CPL 02-02-072, Rules of Agency Practice and Procedure 

Concerning OSHA Access to Employee Medical Records, August 22, 2007.

SSS. OSHA Instruction CPL 02-02-073, Inspection Procedures for 29 CFR 

1910.120 and 1926.65, Paragraph (q): Emergency Response to Hazardous 

Substance Releases, August 27, 2007.

TTT. OSHA Instruction CPL 02-02-074, Inspection Procedures for the Chromium 

(VI) Standards, January 24, 2008.

UUU. OSHA Instruction CPL 02-02-076, National Emphasis Program – Hexavalent 

Chromium, February 23, 2010.

VVV. OSHA Instruction CPL 03-00-010, Petroleum Refinery Process Safety 

Management National Emphasis Program, August 18, 2009.

WWW.OSHA Instruction CPL 03-00-007, National Emphasis Program – Crystalline 

Silica, January 24, 2008.

XXX. OSHA Instruction CPL 03-00-008, Combustible Dust National Emphasis 

Program (Reissued), March 11, 2008.

YYY. OSHA Instruction CPL 03-00-009, National Emphasis Program – Lead, 

August 14, 2008.

ZZZ. OSHA Instruction CPL 03-00-012, National Emphasis Program on 

Shipbreaking, November 4, 2010.

AAAA. OSHA Instruction CPL 04-00-001, Procedures for Approval of Local 

Emphasis Programs (LEPs), November 10, 1999.

BBBB. OSHA Instruction CSP 01-00-002, State Plan Policies and Procedures 

Manual, March 21, 2001.

CCCC. OSHA Instruction CSP 02-00-002, Consultation Policies and Procedures 

Manual, January 18, 2008.

DDDD. OSHA Instruction CSP 03-01-003, Voluntary Protection Programs (VPP) 

Policies and Procedures Manual, April 18, 2008.

EEEE. OSHA Instruction CSP 03-02-003, OSHA Strategic Partnership Program 

for Worker Safety and Health, November 6, 2013.

FFFF. OSHA Instruction CSP 04-01-001, OSHA Alliance Program, June 10, 

2004.

GGGG. OSHA Instruction HSO 01-00-001, National Emergency Management Plan 

(NEMP), dated December 18, 2003.

HHHH. OSHA Instruction IRT 01-00-007, The IMIS Enforcement Data Processing 

Manual for Use with the NCR Computer System, dated September 20, 

1993.
1-5

IIII. OSHA Instruction STD 02-01-049, 29 CFR Part 1915, Subpart I, Personal 

Protective Equipment (PPE) for Shipyard Employment – Inspection 

Procedures and Interpretive Guidelines, November 4, 2010.

JJJJ. OSHA Instruction TED 01-00-015, OSHA Technical Manual (OTM), 

February 11, 2014.

KKKK. Memorandum of Agreement on Interagency Coordination for Ship 

Scrapping (i.e., shipbreaking) between DOD/DOT/EPA/DOL-OSHA, 

November 16, 1999.

LLLL. Memoranda on Construction Fatality Case Study, Reasons and 

Methodology, for Regional Administrators from H. Berrien Zettler, Deputy 

Director, D.O.C. (via email), regarding transmittal of information on 

construction fatalities to the University of Tennessee, dated September 12 

and 13, 2000.

MMMM. Memorandum on Construction Fatality Investigation Case Files, for 

Regional Administrators from R. Davis Layne, Deputy Assistant Secretary, 

regarding transmittal of information on construction fatalities to the 

University of Tennessee, dated May 14, 2003 and February 18, 2004.

NNNN. Memorandum on Change to the Interim Procedure for Fatality 

Investigations (IMMLANG), for Regional Administrators from R. Davis 

Layne, Deputy Assistant Secretary, dated December 16, 2003.

OOOO. Memorandum on Procedures for Significant Enforcement Cases, for 

Regional Administrators from R. Davis Layne, Deputy Assistant Secretary,

dated March 24, 2004.

PPPP. Memorandum on Novel Cases: Cancellation of December 20, 2012 

Memorandum entitled “Clarification of September 27, 2012 Memo on 

Significant Case Procedures,” dated September 4, 2013.

QQQQ. Presidential Executive Order 12196, Occupational safety and health 

programs for Federal employees.

RRRR. Settlement Agreement dated July 14, 2000 concerning Powered Industrial 

Truck Operator Training Standard between the National Maritime Safety 

Association (NMSA) and the Occupational Safety and Health 

Administration, U.S. Department of Labor.

SSSS. Frank Diehl Farms v. Secretary of Labor, 696 F.2d 1325 (11th Cir. 1983).

TTTT. Int. Union UAW v. General Dynamics Land Systems Division, 815 F.2d 

1570 (D.D. Cir. 1987).

UUUU. Marion Stevens dba Chapman & Stephens Company, 5 BNA OSHC 1395

(No.13535, 1977).

VVVV. Darragh Company, 9 BNA OSHC 1205, (Nos. 77-2555, 77-3074, and 

77-3075, 1980).

WWWW. J. C. Watson Company, 22 BNA OSHC 1235 (Nos. 05-0175 and 05-

0176, 2008). (Aff’d D.C. Cir. No. 08-1230, April 17, 2009.) (unpubl.)

XXXX. Chao v. Mallard Bay Drilling, Inc., 212 F.3d 898, (534 U.S. 235, 2002).

IV. Cancellations. 
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This Instruction supersedes OSHA Instruction CPL 02-00-150, Field Operations 

Manual (FOM), issued April 22, 2011.

V. Action Information.

A. Responsible Office. Directorate of Enforcement Programs (DEP).

B. Action Offices. National, Regional, and Area Offices.

C. Information Offices. State Plan States, OSHA Training Institute, Consultation 

Project Managers, VPP Managers and Coordinators, OSHA Strategic Partnership 

Coordinators, Compliance Assistance Coordinators, Compliance Assistance 

Specialists, and Regional EEP Coordinators.

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

This instruction describes a Federal Program Change which consolidates and updates 

OSHA’s field enforcement policies and procedures. States must have, as a part of 

their State Plan, formal written policies and procedures on all aspects of their 

compliance program, including inspections, targeting, citations, penalties, and post 

citation processes, which are at least as effective as the procedures in this revised 

Field Operations Manual (FOM). State Plans have the option of adopting identical or 

different, but at least as effective, enforcement policies as those contained in this 

FOM, and in doing so, State Plans must address each chapter and/or policy area in 

this manual. Significant changes to this manual are listed in section VII of this 

chapter.

An identical State Plan change is one in which the State Plan adopts the same 

program provisions as the federal program with the only differences being those 

modifications necessary to reflect a State Plan’s unique structure. With respect to this 

FOM, State Plans can adopt identically without adopting the internal OSHA 

administrative procedures set out in this manual, such as those relating to 

organizational structure and such matters as penalty collection. However, State Plans 

must provide for their own comparable internal administrative procedures and 

processes. 

Within 60 days of the date of issuance of this directive, State Plans must submit a 

notice of intent indicating if the State Plan will adopt or already has in place 

enforcement policies and procedures that are identical to or different from the federal 

program. State adoption, either identically or different, should be accomplished 

within 6 months. If adopting identically, the State Plan must provide the date of 

adoption to OSHA, due within 60 days of adoption. If the State Plan adopts or 

maintains enforcement policies that differ from the FOM, the State Plan must either 

post its different policies on its State Plan website and provide a link to OSHA, or 

provide OSHA with an electronic copy and the name and contact information of 

someone within the State Plan who can assist the public with obtaining a copy. This 

action must occur within 60 days of the date of adoption. OSHA will post summary 

information of the State Plan responses to this Instruction on its website.

VII. Significant Changes.

A. Changes made by the 2015 Update.
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1. Table of Contents section is revised.

2. References section is revised.

3. Revised language in Chapter 1 Section VI., referring to State Plan Impact 

language.

4. Added language associated with OSHA Strategic Partnerships (OSPs) in 

Chapter 2 Section VI., Programmed Inspections.

5. Deleted the bullet for OSHA Strategic Partnerships in Chapter 2 under 

Section VI., Programmed Inspections.

6. Deleted language relating to Site Specific Targeting (SST) Program in 

Chapter 2.

7. Added language related to Workplace Violence in Chapter 3 Section II., 

Inspection Planning.

8. Added language related to the Occupational Injury and Illness Recording and 

Reporting Requirements – NAICS Update and Reporting Revisions in Chapter 

3 Section V.A.6., Chapter 4 Section I.C., Chapter 6 Section X.D., Chapter 11 

Section II.N.3., and Chapter 13 Section I.D.1.c. 

9. Added language related to Safety Incentive Programs in Chapter 3 Section 

VI., Review of Records.

10. Revised language relating to Walkaround Representatives in Chapter 3 

Section VII., Walkaround Inspections.

11. Deleted language relating to OSHA Data Initiative (ODI) Data Review in 

Chapter 3.

12. Revised language related to Repeated Violations from three to five years in 

Chapter 4 Section VII., Obtaining Inspection History.

13. Revised AVD language for Repeated Violations in Chapter 4 Section 

VII.G.5.

14. Restore the “Reserved” paragraphs in Chapter 4 Section XI., Health 

Standards Violations.

15. Revised OSHA Penalty Policy in Chapter 6 Section III., Penalty Adjustment 

Factors.

16. Revised language to time limitation and final order in Chapter 6 Section III., 

Penalty Adjustment Factors.

17. Added new Penalty Comparison Chart in Chapter 6 Section III., Penalty 

Adjustment Factors.

18. Deleted language to OSHA Strategic Partnerships in Chapter 6 Section III., 

Penalty Adjustment Factors.

19. Revised Debt Collection Section in Chapter 6, Adjustment to Payments.

20. Revised Debt Collection Section in Chapter 6, Depositing Payments.

21. Added Debt Collection Control Flowchart in Chapter 6, Debt Collection.

22. Added language in Chapter 8 Section I., Settlement of Cases by Area 

Director.

23. Revised Electronic Complaints in Chapter 9, Electronic Complaints Received 

via the OSHA Public Website.
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24. Added language in Chapter 11 Section II., Families of Victims.

25. Deleted language in Chapter 11 Section II., Recording and Tracking for 

Fatality/Catastrophe Investigations.

26. Added language in Chapter 11 Section II., Investigation (OSHA-170).

27. Added language to the Severe Violator Enforcement Program in Chapter 11

Section II., Severe Violator Enforcement Program.

28. Added language in Chapter 13 Section III., Federal Agency Inspection 

Scheduling.

29. Added language in Chapter 13 Section III., Other Whistleblower Protections.

30. Added language in Chapter 13 Section VIII., Notice(s) of Unsafe or 

Unhealthful Working Conditions.

31. Added new Federal Appeals Process Flow Charts in Chapter 13.

32. Added new Appendices A-C in Chapter 13.

33. Added Preemption by Other Agencies in Chapter 17.

34. Added web-link to OSHA Instruction, OSHA Authority Over Vessels and 

Facilities on or Adjacent to U.S. Navigable Waters and the Outer Continental 

Shelf (OCS) in Chapter 17, Jurisdiction Coverage.

VIII. Background.

The Field Inspection Reference Manual (FIRM) was issued September 26, 1994 and 

later replaced with the Field Operations Manual (FOM), dated November 9, 2009. 

Since that time, the FOM was revised on April 22, 2011. It was supplemented and 

modified by numerous additional directives, memorandums, and interpretations.

This Instruction cancels and replaces OSHA Instruction CPL 02-00-150, Field

Operations Manual, issued April 22, 2011 and many of the subsequent directives and 

memoranda, and also provides a single updated source of instruction on general 

OSHA enforcement policies and procedures.

The FOM is designed to be updated on a regular basis by amending chapters or 

sections thereof to embody modifications and clarifications to OSHA’s general 

enforcement policies and procedures.

IX. Definitions and Terminology.

A. The Act: This term refers to the Occupational Safety and Health Act of 1970 (29 

U.S.C. § 651 et seq.).

B. Compliance Safety and Health Officer (CSHO): This term refers to Safety 

Engineers, Safety Compliance Officers, and Industrial Hygienists.

C. He/She and His/Hers: The terms he and she, as well as his or her, when used 

throughout this manual, are interchangeable. That is, male(s) applies to 

female(s), and vice versa.

D. Professional Judgment: All OSHA employees are expected to exercise their best 

judgment as safety and health professionals and as representatives of the United 

States Department of Labor in every aspect of carrying out their duties.
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E. Workplace and Worksite: The terms workplace and worksite are interchangeable. 

Workplace is used more frequently in general industry, while worksite is more 

commonly used in the construction industry.
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Chapter 2

PROGRAM PLANNING

I. Introduction.

OSHA’s mission is to assure the safety and health of America’s working men and women by 

promulgating and enforcing standards and regulations; providing training, outreach, and 

education; establishing partnerships; and encouraging continual improvement in workplace 

safety and health as well as the development of comprehensive safety and health 

management systems. Effective and efficient use of resources requires careful, flexible 

planning. In this way, the overall goal of hazard abatement and employee protection is best 

served.

II. Area Office Responsibilities.

A. Providing Assistance to Small Employers.

1. In 1996, the Congress passed the Small Business Regulatory Enforcement Fairness 

Act (SBREFA) to respond to the concern expressed by the small business community 

that Federal regulations were too numerous and complex, and that small business 

needed special assistance in understanding and complying with those regulations.

2. SBREFA requires all federal agencies regulating small businesses to have in place 

programs to provide guidance and compliance assistance. These programs must 

contain procedures to answer inquiries by small entities (small businesses). These 

programs also provide information on and advice about compliance with the statutes 

and regulations; interpretations; and applications of the law to specific sets of facts 

supplied by the small entity.

NOTE: See CPL 02-00-121, Providing Assistance to Smaller Employers, March 

12, 1998.

B. Area Office Outreach Program.

The Area Director or designee will ensure that the Area Office maintains an outreach 

program appropriate to local conditions and the needs of the service area. The plan may 

include Regional and National Office support services, compliance assistance services 

including assistance in developing compliance safety and health management systems, 

training and education services, referral services, cooperative programs, abatement 

assistance, and technical services.

C. Responding to Requests for Assistance. 

All requests from employers or employees for compliance information or assistance shall 

receive timely, accurate, and helpful responses from OSHA. See the section on 

Information Requests in this chapter for additional information.

III. OSHA Cooperative Programs Overview.

OSHA offers a number of avenues for businesses and organizations to work cooperatively 

with the Agency. Compliance Officers should discuss the various cooperative programs with 

employers.

A. Voluntary Protection Programs (VPP). 
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The Voluntary Protection Programs (VPP) are designed to recognize and promote 

effective safety and health management. A hallmark of VPP is the principle that 

management, labor, and OSHA can work together in pursuit of a safe and healthy 

workplace. VPP participants are employers who have successfully designed and 

implemented a health and safety management system at their worksites, and are exempt 

from programmed inspections.

NOTE: See CSP 03-01-003, Voluntary Protection Programs (VPP): Policies and 

Procedures Manual, April 18, 2008, for additional information.

B. On-site Consultation Program. 

OSHA On-site Consultation Programs are available in all 50 states as well as the District 

of Columbia, Guam, Northern Marianas Islands, Puerto Rico and the Virgin Islands 

under Section 21(d) and 23(g) agreements with Federal OSHA or under State Plans 

approved by OSHA.

1. The state On-site Consultation Program offers a variety of services at no cost to 

employers. These services include assisting in the development and implementation 

of an effective safety and health management system, and offering training and 

education to the employer and employees at the worksite. Small businesses in highhazard industries or those involved in hazardous operations receive priority.

2. The State On-site Consultation Program is separate from OSHA’s enforcement 

efforts. Under On-Site Consultation Programs, no citations are issued, nor are 

penalties proposed.

C. Safety and Health Achievement Recognition Program (SHARP). 

Another program that recognizes employers’ efforts to create a safe workplace and 

exempts them from programmed inspections is the Safety and Health Achievement 

Recognition Program (SHARP). This program is administered by the State On-site 

Consultation Program but is funded under Section 21(d) of the Act.

SHARP is designed to provide incentives and support to those employers that 

implement and continuously improve effective safety and health management system(s) 

at their worksite. SHARP participants are exempted from OSHA programmed 

inspections.

NOTE: See CSP 02-00-002, Consultation Policies and Procedures Manual, January 

18, 2008, for additional information.

D. Strategic Partnerships. 

Organizations can enter into Strategic Partnerships with OSHA to address specific safety 

and health issues. In these partnerships, OSHA enters into extended, voluntary, 

cooperative relationships with groups of employers, employees, and employee 

representatives (sometimes including other stakeholders, and sometimes involving only 

one employer) in order to encourage, assist, and recognize efforts to eliminate serious 

hazards and to achieve a high level of worker safety and health. 

NOTE: See CSP 03-02-003, OSHA Strategic Partnership Program for Worker Safety 

and Health, November 6, 2013, for additional information.

E. Alliance Program. 

Through the Alliance Program, OSHA works with groups committed to worker safety 

and health to prevent workplace fatalities, injuries, and illnesses. These groups include 

unions, consulates, trade or professional organizations, businesses, faith- and community-
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based organizations, and educational institutions. OSHA and the groups work together to 

develop compliance assistance tools and resources, share information with workers and 

employers, and educate workers and employers about their rights and responsibilities. 

Alliance Program participants do not receive exemptions from OSHA inspections or any 

other enforcement benefits.

NOTE: See CSP 04-01-001, OSHA Alliance Program, June 10, 2004, for additional 

information. 

NOTE: See Section VI.H., of this chapter, Enforcement Scheduling and Interface with 

Cooperative Program Participants, for additional information.

IV. Enforcement Program Scheduling.

A. General.

1. OSHA’s priority system for conducting inspections is designed to allocate available 

OSHA resources as effectively as possible to ensure that maximum feasible 

protection is provided to working men and women. The Area Director or designee 

will ensure that inspections are scheduled within the framework of this chapter, that 

they are consistent with the objectives of the Agency, and that appropriate 

documentation of scheduling practices is maintained.

2. The Area Director or designee will also ensure that OSHA resources are effectively 

distributed during inspection activities. If an inspection is of a complex nature, the 

Area Director or designee may consider utilizing additional OSHA resources (e.g., 

the Health Response Team). In other circumstances, the use of outside resources may 

aid the Area or District Office to deploy available resources more effectively. The 

Area Office will retain control of the inspection.

B. Inspection Priority Criteria.

Generally, priority of accomplishment and of assigning staff resources for inspection 

categories is as shown in Table 2-1 below:

Table 2-1: Inspection Priorities

Priority Category

First Imminent Danger

Second Fatality/Catastrophe (NOTE)

Third Complaints/Referrals

Fourth Programmed Inspections

NOTE: OSHA Area Offices will determine the inspection priority of a catastrophe

using the Memorandum entitled, “Interim Enforcement Procedures for New Reporting 

Requirements under 29 C.F.R. 1904.39”, dated December 24, 2014, or unless superseded 

by future agency-approved correspondence. 

1. Efficient Use of Resources. 

Deviations from this priority list are allowed so long as they are justifiable, lead to 

the efficient use of resources, and promote effective worker protection. An example 

of such a deviation would be when the Agency, Regional Administrator or an Area 

Director commits a certain percentage of resources to programmed Special Emphasis 

Program (SEP) inspections such as a National Emphasis Program (NEP), a Regional 
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Emphasis Program (REP), or Local Emphasis Program (LEP). Inspection scheduling 

deviations must be documented in the case file.

2. Follow-up Inspections. 

In cases where follow-up inspections are necessary, they shall be conducted as 

promptly as resources permit. In general, follow-up inspections shall take priority 

over all programmed inspections and any unprogrammed inspection in which the 

hazards are anticipated to be other-than-serious.

NOTE: See Chapter 7, Post-Citation Procedures and Abatement Verification, for 

additional information.

3. Monitoring Inspections. 

When a monitoring inspection is necessary, the priority is the same as for a follow-up 

inspection.

NOTE: See Chapter 7, Post-Citation Procedures and Abatement Verification, for 

additional information.

4. Employer Information Requests. 

Contacts for technical information initiated by employers or their representatives will 

not trigger an inspection, nor will such employer inquiries protect the requesting 

employer against inspections conducted pursuant to existing policy, scheduling 

guidelines and inspection programs established by the Agency.

5. Reporting of Imminent Danger, Catastrophe, Fatality, Amputations, Accidents, 

Referrals or Complaints. 

The Area Director or designee will act in accordance with established inspection 

priority procedures.

NOTE: See Section V., of this chapter, Unprogrammed Activity – Hazard 

Evaluation and Inspection Scheduling, for additional information.

C. Effect of Contest.

If an employer has contested a citation and/or a penalty from a previous inspection at a 

specific worksite, and the case is still pending before the Review Commission, the 

following guidelines apply to additional inspections of the employer at that worksite:

1. If the employer has contested the penalty only, the inspection will be scheduled as if 

there were no contest.

2. If the employer has contested the citation itself or any items therein, then 

programmed and unprogrammed inspections will be scheduled, but all violative 

conditions under contest will be excluded from the inspection unless a potential 

imminent danger is involved.

NOTE: See Section IV.B., Inspection Priority Criteria, of this chapter for 

additional information.

D. Enforcement Exemptions and Limitations.

1. In providing funding for OSHA, Congress has consistently placed restrictions on 

enforcement activities for two categories of employers: small farming operations and 

small employers in low-hazard industries. Congress may place exemptions and 

limitations on OSHA activities through the annual Appropriations Act.

2. Before initiating an inspection of an employer in these categories, the Area Office 

will evaluate whether the Appropriations Act for the fiscal year would prohibit the 
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inspection. Where this determination cannot be made beforehand, the CSHO will 

determine the status of the small farming operation or a small employer in a lowhazard industry upon arrival at the workplace. If the prohibition applies, the 

inspection shall immediately be discontinued.

NOTE: See CPL 02-00-051, Enforcement Exemptions and Limitations under the 

Appropriations Act, May 28, 1998, for additional information.

E. Preemption by Another Federal Agency.

1. Section 4(b)(1) of the Act states that the Act does not apply to working conditions 

over which other federal agencies exercise statutory responsibility “to prescribe or 

enforce standards or regulations affecting occupational safety or health.” The 

determination of preemption by another federal agency is, in many cases, a highly 

complex matter.

2. If a question arises, usually upon receipt of a complaint, referral, or other inquiry, 

consult the list of Memorandums of Understanding (MOU) on the OSHA website to 

determine if the issue has been previously addressed. A MOU is an agreement 

created to address/resolve coverage issues and to improve the working relationships 

between other federal agencies and organizations regarding employee safety and 

health.

3. At times, an inspection may have already begun when the coverage jurisdiction 

question arises. Any such situations will be brought to the attention of the Area 

Director, Regional Solicitor, or designee as soon as they arise, and dealt with on a 

case-by-case basis.

4. Two examples of MOUs include the following:

a. Mine Safety and Health Administration - Interagency Agreement between the 

Mine Safety and Health Administration and OSHA, dated March 29, 1979.

b. United States Coast Guard/U.S. Department of Transportation - Authority of 

Coast Guard and OSHA regarding enforcement of safety and health standards 

aboard vessels inspected and certified by the Coast Guard, dated March 4, 1983.

F. United States Postal Service.

1. The Postal Employee Safety Enhancement Act of 1998 applies the Act to the U.S. 

Postal Service in the same manner as the Act applies to a private sector employer.

2. All State Plan States elected not to cover the U.S. Postal Service. Thus, Federal 

OSHA retains authority to cover the U.S. Postal Service nationwide. Federal 

coverage in State Plan States encompasses U.S. Postal Service employees and 

contract employees engaged in U.S. Postal Service mail operations. Coverage 

includes contractor-operated facilities engaged in mail operations and postal stations 

in public or commercial facilities. State Plan States continue to exercise jurisdiction 

over all other private sector contractors working on U.S. Postal Service sites who are 

not engaged in U.S. Postal Service mail operations, such as building maintenance and 

construction employees. (See the Final Rule on State Plans Coverage of the U.S. 

Postal Service (65 FR 36618, June 9, 2000)).

3. Violations documented during inspections initiated at a U.S. Postal Service site will 

be cited with penalties in accordance with the FOM and other applicable OSHA 

policies for the private sector.

NOTE: See CPL 02-00-122, Enforcement Guidance for the U.S. Postal Service, 

dated April 16, 1999, for additional information.
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G. Home-Based Worksites.

1. The agency will not perform any inspections of employees’ home offices. A home 

office is defined as office work activities in a home-based setting/worksite (e.g., 

filing, keyboarding, computer research, reading, writing) and may include the use of 

office equipment (e.g., telephone, facsimile machine, computer, scanner, copy 

machine, desk, file cabinet).

2. OSHA will only conduct inspections of other home-based worksites, such as home 

manufacturing operations, when it receives a complaint or referral alleging that a 

violation of a safety or health standard exists that threatens physical harm, that an 

imminent danger is present, or that there was a work-related fatality.

NOTE: See CPL 02-00-125, Home-Based Worksites, February 25, 2000, for 

additional information.

H. Inspection/Investigation Types.

1. Unprogrammed. 

Inspections scheduled in response to alleged hazardous working conditions identified 

at a specific worksite are classified as unprogrammed. This type of inspection 

responds to:

a. Imminent Dangers;

b. Fatalities/catastrophes; 

c. Complaints; and

d. Referrals.

e. It also includes follow-up and monitoring inspections scheduled by the Area 

Office.

NOTE: This category includes all employers/employees directly affected by the 

subject of the unprogrammed inspection activity, and is especially applicable on 

multi-employer worksites.

NOTE: Not all complaints and referrals qualify for an inspection. See Chapter 9, 

Complaint and Referral Processing, for additional information.

NOTE: See CPL 02-00-124, Multi-Employer Worksite Citation Policy, December 

10, 1999, for additional information.

2. Unprogrammed Related. 

Inspections of employers at multi-employer worksites whose operations are not 

directly addressed by the subject of the conditions identified in a complaint, accident, 

or referral are designated as unprogrammed related.

An example would be: A trenching inspection conducted at the unprogrammed

worksite where the trenching hazard was not identified in the complaint, accident 

report, or referral.

3. Programmed. 

Worksite safety and health inspections that have been scheduled based upon objective 

or neutral selection criteria are programmed inspections. The worksites are selected 

according to national scheduling plans or under local, regional, and national special 

emphasis programs.

4. Program Related. 
2-7

Inspections of employers at multi-employer worksites whose activities were not 

included in the programmed assignment, such as a low injury rate employer at a 

worksite where programmed inspections are being conducted for all high rate 

employers.

V. Unprogrammed Activity – Hazard Evaluation and Inspection Scheduling.

Enforcement procedures relating to unprogrammed activity are located in subject specific 

chapters of this manual:

 Imminent Danger, see Chapter 11, Imminent Danger, Fatality, Catastrophe, and 

Emergency Response.

 Fatality/Catastrophe, see Chapter 11, Imminent Danger, Fatality, Catastrophe, and 

Emergency Response.

 Emergency Response, see Chapter 11, Imminent Danger, Fatality, Catastrophe, and 

Emergency Response.

 Complaint/Referral Processing, see Chapter 9, Complaint and Referral Processing.

 Whistleblower Complaints, see Chapter 9, Complaint and Referral Processing.

 Follow-ups and Monitoring, see Chapter 7, Post-Citation Procedures and Abatement 

Verification.

VI. Programmed Inspections.

A. Scheduling for Construction Inspections.

Due to the mobility of the construction industry, the transitory nature of construction 

worksites and the fact that construction worksites frequently involve more than one 

employer, inspections are scheduled from a list of construction worksites rather than 

construction employers. The OSHA National Office will provide to each Area/District 

Office a randomly selected list of construction projects from identified or known covered 

active projects. This list will contain the projected number of sites that the field office 

has reported it plans to inspect during the next month. Projects are selected in accordance

with the inspection schedule for construction.

NOTE: See CPL 02-00-141, Inspection Scheduling for Construction, July 14, 2006. 

B. Scheduling for Maritime Inspections.

Maritime inspection activities are covered in greater detail in Chapter 10, Section III., 

Maritime. 

1. Marine Cargo Handling Industry. 

The marine cargo handling industry is made up of longshoring activities (i.e., cargo 

handing aboard vessels, 29 C.F.R. Part 1918) and activities within marine terminals 

(i.e., cargo handling ashore; 29 C.F.R. 1917). Because these activities are different, 

several scheduling methods are necessary. Consequently, marine cargo handling 

industry inspections can be scheduled as National Emphasis Programs (NEPs), 

Regional Emphasis Programs (REPs), Local Emphasis Programs (LEPs), or from 

lists developed in accordance with CPL 02-00-025, Scheduling System for 

Programmed Inspections, January 4, 1995.

NOTE: See CPL 02-00-154, Longshoring and Marine Terminals “Tool Shed”

Directive, July 31, 2012, for more information.
2-8

2. Shipbreaking. 

CPL-03-00-012, OSHA’s National Emphasis Program (NEP) on Shipbreaking,

November 4, 2010, describes policies and procedures to reduce or eliminate 

workplace hazards associated with shipbreaking operations.

Also, OSHA has entered into a Memorandum of Agreement on Interagency 

Coordination for Ship Scrapping (i.e., shipbreaking) between DOD/DOT/EPA/DOLOSHA, November 16, 1999.

3. Shipyard Employment. 

The shipyard employment industry is made up of several industrial activities and 

because these activities are different, several scheduling methods are necessary. 

Consequently, shipyard employment inspections can be scheduled under NEPs, 

REPs, LEPs, or from lists developed in accordance with CPL 02-00-025, Scheduling 

System for Programmed Inspections, January 4, 1995 and CPL 02-01-049, 

Enforcement Guidance for Personal Protective Equipment (PPE) in Shipyard 

Employment, November 4, 2010.

NOTE: See CPL 02-00-157, Shipyard Employment “Tool Bag” Directive, April 1, 

2014, for more information.

C. Special Emphasis Programs (SEPs).

Special Emphasis Programs provide for programmed inspections of establishments in 

industries with potentially high injury or illness rates that are not covered by other 

programmed inspection scheduling systems or, if covered, where the potentially high 

injury or illness rates are not addressed to the extent considered adequate under the 

specific circumstances. SEPs are also based on potential exposure to health hazards. 

Special emphasis programs may also be used to develop and implement alternative 

scheduling procedures or other departures from national procedures. Special emphasis 

programs can include National Emphasis Programs, Regional Emphasis Programs and 

Local Emphasis Programs.

1. Identification of Special Emphasis Programs. 

The description of the particular Special Emphasis Program shall be identified by one 

or more of the following:

a. Specific industry;

b. Trade/craft;

c. Substance or other hazard;

d. Type of workplace operation;

e. Type/kind of equipment; and

f. Other identifying characteristic. 

2. Special Emphasis Program Scope. 

The reasons for and the scope of a Special Emphasis Program shall be described; and 

may be limited by geographic boundaries, size of worksite, or similar considerations.

3. Pilot Programs. 

National or local pilot programs may also be established under Special Emphasis 

Programs. Such programs may be conducted for the purpose of assessing the actual 

extent of suspected or potential hazards, determining the feasibility of new or 

experimental compliance procedures, or for any other legitimate reason.
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D. National Emphasis Programs (NEPs).

OSHA develops National Emphasis Programs to focus outreach efforts and inspections 

on specific hazards in a workplace.

E. Local Emphasis Programs (LEPs) and Regional Emphasis Programs (REPs).

LEPs and REPs are types of special emphasis program in which one or more Area 

Offices of a Region participate. LEPs and REPs are generally based on knowledge of 

local industry hazards or local industry injury/illness experience. LEPs and REPs must 

be developed and approved when one or more Area Offices within a Region target 

inspections to a specific industry(s), hazard(s), or other workplace characteristic(s), e.g., 

as part of, or in conjunction with, a local initiative or problem-solving project. A list of 

LEPs may be found on the OSHA website under the Directorate of Enforcement 

Programs.

NOTE: See CPL 04-00-001, Procedures for Approval of Local Emphasis Programs 

(LEPs), dated November 10, 1999, for additional information. Also, see Memorandum 

on Procedures for Local and Regional Emphasis Programs, dated December 3, 2014. 

OSHA directives include topic specific scheduling procedures in addition to the general 

information provided in this section.

F. Other Special Programs.

The Agency may develop programs to cover special categories of inspections that are not 

covered under a Special Emphasis Program.

G. Inspection Scheduling and Interface with Cooperative Program Participants.

Employers who participate in voluntary compliance programs may be exempt from 

programmed inspections and eligible for inspection deferrals or other enforcement 

incentives. The Area Director or designee will determine whether the employer is 

actively participating in a Cooperative Program that would impact inspection and 

enforcement activity at the worksite being considered for inspection. Where possible, 

this determination should be made prior to scheduling the inspection.

Information regarding a facility’s participation in the following programs should be 

available prior to scheduling inspection activity:

 VPP Program;

 Pre-SHARP and SHARP Participants;

 Consultation 90-Day Deferrals.

1. Voluntary Protection Program. 

a. Regional VPP Manager Responsibilities. 

The Regional VPP managers must keep Area Directors or their designees 

informed about VPP applicants and the status of participants in the VPP. This 

will prevent unnecessary scheduling of programmed inspections at VPP sites and 

ensure efficient use of resources. Area Directors or their designee should be 

informed:

 That the site can be removed from the programmed inspection list. Such 

removal may occur no more than 75 days prior to the on-site evaluation;

 Of the site’s approval for the VPP program;

 Of the site’s withdrawal or termination from the VPP program; and
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 If the Regional VPP Manager is the first person notified by the site of an 

event requiring enforcement, the VPP Manager must instruct the site to 

contact the appropriate Area Office.

b. Programmed Inspections and VPP Participation.

 Inspection Deferral. Approved sites must be removed from any programmed 

inspection lists for the duration of participation, unless a site chooses 

otherwise. The applicant worksite will be deferred starting no more than 75 

calendar days prior to the commencement of its scheduled pre-approval onsite review.

 Inspection Exemption. The exemption from programmed inspections for 

approved VPP sites will continue for as long as they continue to meet VPP 

requirements. Sites that have withdrawn or have been terminated from VPP 

will be returned to the programmed inspection list, if applicable, at the time of 

the next inspection cycle.

c. Unprogrammed Enforcement Activities at VPP Sites. 

When an Area Office receives a complaint, or a referral other than from the 

OSHA VPP on-site team, or is notified of a fatality, catastrophe, or other event 

requiring an enforcement inspection at a VPP site, the Area Director or designee 

must initiate the inspection following normal OSHA enforcement procedures.

 The Area Office must immediately notify the Regional VPP Manager of 

any fatalities, catastrophes or other incidents occurring at a VPP worksite 

that require an enforcement inspection; as well as of a referral or 

complaint that concerns a VPP worksite, including complaint inquiries 

that would receive a letter response. If the VPP is a national VPP, the 

National Office should be notified.

 If the Regional VPP Manager is the first person notified by the site of an 

event requiring an enforcement inspection, the VPP Manager must 

instruct the site to contact the appropriate Area Office (and the National 

Office if the fatality is on a National VPP site).

 The inspection will be limited to the specific issue of the unprogrammed 

activity. If citations are issued as a result of the inspection, a copy of the 

citation will be sent to the Regional VPP Manager. When an Area Office 

receives a referral from the VPP on-site team, the Area Director must 

notify the participant and the ASEC. Enforcement action may be initiated 

only after the ASEC approves such action. See CSP 03-01-003, 

Voluntary Protection Programs (VPP): Policies and Procedures 

Manual, April 18, 2008.

 The Area Director will send the VPP Manager a copy of any report 

resulting from an enforcement case.

2. Consultation.

a. Consultation Visit in Progress.

 If an on-site consultation visit is in progress, it will take priority over OSHA 

programmed inspections as outlined below. An on-site consultation visit will 

be considered “in progress” in relation to the working conditions, hazards, or 

situations covered by the visit from the beginning of the opening conference 

through the end of the correction due dates and any extensions thereof. If an 
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on-site consultation visit is already in progress, it will terminate when one of 

the following OSHA compliance inspections is about to take place:

o Imminent danger inspection;

o Fatality/catastrophe inspection;

o Complaint inspections; and/or

o Other critical inspections, as determined by the Assistant Secretary.

 “Other critical inspections” may include, but are not limited to, referrals as 

defined in Chapter 9, Complaint and Referral Processing. Following an 

evaluation of the hazards alleged in a referral, if the Assistant Secretary

determines that enforcement action is required prior to the end of an 

abatement period established by the state consultation project, the 

consultation visit in progress shall be immediately terminated to allow for an 

enforcement inspection.

 For purposes of efficiency and expediency, an employer’s worksite shall not 

be subject to concurrent consultation and enforcement-related visits. The 

following excerpts from CSP 02-00-002, Consultation Policies and 

Procedures Manual, Chapter 7: Relationship to Enforcement, January 18, 

2008, clarify the interface between enforcement and consultation activity at 

the worksite:

o Full Service On-site Consultation Visits. While a worksite is 

undergoing a full service on-site consultation visit for safety and 

health, programmed enforcement activity may not occur until after the 

end of the worksite’s visit “In Progress” status.

o Full Service Safety or Health On-site Consultation Visits. When an 

on-site consultation visit “in progress” is discipline-related, whether 

for safety or health, programmed enforcement activity may not 

proceed until after the end of the worksite’s visit “In Progress” status 

and is limited to the discipline examined, safety or health.

o Limited Service On-site Consultation Visits. If a worksite is 

undergoing a limited service on-site consultation visit, whether 

focused on a particular type of work process or a hazard, programmed 

enforcement activity may not proceed while the consultant is at the 

worksite. The re-scheduled enforcement activity must be limited to 

those areas that were not addressed by the scope of the consultative 

visit (posted List of Hazards).

b. Enforcement Follow-Up and Monitoring Inspections.

If an enforcement follow-up or monitoring inspection is scheduled while a 

worksite is undergoing an on-site consultation visit, the inspection shall not be 

deferred; however, its scope shall be limited to those areas required to be covered 

by the follow-up or monitoring inspection. In such instances, the consultant must 

halt the on-site visit until the enforcement inspection is completed. In the event 

OSHA issues a citation(s) as a result of the follow-up or monitoring inspection, 

an on-site consultation visit may not proceed until the citation(s) becomes a final 

order(s).

c. Enforcement Programmed Inspections. 

On-site Consultation and 90-Day Deferral.
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 If an establishment has requested an initial full-service comprehensive 

consultation visit for safety and health from the State OSHA On-site 

Consultation Program, and that visit has been scheduled by the State 

Program, a programmed inspection may be deferred for 90 calendar days 

from the date of the notification by the State Program to the Regional 

Office. No extension of the deferral beyond the 90 calendar days is 

possible, unless the consultation visit is “in progress.”

 OSHA may, however, in exercising its authority to schedule inspections, 

assign a lower priority to worksites where consultation visits are 

scheduled.

NOTE: See CSP 02-00-002, Consultation Policies and Procedures 

Manual, January 18, 2008, of Chapter 7, Relationship to Enforcement, for 

additional information.

3. Pre-Safety and Health Achievement Recognition Program (Pre-SHARP) Status.

a. Those employers who do not meet the SHARP requirements, but who exhibit a 

reasonable promise of achieving agreed-upon milestones and time frames for 

SHARP participation, may be granted Pre-SHARP status. Pre-SHARP 

participants receive a full- service, comprehensive consultation visit that involves 

a complete safety and health hazard identification survey, including a 

comprehensive assessment of the worksite’s safety and health management 

system.

b. The deferral time frame recommended by the State Consultation Project Manager 

must not exceed a total of 18 months from the expiration of the latest hazard 

correction due date(s), including extensions. Upon achieving Pre-SHARP status, 

employers may be granted a deferral from OSHA programmed inspections. The 

following types of incidents can trigger an OSHA enforcement inspection at PreSHARP sites:

 Imminent danger;

 Fatality/catastrophe; and

 Formal complaints.

4. Safety and Health Achievement Recognition Program (SHARP).

SHARP is designed to provide support and incentives to those employers that 

implement and continuously improve effective safety and health management 

system(s) at their worksite. SHARP participants are exempted from OSHA 

programmed inspections, see §1908.7(b)(4).

a. Duration of SHARP Status.

All initial approvals of SHARP status will be for a period of up to two years, 

commencing with the date the Regional Office approves an employer’s SHARP 

application. After the initial approval, all SHARP renewals will be for a period 

of up to three years.

b. OSHA Inspection(s) at SHARP Worksites.

As noted above, employers that meet all the requirements for SHARP status will 

have the names of their establishments deleted from OSHA’s Programmed 

Inspection Schedule. However, pursuant to §1908.7(b)(4)(ii), the following types 
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of incidents can trigger an OSHA enforcement inspection at SHARP sites: 

imminent danger; fatality/catastrophe; or formal complaints.

NOTE: See CSP 02-00-002, Consultation Policies and Procedures Manual, 

Chapter 8: OSHA’s Safety and Health Achievement Recognition Program 

(SHARP) and Pre-SHARP, January 18, 2008, for additional information.

5. OSHA Strategic Partnership Program (OSPP).

a. Deferral from Programmed Inspection List for Non-Construction OSPs.

 New or renewed OSHA Strategic Partnerships (OSPs) will no longer include 

any programmed inspection deferral or deletion provisions. Only active VPP 

or SHARP worksites are eligible for this incentive. (See See CSP 03-02-003, 

OSHA Strategic Partnership Program for Worker Safety and Health, 

November 6, 2013, for additional information.) 

b. Programmed Inspection with a Limited Scope. 

 For non-construction worksites, OSHA will no longer offer a limited scope 

inspection to an establishment operated by an OSHA partnering employer. 

However, a National partnership agreement may include a limited scope 

inspection where it can be clearly demonstrated to result in a more effective 

partnership. Therefore, any partnership agreement that contains a provision 

for a limited scope inspection must be approved by the Assistant Secretary in 

advance of the OSP’s development based on a detailed statement of the 

benefits to the partnership. For inspections with limited scope, the workplace 

hazards to be addressed will be determined by OSHA with input from the 

partner(s). OSHA may expand the scope of the inspection based on 

information gathered during the inspection process.

 To gain a limited scope inspection as a benefit, the establishment must have 

undergone an on-site non-enforcement verification inspection within one year 

of the date of the programmed inspection.

c. Deletion from Programmed Inspection List.

 OSPs signed or renewed after July 27, 2012 will no longer include any 

programmed inspection deferral or deletion provisions. Only cooperative 

worksites qualifying for VPP or SHARP are eligible for this benefit. In 

addition, new or renewed OSPs will not allow the use of OSHA’s “Phone & 

Fax” procedures beyond the scope of those permitted in the FOM.

6. Alliances.

Unlike OSHA’s OSP, VPP, and SHARP programs, Alliances do not require 

applications, data collection, verification, or evaluation. Alliances also do not offer 

incentives, such as focused inspections or inspection deferral, to their signatories. 
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Chapter 3

INSPECTION PROCEDURES 

I. General Inspection Procedures.

The conduct of effective inspections requires judgment in the identification, evaluation, and 

documentation of safety and health conditions and practices. Inspections may vary 

considerably in scope and detail depending on the circumstances of each case.

II. Inspection Preparation and Planning.

It is important that the Compliance Officer (CSHO) adequately prepare for each inspection. 

Due to the wide variety of industries and associated hazards likely to be encountered, preinspection preparation is essential to the conduct of a quality inspection.

A. Review of Inspection History.

1. Compliance Officers will carefully review data available at the Area Office for 

information relevant to the establishment scheduled for inspection. This may include 

inspection files and source reference material relevant to the industry. CSHOs will 

also conduct an establishment search by accessing the OIS database. CSHOs should 

use name variations and address-matching in their establishment search to maximize 

their efforts due to possible company name changes and status (e.g., LLC, Inc.).

2. If an establishment has an inspection history that includes citations received while 

performing work in a State Plan State, CSHOs should be aware of this information. 

This inspection history may be used to document an employer’s heightened 

awareness of a hazard and/or standard in order to support the development of a 

willful citation and may be considered in determining eligibility for the history 

penalty reduction. However, the State Plan citation may not be used to support a 

repeat violation.

B. Review of Cooperative Program Participation.

CSHOs will access the Regional Homepage to obtain information about employers who 

are currently participating in cooperative programs. CSHOs will verify whether the 

employer is a current program participant during the opening conference. CSHOs will be 

mindful of whether they are preparing for a programmed or unprogrammed inspection, as 

this may affect whether the inspection should be conducted and/or its scope. See Section 

V.D., of this chapter, Review of Voluntary Compliance Programs.

C. Safety and Health Issues Relating to CSHOs.

1. Hazard Assessment.

If the employer has a written certification that a hazard assessment has been 

performed pursuant to §1910.132(d), the CSHO shall request a copy. If the hazard 

assessment itself is not in writing, the CSHO shall ask the person who signed the 

certification to describe all potential workplace hazards and then select appropriate 

protective equipment. If there is no hazard assessment, the CSHO will determine 

potential hazards from sources such as the OSHA 300 Log of Work-Related Injuries 

and Illnesses and shall select personal protective equipment accordingly.

2. Respiratory Protection.
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CSHOs must wear respirators when and where required, and must care for and 

maintain respirators in accordance with the CSHO training provided.

a. CSHOs should conduct a pre-inspection evaluation for potential exposure to 

chemicals. Prior to entering any hazardous areas, the CSHO should identify 

those work areas, processes, or tasks that require respiratory protection. The 

hazard assessment requirement in §1910.132(d) does not apply to respirators; see 

CPL 02-02-054, Respiratory Protection Program Guidelines, July 14, 2000. 

CSHOs should review all pertinent information contained in the establishment 

file and appropriate reference sources to become knowledgeable about the 

industrial processes and potential respiratory hazards that may be encountered. 

During the opening conference, a list of hazardous substances should be obtained 

or identified, along with any air monitoring results. CSHOs should determine if 

they have the appropriate respirator to protect against chemicals present at the 

work site.

b. CSHOs must notify their supervisor or the respiratory protection program 

administrator:

 If a respirator no longer fits well (CSHOs should request a replacement 

that fits properly);

 If CSHOs encounter any respiratory hazards during inspections or on-site 

visits that they believe have not been previously or adequately addressed 

during the site visit; or

 If there are any other concerns regarding the program.

3. Safety and Health Rules and Practices.

Section 1903.7(c) requires CSHOs to comply with all employer safety and health 

rules and practices at the establishment being inspected; CSHOs shall wear and use 

appropriate protective clothing and equipment.

4. Restrictions.

CSHOs will not enter any area where special entrance restrictions apply until the 

required precautions have been taken. It shall be the Area Director’s responsibility to 

determine that an inspection may be conducted without exposing the CSHO to

hazardous situations and to procure whatever materials and equipment are needed for 

the safe conduct of the inspection.

NOTE: Also such restrictions apply 1) to facilities where incidents of workplace 

violence precipitated the inspections, and 2) in industries OSHA has identified as 

having a high risk for workplace violence (specifically: late-night retail, social 

service and health care settings, and correctional facilities).

5. Workplace Violence – CSHO Training and Workplace Violence Prevention 

Programs.

a. CSHO Training.

Prior to conducting an inspection in response to a complaint of workplace 

violence, a CSHO must have received training that addresses the issues of 

workplace violence. Such training should include OSHA’s 1000 Course, Area 

Office training or other similar course work.

b. DOL Workplace Violence Prevention Programs.
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 CSHOs should be aware and familiar with the DOL workplace violence 

program – http://www.labornet.dol.gov/me/worklife/dol-workplace-violenceprogram.htm

 CSHOs should also be aware and familiar with the OSHA Safety and Health 

Management System, ADM 04-00-001, (May 23, 2011).

c. Establishment Workplace Violence Prevention Programs.

If the employer is in an industry OSHA has identified as a high risk for workplace 

violence (such as late-night retail, social service and health-care settings, and 

correctional facilities) the CSHO should inquire about the existence of a 

workplace violence prevention program. If such a program exists, the CSHO 

shall ask the person responsible for the program to describe all the potential 

workplace hazards. If there is no workplace violence prevention plan, the CSHO 

will determine potential workplace violence hazards from sources such as the 

OSHA 300 log of injuries and illnesses and other relevant records.

NOTE: If training is provided to staff members on workplace violence, the 

CSHO should conduct the inspection with a staff member who has received the 

training. If the CSHO does not deem that the existing protections are sufficient, 

the CSHO should not enter the facility or area within the facility that he or she 

considers dangerous.

d. CSHOs must notify their supervisor if they experience or witness any incident of 

workplace violence.

D. Advance Notice of an Inspection.

1. Policy.

Section 17(f) of the Act and §1903.6 contain a general prohibition against the giving 

of advance notice of inspections, except as authorized by the Secretary or the 

Secretary’s designee. The Act regulates many conditions that are subject to speedy 

alteration and disguise by employers. To forestall such changes in worksite 

conditions, the Act prohibits unauthorized advance notice.

a. Advance Notice Exceptions.

There may be occasions when advance notice is necessary to conduct an effective 

investigation. These occasions are narrow exceptions to the statutory prohibition 

against advance notice. Advance notice of inspections may be given only with 

the authorization of the Area Director or designee and only in the following 

situations: 

 In cases of apparent imminent danger to enable the employer to correct 

the danger as quickly as possible;

 When the inspection can most effectively be conducted after regular 

business hours or when special preparations are necessary;

 To ensure the presence of employer and employee representatives or 

other appropriate personnel who are needed to aid in the inspection; and

 When giving advance notice would enhance the probability of an 

effective and thorough inspection; e.g., in complex fatality investigations.

NOTE: The regulation at 29 CFR 1903.6(b) says that except in 

imminent danger situations and in other unusual circumstances, the 
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advance notice authorized here “shall not be given more than 24 hours 

before the inspection is scheduled to be conducted.”

b. Delays.

Advance notice exists whenever the Area Office sets up a specific date or time 

with the employer for the CSHO to begin an inspection. Any delays in the 

conduct of the inspection shall be kept to an absolute minimum. Lengthy or 

unreasonable delays shall be brought to the attention of the Area Director or 

designee. Advance notice generally does not include non-specific indications of 

potential future inspections.

In unusual circumstances, the Area Director or designee may decide that a 

delay is necessary. In those cases the employer or the CSHO shall notify affected 

employee representatives, if any, of the delay and shall keep them informed of the 

status of the inspection.

2. Documentation.

The conditions requiring advance notice and the procedures followed shall be 

documented in the case file.

E. Pre-Inspection Compulsory Process.

Section 1903.4(b) authorizes the agency to seek a warrant in advance of an attempted 

inspection if circumstances are such that “pre-inspection process (is) desirable or 

necessary.” Section 8(b) of the Act authorizes the agency to issue administrative 

subpoenas to obtain evidence related to an OSHA inspection or investigation. See 

Chapter 15, Legal Issues.

F. Personal Security Clearance.

Some establishments have areas that contain material or processes that are classified by 

the U.S. Government in the interest of national security. Whenever an inspection is 

scheduled for an establishment containing classified areas, the Area Director or designee 

shall assign a CSHO who has the appropriate security clearances. The Regional 

Administrator shall ensure that an adequate number of CSHOs with appropriate security 

clearances are available within the Region and that the security clearances are current.

G. Expert Assistance.

1. The Area Director or designee shall arrange for a specialist and/or specialized 

training, preferably from within OSHA, to assist in an inspection or investigation 

when the need for such expertise is identified.

2. OSHA specialists may accompany CSHOs or perform their tasks separately. CSHOs 

must accompany outside consultants. OSHA specialists and outside consultants shall 

be briefed on the purpose of the inspection and personal protective equipment to be 

utilized.

III. Inspection Scope.

Inspections, either programmed or unprogrammed, fall into one of two categories depending 

on the scope of the inspection:

A. Comprehensive.

A comprehensive inspection is a substantially complete and thorough inspection of all 

potentially hazardous areas of the establishment. An inspection may be deemed 

comprehensive even though, as a result of professional judgment, not all potentially 

hazardous conditions or practices within those areas are inspected.
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B. Partial.

A partial inspection is one whose focus is limited to certain potentially hazardous areas, 

operations, conditions or practices at the establishment.

1. A partial inspection may be expanded based on information gathered by the CSHO 

during the inspection process consistent with the Act and Area Office priorities.

2. CSHOs shall use established written guidelines and criteria, such as Agency 

directives and LEPs, in conjunction with information gathered during the records or 

program review and walkaround inspection, to determine whether expanding the 

scope of an inspection is warranted. 

IV. Conduct of Inspection.

A. Time of Inspection.

1. Inspections shall be made during regular working hours of the establishment except 

when special circumstances indicate otherwise.

2. The Area Director or designee and the CSHO shall determine if alternate work 

schedules are necessary regarding entry into an inspection site during other-thannormal working hours.

B. Presenting Credentials.

1. While conducting inspections, CSHOs are to present their credentials whenever 

making contact with management representatives, employees (to conduct interviews), 

or organized labor representatives. 

2. At the beginning of the inspection, the CSHO shall locate the owner representative, 

operator or agent in charge at the workplace and present credentials. On construction 

sites this will most often be the representative of the general contractor.

3. The inspection shall not be delayed unreasonably to await the arrival of the employer 

representative. If the employer representative is coming from off-site, the inspection 

should not be delayed in excess of one hour. If the workforce begins to depart from 

the worksite, the CSHO should contact the Area Director or designee for guidance. If 

the person in charge at the workplace cannot be determined, record the extent of the 

inquiry in the case file and proceed with the physical inspection.

C. Refusal to Permit Inspection and Interference.

Section 8 of the Act provides that CSHOs may enter without delay and at reasonable 

times any establishment covered under the Act for the purpose of conducting an 

inspection. Unless the circumstances constitute a recognized exception to the warrant 

requirement (e.g., consent, third party consent, plain view, open field, open construction 

site or exigent circumstances) an employer has a right to require that the CSHO seek an 

inspection warrant prior to entering an establishment and may refuse entry without such a 

warrant.

NOTE: On a military base or other Federal Government facility, the following 

guidelines do not apply. Instead, a representative of the controlling authority shall be 

informed of the contractor’s refusal and asked to take appropriate action to obtain 

cooperation.

1. Refusal of Entry or Inspection.

a. When the employer refuses to permit entry upon being presented proper 

credentials, or allows entry but then refuses to permit or hinders the inspection in 

some way, an attempt shall be made to obtain as much information as possible 
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about the establishment. See Chapter 15, Legal Issues, for additional 

information.

b. If the employer refuses to allow an inspection of the establishment to proceed, the 

CSHO shall leave the premises and immediately report the refusal to the Area 

Director or designee. The Area Director shall notify the RSOL.

c. If the employer raises no objection to inspection of certain portions of the 

workplace but objects to inspection of other portions, this shall be documented. 

Normally, the CSHO shall continue the inspection, confining it only to those 

certain portions to which the employer has raised no objections.

d. In either case, the CSHO shall advise the employer that the refusal will be 

reported to the Area Director or designee and that the agency may take further 

action, which may include obtaining legal process.

e. On multi-employer worksites, valid consent can be granted by the owner, or 

another employer with employees at the worksite, for site entry.

2. Employer Interference.

Where entry has been allowed but the employer interferes with or limits any 

important aspect of the inspection, the CSHO shall determine whether or not to 

consider this action as a refusal. See §1903.7(b).

Examples of interference are employer refusals to permit:

 the walkaround;

 the examination of records essential to the inspection;

 the taking of essential photographs and/or videotapes;

 the inspection of a particular part of the premises;

 private employee interviews; or

 the attachment of sampling devices.

3. Forcible Interference with Conduct of Inspection or Other Office Duties.

Whenever an OSHA official or employee encounters forcible resistance, opposition, 

interference, etc., or is assaulted or threatened with assault while engaged in the 

performance of official duties, all investigative activity shall cease.

a. If a CSHO is assaulted while attempting to conduct an inspection, the CSHO 

shall contact the proper authorities such as the Federal Protective Services or 

local police and immediately notify the Area Director.

b. Upon receiving a report of such forcible interference, the Area Director or 

designee shall immediately notify the Regional Administrator.

c. If working at an off-site location, CSHOs should leave the site immediately 

pending further instructions from the Area Director or designee.

4. Obtaining Compulsory Process.

If it is determined, upon refusal of entry or refusal to produce evidence required by 

subpoena, that a warrant will be sought, the Area Director shall proceed according to 

guidelines and procedures established in the Region for warrant applications. See 

Chapter 15, Legal Issues.

D. Employee Participation.

CSHOs shall advise employers that Section 8(e) of the Act and §1903.8 require that an 

employee representative be given an opportunity to participate in the inspection.
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1. CSHOs shall determine as soon as possible after arrival whether the workers at the 

inspected worksite are represented and, if so, shall ensure that employee 

representatives are afforded the opportunity to participate in all phases of the 

inspection.

2. If an employer resists or interferes with participation by employee representatives in 

an inspection and the interference cannot be resolved by the CSHO, the resistance 

shall be construed as a refusal to permit the inspection and the Area Director or 

designee shall be contacted.

E. Release for Entry.

1. CSHOs shall not sign any form or release or agree to any waiver. This includes any 

employer forms concerned with trade secret information.

2. CSHOs may obtain a pass or sign a visitor’s register, or any other book or form used 

by the establishment to control the entry and movement of persons upon its premises. 

Such signature shall not constitute any form of a release or waiver of prosecution for 

liability under the Act.

F. Bankrupt or Out of Business.

1. If the establishment scheduled for inspection is found to have ceased business and 

there is no known successor, the CSHO shall report the facts to the Area Director or 

designee.

2. If an employer, although bankrupt, is continuing to operate on the date of the 

scheduled inspection, then the inspection shall proceed.

3. An employer must comply with the Act until such time as the business actually 

ceases to operate.

G. Employee Responsibilities.

1. Section 5(b) of the Act states: “Each employee shall comply with occupational safety 

and health standards and all rules, regulations, and orders issued pursuant to the Act 

which are applicable to his own actions and conduct.” The Act does not provide for 

the issuance of citations or the proposal of penalties against employees. Employers 

are responsible for employee compliance with the standards.

2. In cases where CSHOs determine that employees are systematically refusing to 

comply with a standard applicable to their own action and conduct, the matter shall 

be referred to the Area Director who shall consult with the Regional Administrator.

3. Under no circumstances are CSHOs to become involved in an on-site dispute 

involving labor management issues or interpretation of collective bargaining 

agreements. CSHOs are expected to obtain sufficient information to assess whether 

the employer is using its authority to ensure employee compliance with the Act. 

Concerted refusals to comply by employees will not bar the issuance of a citation if 

the employer has failed to exercise its control to the maximum extent reasonable, 

including discipline and discharge.

H. Strike or Labor Dispute.

Plants or establishments may be inspected regardless of the existence of labor disputes, 

such as work stoppages, strikes or picketing. If the CSHO identifies an unanticipated 

labor dispute at a proposed inspection worksite, the Area Director or designee shall be 

consulted before any contact is made.

1. Programmed Inspections.
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Programmed inspections may be deferred during a strike or labor dispute, either 

between a recognized union and the employer or between two unions competing for 

bargaining rights in the establishment.

2. Unprogrammed Inspections.

a. Unprogrammed inspections (complaints, fatalities, referrals, etc.) will be 

performed during strikes or labor disputes. However, the credibility and veracity 

of any complaint shall be thoroughly assessed by the Area Director or designee 

prior to scheduling an inspection.

b. If there is a picket line at the establishment, CSHOs shall attempt to locate and 

inform the appropriate union official of the reason for the inspection prior to 

initiating the inspection.

c. During the inspection, CSHOs will make every effort to ensure that their actions 

are not interpreted as supporting either party to the labor dispute.

I. Variances.

The employer’s requirement to comply with a standard may be modified through granting 

of a variance, as outlined in Section 6 of the Act.

1. An employer will not be subject to citation if the observed condition is in compliance 

with an existing variance issued to that employer.

2. In the event that an employer is not in compliance with the requirement(s) of the 

issued variance, a violation of the applicable standard shall be cited with a reference 

in the citation to the variance provision that has not been met.

V. Opening Conference.

A. General.

CSHOs shall attempt to inform all affected employers of the purpose of the inspection, 

provide a copy of the complaint if applicable, and include any employee representatives, 

unless the employer objects. The opening conference should be brief so that the 

compliance officer may quickly proceed to the walkaround. Conditions of the worksite 

shall be noted upon arrival, as well as any changes that may occur during the opening 

conference. At the start of the opening conference, CSHOs will inform both the 

employer and the employee representative(s) of their rights during the inspection, 

including the opportunity to participate in the physical inspection of the workplace. 

Publications OSHA 3000, Employer Rights & Responsibilities Following a Federal

OSHA Inspection and OSHA 3021, Workers Rights should be distributed.

CSHOs shall request a copy of the written certification that a hazard assessment has 

been performed by the employer in accordance with §1910.132(d). CSHOs should then 

ask the person who signed the certification about any potential worksite exposures and 

select appropriate personal protective equipment.

1. Attendance at Opening Conference.

a. CSHOs shall conduct a joint opening conference with employer and employee 

representatives unless either party objects.

b. If there is objection to a joint conference, the CSHO shall conduct separate 

conferences with employer and employee representatives.

2. Scope of Inspection.
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CSHOs shall outline in general terms the scope of the inspection, including the need 

for private employee interviews, physical inspection of the workplace and records, 

possible referrals, rights during an inspection, discrimination complaints, and the 

closing conference(s).

3. Video/Audio Recording.

CSHOs shall inform participants that a video camera and/or an audio recorder may be 

used to provide a visual and/or audio record, and that the videotape and audiotape 

may be used in the same manner as handwritten notes and photographs in OSHA 

inspections.

NOTE: If an employer clearly refuses to allow videotaping during an inspection, 

CSHOs shall contact the Area Director to determine if videotaping is critical to 

documenting the case. If it is, this may be treated as a denial of entry. 

4. Immediate Abatement.

CSHOs should explain to employers the advantages of immediate abatement, 

including that there are no certification requirements for violations quickly corrected 

during the inspection. See Chapter 7, Post-Citation Procedures and Abatement 

Verification.

5. Quick-Fix Penalty Reduction.

CSHOs shall advise both the employer and employee representatives, if applicable, 

that the Quick-Fix penalty reduction may be applied to each qualified violation (i.e., 

those which meet the criteria noted in Chapter 6), which the employer immediately 

abates during the inspection and is visually verified by the CSHO. CSHOs shall 

explain the Quick-Fix criteria and answer any questions concerning the program. See 

Chapter 6, Penalties and Debt Collection.

6. Recordkeeping Rule.

a. The recordkeeping regulation at §1904.40(a) states that once a request is made, 

an employer must provide copies of the required recordkeeping records within 

four (4) business hours.

b. Although the employer has four business hours to provide injury and illness 

records, the compliance officer is not required to wait until the records are 

provided before beginning the walkaround portion of the inspection. As soon as 

the opening conference is completed, the compliance officer is to begin the 

walkaround portion of the inspection.

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related 

fatalities, hospitalizations, amputations or losses of an eye. The new rule, which also 

updates the list of employers partially exempt from OSHA record-keeping 

requirements, went into effect on January 1, 2015, for workplaces under federal 

OSHA jurisdiction. (See 79 FR 56129, Occupational Injury and Illness Recording 

and Reporting Requirements – NAICS Update and Reporting Revisions, September 

18, 2014.)

7. Abbreviated Opening Conference.

An abbreviated opening conference shall be conducted whenever the CSHO believes 

that circumstances at the worksite dictate that the walkaround begin as promptly as 

possible.

a. In such cases, the opening conference shall be limited to:
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 presenting credentials;

 stating the purpose of the visit;

 explaning employer and employee rights; and

 requesting employer and employee representatives.

All other elements shall be fully addressed during the closing conference(s).

b. Pursuant to §1903.8, the employer and the employee representatives shall be 

informed of the opportunity to participate in the physical inspection of the 

workplace.

B. Review of Appropriation Act Exemptions and Limitations.

CSHOs shall determine if the employer is covered by any exemptions or limitations 

noted in the current Appropriations Act. See CPL 02-00-051, Enforcement Exemptions 

and Limitations under the Appropriations Act, May 28, 1998.

C. Review Screening for Process Safety Management (PSM) Coverage.

CSHOs shall request a list of the chemicals on-site and their respective maximum 

intended inventories. CSHOs shall review the list of chemicals and quantities, and 

determine if there are highly hazardous chemicals (HHCs) listed in §1910.119, Appendix 

A or flammable liquids or gases at or above the specified threshold quantity. CSHOs 

may ask questions, conduct interviews, and/or conduct a walkaround to confirm the 

information on the list of chemicals and maximum intended inventories.

1. If there is an HHC present at or above threshold quantities, CSHOs shall use the 

following criteria to determine if any exemptions apply:

a. CSHOs shall confirm that the facility is not: a retail facility; oil or gas well 

drilling or servicing operation; or a normally unoccupied remote facility 

(§1910.119(a)(2)). If the facility is one of these types of establishments, PSM 

does not apply.

b. If management believes that the process is exempt, CSHOs shall ask the 

employer to provide documentation or other information to support that claim.

2. According to §1910.119 (a)(1)(ii), a process may be exempt if the employer can 

demonstrate that the covered chemical(s) are:

a. Hydrocarbon fuels used solely for workplace consumption as a fuel (e.g., propane 

used for comfort heating, gasoline for vehicle refueling), if such fuels are not a 

part of a process containing another highly hazardous chemical covered by the 

standard, or

b. Flammable liquids with a flashpoint below 100 oF (37.8oC) stored in atmospheric 

tanks or transferred, which are kept below their normal boiling point without the 

benefit of chilling or refrigeration.

NOTE: Current agency policies for applying exemptions can be found on the 

OSHA website. See CPL 03-00-010, Petroleum Refinery Process Safety 

Management National Emphasis Program, August 18, 2009. 

D. Review of Voluntary Compliance Programs.

Employers who participate in selected voluntary compliance programs may be exempted 

from programmed inspections. CSHOs shall determine whether the employer falls under 

such an exemption during the opening conference.

1. OSHA On-Site Consultation Visits.
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a. In accordance with §1908.7 and Chapter VII., of CSP 02-00-002, The 

Consultation Policies and Procedures Manual, CSHOs shall ascertain at the 

opening conference whether an OSHA-funded consultation visit is in progress. A 

consultation Visit in Progress extends, from the beginning of the opening 

conference to the end of the correction due dates (including extensions).

b. An on-site consultation Visit in Progress has priority over programmed 

inspections except for imminent danger investigations, fatality/catastrophe 

investigations, complaint investigations, and other critical inspections as 

determined by the Assistant Secretary. See §1908.7(b)(2).

2. Safety and Health Achievement Recognition Program (SHARP).

a. Upon verifying that the employer is a current participant, the CSHO shall notify 

the Area Director or designee so that the company can be removed from the 

OSHA General Programmed Inspection Schedule for the approved exemption 

period, which begins on the date the Regional Office approves the employer’s 

participation in SHARP.

b. The initial exemption period is up to two years. The renewal exemption period is 

up to three years, based on the recommendation of the Consultation Project 

Manager.

3. Voluntary Protection Programs (VPP).

Inspections at a VPP site may be conducted in response to referrals, formal 

complaints, fatalities, and catastrophes.

NOTE: A Compliance Officer who was previously a VPP on-site team member 

will generally not conduct an enforcement inspection at that VPP site for the 

following 2 years or until the site is no longer a VPP participant, whichever occurs 

first. See CSP 03-01-003, Voluntary Protection Programs (VPP): Policies and 

Procedures Manual, April 18, 2008. On a case-by-case basis, the Regional Solicitor 

may override this provision.

E. Disruptive Conduct.

CSHOs may deny the right of accompaniment to any person whose conduct interferes 

with a fair and orderly inspection. See §1903.8(d). If disruption or interference occurs, 

the CSHO shall contact the Area Director or designee as to whether to suspend the 

walkaround inspection or take other action. The employee representative shall be 

advised that, during the inspection, matters unrelated to the inspection shall not be 

discussed with employees.

F. Classified Areas.

In areas containing information classified by an agency of the U.S. Government in the 

interest of national security, only persons authorized to have access to such information 

may accompany a CSHO on the inspection. See §1903.8(d).

VI. Review of Records.

A. Injury and Illness Records.

1. Collection of Data.

a. At the start of each inspection, the CSHO shall review the employer’s injury and 

illness records for five prior calendar years, record the information on a copy of 

the OSHA-300 screen, and enter the employer’s data using the OIS Application 
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on the NCR (micro). This shall be done for all general industry, construction, 

maritime, and agriculture inspections and investigations.

b. CSHOs shall use these data to calculate the Days Away, Restricted, or 

Transferred (DART) rate and to observe trends, potential hazards, types of 

operations and work-related injuries.

c. If recordkeeping deficiencies or unsound employer safety incentive policies are 

discovered, the CSHO and the Area Director (or designee) may request assistance 

from the Regional Recordkeeping Coordinator. See Richard E. Fairfax Memo, 

Employer Safety Incentive and Disincentive Policies and Practices (March 12, 

2013) at: http://www.osha.gov/as/opa/whistleblowermemo.html.

2. Information to be Obtained.

a. CSHOs shall request copies of the OSHA-300 Logs, the total hours worked and 

the average number of employees for each year, and a roster of current 

employees.

b. If CSHOs have questions regarding a specific case on the log, they shall request 

the OSHA-301s or equivalent form for that case.

c. CSHOs shall check if the establishment has an on-site medical facility and/or the 

location of the nearest emergency room where employees may be treated.

NOTE: The total hours worked and the average number of employees for each 

year can be found on the OSHA-300A for all past years.

3. Automatic DART Rate Calculation.

CSHOs will not normally need to calculate the Days Away, Restricted, or Transferred 

(DART) rate since it is automatically calculated when the OSHA-300 data are entered 

into the OIS. If one of the three years is a partial year, so indicate and the software 

will calculate accordingly.

4. Manual DART Rate Calculation.

If it is necessary to calculate rates manually, the CSHO will need to calculate the 

DART Rates individually for each calendar year using the following procedures. The 

DART rate includes cases involving days away from work, restricted work activity, 

and transfers to another job.

The formula is:

(N/EH) x (200,000) where:

 N is the number of cases involving days away and/or restricted work 

activity and job transfers.

 EH is the total number of hours worked by all employees during the 

calendar year; and

 200,000 is the base number of hours worked for 100 full-time equivalent 

employees.

EXAMPLE 3-1: Employees of an establishment (XYZ Company), 

including management, temporary and leased workers, worked 645,089 

hours at XYZ company. There were 22 injury and illness cases involving 

days away and/or restricted work activity and/or job transfer from the 

OSHA-300 Log (total of column H plus column I). The DART rate would 

be (22÷645,089) x (200,000) = 6.8.
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5. Construction.

For construction inspections/investigations, only the OSHA-300 information for the 

prime/general contractor needs to be recorded (where such records exist and are 

maintained). It will be left to the discretion of the Area Director or the CSHO as to 

whether OSHA-300 data should also be recorded for any of the subcontractors.

6. Federal Agencies.

Federal agency injury and illness recording and reporting requirements shall comply 

with the requirements under §1904, subparts C, D, E, and G, except that the 

definition of “establishment” found in §1960.2(h) will remain applicable to federal 

agencies.

B. Recording Criteria.

Employers must record new work-related injuries and illnesses that meet one or more of 

the general recording criteria or meet the recording criteria for specific types of 

conditions.

1. Death;

2. Days Away from Work;

3. Restricted Work;

4. Transfer to another job;

5. Medical treatment beyond first aid;

6. Loss of consciousness;

7. Diagnosis of a significant injury or illness; or

8. Meet the recording criteria for Specific Cases noted in §1904.8 through §1904.11.

C. Recordkeeping Deficiencies.

1. If recordkeeping deficiencies are suspected, the CSHO and the Area Director or 

designee may request assistance from the Regional Recordkeeping Coordinator. If 

there is evidence that the deficiencies or inaccuracies in the employer’s records 

impair the ability to assess hazards, injuries and/or illnesses at the workplace, a 

comprehensive records review shall be performed.

2. Other information related to this topic:

a. See CPL 02-00-135, Recordkeeping Policies and Procedures Manual, December 

30, 2004, and CPL 02-02-072, Rules of Agency Practice and Procedure 

concerning OSHA Access to Employee Medical Records, August 22, 2007.

b. Other OSHA programs and records will be reviewed, including hazard 

communication, lockout/tagout, emergency evacuation and personal protective 

equipment. Additional programs will be reviewed as necessary.

c. Many standard-specific directives provide additional instruction to CSHOs 

requesting certain records and/or documents at the opening conference.

d. There are several types of workplace policies and practices that could discourage 

employee reports of injuries and could constitute a violation of section 11(c) of 

the OSH Act. These policies and practices, otherwise known as employer safety 

incentive and disincentive policies and practices, may also violate OSHA’s 

recordkeeping regulations. OSHA enumerated the most common potentially 

discriminatory policies in the (March 12, 2012) Memorandum from OSHA 
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Deputy Asst. Sec. Richard E. Fairfax: Employer Safety Incentive and 

Disincentive Policies and Practices.

VII. Walkaround Inspection.

The main purpose of the walkaround inspection is to identify potential safety and/or health 

hazards in the workplace. CSHOs shall conduct the inspection in such a manner as to avoid 

unnecessary personal exposure to hazards and to minimize unavoidable personal exposure to 

the extent possible.

A. Walkaround Representatives.

Persons designated to accompany CSHOs during the walkaround are considered 

walkaround representatives, and will generally include those designated by the employer 

and employees. At establishments where more than one employer is present or in 

situations where groups of employees have different representatives, it is acceptable to 

have a different employer/employee representative for different phases of the inspection. 

More than one employer and/or employee representative may accompany the CSHO 

throughout or during any phase of an inspection if the CSHO determines that such 

additional representatives will aid, and not interfere with, the inspection. See §1903.8(a). 

The importance of worker participation to an effective workplace safety and health 

inspection was clearly established in 1903.8(e) of the OSH Act which provides that 

“[s]ubject to regulations issued by the Secretary, a representative of the employer and a 

representative authorized by his employees shall be given an opportunity to accompany 

the Secretary or his authorized representative during the physical inspection of any 

workplace...for the purpose of aiding such inspection.”

However, 1903.8(c) states that “Compliance Safety and Health Officers are authorized 

to deny the right of accompaniment under this section to any person whose conduct 

interferes with a fair and orderly inspection,” which includes any activity not directly 

related to conducting an effective and thorough physical inspection of the workplace.

1. Employees Represented by a Certified or Recognized Bargaining Agent.

During the opening conference, the highest ranking union official or union employee 

representative on-site shall designate who will participate in the walkaround. OSHA 

regulation §1903.8(b) gives the CSHO the authority to resolve all disputes as to 

whom is the representative authorized by the employer and employees. Section 

1903.8(c) states that the representative authorized by the employees shall be an 

employee of the employer. If in the judgement of the CSHO, good cause has been 

shown why accompaniment by a third party, who is not an employee of the employer 

(such as an industrial hygienist or a safety engineer), and is reasonably necessary to 

conduct an effective and thorough physical inspection of the workplace; such third 

party may accompany CSHOs during the inspection. It is OSHA’s view that 

representatives are “reasonably necessary”, when they make a positive contribution to 

a thorough and effective inspection. 

2. No Certified or Recognized Bargaining Agent.

Where employees are not represented by an authorized representative, there is no 

established safety committee, or employees have not chosen or agreed to an 

employee representative for OSHA inspection purposes (regardless of the existence 

of a safety committee), CSHOs shall determine if other employees would suitably 

represent the interests of employees on the walkaround. 
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If selection of such an employee is impractical, CSHOs shall conduct interviews 

with a reasonable number of employees during the walkaround.

In some cases, workers without a certified or recognized bargaining agent may 

authorize third party organizations and/or individuals to be their representatives 

during an inspection. As with non-employee representatives authorized by workers 

with a recognized bargaining agent, allowing this category of third party 

representative to accompany OSHA compliance officers on an inspection is 

appropriate if the representative will help achieve an effective and thorough health 

and safety inspection. The purpose of a walkaround representative is to assist the 

inspection by helping the compliance officer receive valuable health and safety 

information from workers who may not be able or willing to provide such 

information absent the third party participants.

3. Safety Committee or Employees at Large.

Employee members of an established workplace safety committee or employees at 

large may designate an employee representative for OSHA inspection purposes.

B. Evaluation of Safety and Health Management System.

The employer’s safety and health management system shall be evaluated to determine its 

good faith for the purposes of penalty calculation. See Chapter 6, Penalties and Debt 

Collection.

C. Record All Facts Pertinent to a Violation.

1. Safety and health violations shall be brought to the attention of employer and 

employee representatives at the time they are documented.

2. CSHOs shall record, at a minimum, the identity of the exposed employee, the hazard 

to which the employee was exposed, the employee’s proximity to the hazard, the 

employer’s knowledge of the condition, the manner in which important 

measurements were obtained, and how long the condition has existed.

3. CSHOs will document interview statements in a thorough and accurate manner; 

including names, dates, times, locations, types of materials, positions of pertinent 

articles, witnesses, etc.

NOTE: If employee exposure to hazards is not observed, the CSHO shall 

document facts on which the determination can be made whether an employee has 

been or could be exposed. See Chapter 4, Violations and Chapter 5, Case File 

Preparation and Documentation.

D. Testifying in Hearings.

CSHOs may be required to testify in hearings on OSHA’s behalf, and shall be mindful of 

this fact when recording observations during inspections. The case file shall reflect 

conditions observed in the workplace as accurately and detailed as possible.

E. Trade Secrets.

A trade secret, as referenced in Section 15 of the Act, includes information concerning or 

related to processes, operations, style of work, or apparatus, or to the identity, 

confidential statistical data, amount or source of any income, profits, losses, or 

expenditures of any person, firm, partnership, corporation, or association. See 18 USC 

1905.

1. Policy.

CSHOs and OSHA personnel shall preserve the confidentiality of trade secrets.

2. Restriction and Controls.
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At the commencement of an inspection, the employer may identify areas in the 

establishment which contain or which might reveal a trade secret. If the CSHO has 

no clear reason to question such identification, information obtained in such areas, 

including all negatives, photographs, videotapes, environmental samples and OSHA 

documentation forms, shall be labeled:

“Confidential – Trade Secret”

a. Under Section 15 of the Act, all information reported to or obtained by CSHOs in 

connection with any inspection or other activity that contains or that might reveal 

a trade secret shall be kept confidential. Such information shall not be disclosed 

except to other OSHA officials concerned with the enforcement of the Act or, 

when relevant, in any proceeding under the Act.

b. Title 18 USC 1905 provides criminal penalties for Federal employees who 

disclose such information. These penalties include fines of up to $1,000 or 

imprisonment for up to one year, or both, and removal from office or 

employment.

c. Trade secret materials shall not be labeled as “Top Secret,” “Secret,” or 

“Confidential,” nor shall these security classification designations be used in 

conjunction with other words unless the trade secrets are also classified by an 

agency of the U.S. Government in the interest of national security.

3. If the employer objects to the taking of photographs and/or videotapes because trade 

secrets would or may be disclosed, CSHOs should advise the employer of the 

protection against such disclosure afforded by Section 15 of the Act and §1903.9. If 

the employer still objects, CSHOs shall contact the Area Director or designee.

F. Collecting Samples.

1. CSHOs shall determine, early in the inspection, whether sampling (such as, but not 

limited to, air sampling and surface sampling) is required by using the information 

collected during the walk-around and from the pre-inspection review.

2. Summaries of sampling results shall be provided on request to the appropriate 

employees (including those exposed or likely to be exposed to a hazard), to employer 

representatives and to employee representatives.

G. Photographs and Videotapes.

1. Photographs and/or videotapes, shall be taken whenever CSHOs determine there is a 

need.

a. Photographs that support violations shall be properly labeled, and may be 

attached to the appropriate Violation (OSHA-1B).

b. CSHOs shall ensure that any photographs relating to confidential trade secret 

information are identified as such and are kept separate from other evidence.

2. All film and photographs or videotape shall be retained in the case file. If lack of 

storage space does not permit retaining the film, photographs or videotapes with the 

file, they may be stored elsewhere with a reference to the corresponding inspection. 

Videotapes shall be properly labeled. For more information regarding guidelines for 

case file documentation with video, audio and digital media, see OSHA Instruction 

CPL 02-00-098, Guidelines for Case File Documentation for Use with Videotapes 

and Audiotapes, October 12, 1993, [and any other directives related to photograph 

and videotape retention.]

H. Violations of Other Laws.
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If a CSHO observes apparent violations of laws enforced by other government agencies, 

such cases shall be referred to the appropriate agency. Referrals shall be made using 

appropriate Regional procedures.

I. Interviews of Non-Managerial Employees.

A free and open exchange of information between CSHOs and employees is essential to

an effective inspection. Interviews provide an opportunity for employees to supply 

valuable factual information concerning hazardous conditions, including information on 

how long workplace conditions have existed, the number and extent of employee 

exposure(s) to a hazardous condition, and the actions of management regarding 

correction of a hazardous condition.

1. Background.

a. Section 8(a)(2) of the Act authorizes CSHOs to question any employee privately 

during regular working hours or at other reasonable times during the course of an 

OSHA inspection. The purpose of such interviews is to obtain whatever information CSHOs deem necessary or useful in carrying out inspections effectively. 

The mandate to interview employees in private is OSHA’s right.

b. Employee interviews are an effective means to determine if an advance notice of 

inspection has adversely affected the inspection conditions, as well as to obtain 

information regarding the employer’s knowledge of the workplace conditions or 

work practices in effect prior to, and at the time of, the inspection. During 

interviews with employees, CSHOs should ask about these matters.

c. CSHOs should also obtain information concerning the presence and/or 

implementation of a safety and health system to prevent or control workplace 

hazards.

d. If an employee refuses to be interviewed, the CSHO shall use professional 

judgment, in consultation with the Area Director or designee, in determining the 

need for the employee’s statement.

2. Employee Right of Complaint.

CSHOs may consult with any employee who desires to discuss a potential violation. 

Upon receipt of such information, CSHOs shall investigate the alleged hazard, where 

possible, and record the findings.

3. Time and Location of Interviews.

CSHOs are authorized to conduct interviews during regular working hours and at 

other reasonable times, and in a reasonable manner at the workplace. Interviews 

often occur during the walkaround, but may be conducted at any time during an 

inspection. If necessary, interviews may be conducted at locations other than the 

workplace. CSHOs should consult with the Area Director if an interview is to be 

conducted someplace other than the workplace. Where appropriate, OSHA has the 

authority to subpoena an employee to appear at the Area Office for an interview.

4. Conducting Interviews of Non-Managerial Employees in Private.

CSHOs shall inform employers that interviews of non-managerial employees will be 

conducted in private. CSHOs are entitled to question such employees in private 

regardless of employer preference. If an employer interferes with a CSHOs ability to 

do so, the CSHO should request that the AD consult with the RSOL to determine 

appropriate legal action. Interference with a CSHOs ability to conduct private 
3-18

interviews with non-managerial employees includes, but is not limited to, attempts by 

management officials or representatives to be present during interviews.

5. Conducting Employee Interviews.

a. General Protocols.

 At the beginning of the interview CSHOs should identify themselves to the 

employee by showing their credentials, and provide the employee with a 

business card. This allows employees to contact CSHOs if they have further 

information at a later time.

 CSHOs should explain to employees that the reason for the interview is to 

gather factual information relevant to a safety and health inspection. It is not 

appropriate to assume that employees already know or understand the 

agency’s purpose. Particular sensitivity is required when interviewing a nonEnglish speaking employee. In such instances, CSHOs should initially 

determine whether the employee’s comprehension of English is sufficient to 

permit conducting an effective interview. If an interpreter is needed, CSHOs 

should contact the General Services Administration (GSA) tele-interpreter or 

use the Area Office’s protocol for interpreters.

 Every employee should be asked to provide his or her name, home address 

and phone number. CSHOs should request identification and make clear the 

reason for asking for this information.

 CSHOs shall inform employees that OSHA has the right to interview them in 

private and of the protections afforded under Section 11(c) of the Act.

 In the event an employee requests that a representative of the union be 

present, CSHOs shall make a reasonable effort to honor the request.

 If an employee requests that his/her personal attorney be present during the 

interview, CSHOs should honor the request and, before continuing with the 

interview, consult with the Area Director for guidance.

 Rarely, an attorney for the employer may claim that individual employees 

have also authorized the attorney to represent them. Such a situation creates a 

potential conflict of interest. CSHOs should ask the affected employees 

whether they have agreed to be represented by the attorney. If the employees 

indicate that they have, CSHOs should consult with the Area Director, who 

will contact the RSOL.

b. Interview Statements.

Interview statements of employees or other persons shall be obtained whenever 

CSHOs determine that such statements would be useful in documenting potential 

violations. Interviews shall normally be reduced to writing and written in the first 

person in the language of the individual. Employees shall be encouraged to sign 

and date their statement.

 Any changes or corrections to the statement shall be initialed by the 

individual. Statements shall not otherwise be changed or altered in any 

manner.

 Statements shall include the words, “I request that my statement be held 

confidential to the extent allowed by law” and end with the following; “I 

have read the above, and it is true to the best of my knowledge.”
3-19

 If the person making the declaration refuses to sign, the CSHO shall note 

the refusal on the statement. The statement shall, nevertheless, be read 

back to the person in an attempt to obtain agreement and then noted in the 

case file.

 A transcription of any recorded statement shall be made when necessary 

to the case.

 Upon request, if a management employee requests a copy of his/her 

interview statement, one shall be given to them.

c. The Informant Privilege.

 The informant privilege allows the government to withhold the identity

of individuals who provide information about the violation of laws, 

including OSHA rules and regulations. CSHOs shall inform employees 

that their statements will remain confidential to the extent permitted by 

law. However, each employee giving a statement should be informed that 

disclosure of his or her identity may be necessary in connection with 

enforcement or court actions.

NOTE: Whenever CSHOs make an assurance of confidentiality as part 

of an investigation (i.e., informs the person giving the statement that their 

identity will be protected), the pledge shall be reduced to writing and 

included in the case file.

 The privilege also protects the contents of statements to the extent that 

disclosure may reveal the witness identity. Where the contents of a 

statement will not disclose the identity of the informant (i.e., do not reveal 

the witness’ job title, work area, job duties, or other information that 

would tend to reveal the individual’s identity), the privilege does not

apply. Interviewed employees shall be told that they are under no legal 

obligation to inform anyone, including employers, that they provided 

information to OSHA. Interviewed employees shall also be informed that 

if they voluntarily disclose such information to others, it may impair the 

agency’s ability to invoke the privilege.

J. Multi-Employer Worksites.

On multi-employer worksites (in all industry sectors), more than one employer may be 

cited for a hazardous condition that violates an OSHA standard. A two-step process must 

be followed to determine whether more than one employer is to be cited. See CPL 02-

00-124, Multi-Employer Citation Policy, December 10, 1999, for further guidance.

K. Administrative Subpoena.

Whenever there is a reasonable need for records, documents, testimony and/or other 

supporting evidence necessary for completing an inspection scheduled in accordance with 

any current and approved inspection scheduling system or an investigation of any matter 

properly falling within the statutory authority of the agency, the Regional Administrator, 

or authorized Area Director or designee, may issue an administrative subpoena. See 

Chapter 15, Legal Issues.

L. Employer Abatement Assistance.

1. Policy.

CSHOs shall offer appropriate abatement assistance during the walkaround to explain 

how workplace hazards might be eliminated. The information shall provide the 
3-20

employee with guidance to develop acceptable abatement methods or to seek 

appropriate professional assistance. CSHOs shall not imply OSHA endorsement of 

any product through use of specific product names when recommending abatement 

measures. The issuance of citations shall not be delayed.

2. Disclaimers.

The employer shall be informed that:

a. The employer is not limited to the abatement methods suggested by OSHA;

b. The methods explained are general and may not be effective in all cases; and

c. The employer is responsible for selecting and carrying out an effective abatement 

method, and maintaining the appropriate documentation.

VIII. Closing Conference.

A. Participants.

At the conclusion of an inspection, CSHOs shall conduct a closing conference with the 

employer and the employee representatives, jointly or separately, as circumstances 

dictate. The closing conference may be conducted on-site or by telephone as CSHOs 

deem appropriate. If the employer refuses to allow a closing conference, the 

circumstances of the refusal shall be documented in the Narrative (OSHA-1A) and the 

case shall be processed as if a closing conference had been held.

NOTE: When conducting separate closing conferences for employers and labor 

representatives (where the employer has declined to have a joint closing conference with 

employee representatives), CSHOs shall normally hold the conference with employee 

representatives first, unless the employee representative requests otherwise. This 

procedure will ensure that worker input is received before employers are informed of 

violations and proposed citations.

B. Discussion Items.

1. CSHOs shall discuss the apparent violations and other pertinent issues found during 

the inspection and note relevant comments on the Violation (OSHA-1B), including 

input for establishing correction dates.

2. CSHOs shall give employers the publication, “Employer Rights and Responsibilities 

Following a Federal OSHA Inspection,” (OSHA-3000) which explains the 

responsibilities and courses of action available to the employer if a citation is issued, 

including their rights under the Small Business Regulatory Enforcement Fairness Act 

(SBREFA). (See SBREFA on OSHA’s public webpage.) CSHOs shall then briefly 

discuss the information in the booklet and answer any questions. All matters 

discussed during the closing conference shall be documented in the case file, 

including a note describing printed materials distributed.

3. CSHOs shall discuss the strengths and weaknesses of the employer’s occupational 

safety and health system and any other applicable programs, and advise the employer 

of the benefits of an effective program and provide information, such as OSHA’s 

website, describing program elements.

4. Both the employer and employee representatives shall be advised of their rights to 

participate in any subsequent conferences, meeting or discussions, and their contest 

rights. Any unusual circumstances noted during the closing conference shall be 

documented in the case file.
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5. Since CSHOs may not have all pertinent information at the time of the first closing 

conference, a second closing conference may be held by telephone or in person.

6. CSHOs shall advise employee representatives that:

a. Under 29 CFR 2200.20 of the Occupational Safety and Health Review 

Commission regulations, if an employer contests a citation, the employees have a 

right to elect “party status” before the Review Commission;

b. The employer should notify them if a notice of contest or a petition for 

modification of abatement date is filed;

c. They have Section 11(c) rights; and

d. They have a right to contest the abatement date. Such contests must be in writing 

and must be postmarked within 15 working days after receipt of the citation.

C. Advice to Attendees.

1. The CSHO shall advise those attending the closing conference that a request for an 

informal conference with the OSHA Area Director is encouraged, as it provides an 

opportunity to:

a. Resolve disputed citations and penalties without the need for litigation, which can 

be time-consuming and costly;

b. Obtain a more complete understanding of the specific safety or health standards 

that apply;

c. Discuss ways to correct the violations;

d. Discuss issues concerning proposed penalties;

e. Discuss proposed abatement dates;

f. Discuss issues regarding employee safety and health practices; and

g. Learn more about other OSHA programs and services available.

2. If a citation is issued, an informal conference or the request for one does not extend 

the 15-working-day period during which the employer or employee representatives 

may contest.

3. Oral disagreement or expression(s) during an informal conference, of intent to contest 

a citation, penalty or abatement date does not replace the requirement that the 

employer’s Notice of Contest be in writing.

4. Employee representatives have the right to participate in informal conferences or 

negotiations between the Area Director and the employer in accordance with the 

guidelines given in Chapter 7, Section II., Informal Conferences.

D. Penalties.

CSHOs shall explain that penalties must be paid within 15 working days after the 

employer receives a Citation and Notification of Penalty (OSHA-2). If, however, an 

employer contests the citation and/or the penalty, penalties need not be paid for the 

contested items until the date that the citation/notification of penalty becomes a final 

order.

E. Feasible Administrative, Work Practice and Engineering Controls.

Where appropriate, CSHOs will discuss control methodology with the employer during 

the closing conference.

1. Definitions.
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a. Engineering Controls: Consist of substitution, isolation, ventilation and 

equipment modification.

b. Administrative Controls: Any procedure that significantly limits daily exposure 

by manipulation of the work schedule or altering the organization of 

accomplishing the work is considered an administrative control. The use of 

personal protective equipment is not considered an administrative control.

c. Work Practice Controls: Methods such as changing work habits, improving 

sanitation and hygiene practices, or making other changes in the way the 

employee performs the job, in order to reduce or eliminate employee exposure to 

the hazard.

d. Feasibility: Abatement measures required to correct a citation item are feasible 

when they are capable of being done. The CSHO, following current directions 

and guidelines, shall inform the employer, where appropriate, that a 

determination will be made about whether engineering or administrative controls 

are feasible.

e. Technical Feasibility: The existence of technical know-how about materials and 

methods available or adaptable to specific circumstances, which can be applied to 

a cited violation with a reasonable possibility that employee exposure to 

occupational hazards will be reduced.

f. Economic Feasibility: This means that the employer is financially able to 

undertake the measures necessary to abate the citations received.

NOTE: If an employer’s level of compliance lags significantly behind that of 

its industry, an employer’s claim of economic infeasibility will not be accepted.

2. Documenting Claims of Infeasibility.

a. CSHOs shall document the underlying facts that may support an employer’s 

claim of infeasibility.

b. When economic infeasibility is claimed, the CSHO shall inform the employer 

that, although the cost of corrective measures to be taken will generally not be 

considered as a factor in the issuance of a citation, it may be considered during an 

informal conference or during settlement negotiations.

c. CSHOs should avoid discussing complex issues regarding feasibility. These 

should be referred to the Area Director or designee for determination.

F. Reducing Employee Exposure.

Employers shall be advised that, whenever feasible, engineering, administrative or work 

practice controls must be instituted, even if they are not sufficient to eliminate the hazard 

completely (or to reduce exposure to or below the permissible exposure limit). Such 

controls are required in conjunction with personal protective equipment to further reduce 

exposure to the lowest practical level.

G. Abatement Verification.

During the closing conference the Compliance Officer should thoroughly explain to the 

employer the abatement verification requirements. See Chapter 7, Post Inspection 

Procedures and Abatement Verification.

1. Abatement Certification.

Abatement certification is required for each citation item(s) that the employer 

receives, except those identified as “Corrected During Inspection.”
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2. Corrected During Inspection (CDI).

Violations that will reflect on-site abatement and will be identified in the citations as 

“Corrected During Inspection” shall be reviewed at the closing conference.

3. Abatement Documentation.

Abatement documentation, the employer’s physical proof of abatement, is required to 

be submitted along with each willful, repeat and designated serious violation. To 

minimize confusion, the distinction between abatement certification and abatement 

documentation should be discussed.

4. Placement of Abatement Verification Tags.

The required placement on movable equipment of either abatement verification tags 

or the citation must also be discussed at the closing conference, if it has not been 

discussed during the walkaround portion of the inspection. See §1903.19(i).

5. Requirements for Extended Abatement Periods.

Where extended abatement periods are involved, the requirements for abatement 

plans and progress reports shall be discussed.

H. Employee Discrimination.

The CSHO shall emphasize that the Act prohibits employers from discharging or 

discriminating in any way against an employee who has exercised any right under the 

Act, including the right to make safety or health complaints or to request an OSHA 

inspection.

IX. Special Inspection Procedures.

A. Follow-up and Monitoring Inspections.

The primary purpose of a follow-up inspection is to determine if the previously cited 

violations have been corrected. Monitoring inspections are conducted to ensure that 

hazards are being abated and employees protected, whenever a long period of time is 

needed for an establishment to come into compliance (or to verify compliance with the 

terms of granted variances). Issuance of willful, repeated and high gravity serious 

violations, failure to abate notifications, and/or citations related to imminent danger 

situations are examples of prime candidates for follow-up or monitoring inspections. 

These type of inspections will not normally be conducted when evidence of abatement is 

provided by the employer or employee representative(s).

1. Failure to Abate.

a. A failure to abate exists when a previously cited violation continues unabated and 

the abatement date has passed or the abatement date is covered under a settlement 

agreement, or the employer has not complied with interim measures within the 

allotted time specified in a long-term abatement plan.

b. If previously cited items have not been corrected, a Notice of Failure to Abate 

Alleged Violation shall normally be issued. If a subsequent inspection indicates 

the condition has still not been abated, the RSOL shall be consulted for further 

guidance.

NOTE: If the employer has demonstrated a good faith effort to comply, a late 

Petition for Modification of Abatement (PMA) may be considered in accordance

with Chapter 7, Section III, Petition for Modification of Abatement (PMA).
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c. If an originally cited violation has at one point been abated but subsequently 

recurs, a citation for a repeated violation may be appropriate.

2. Reports.

a. For any items found to be abated, a copy of the previous Violation (OSHA-1B), 

Violation (OSHA-1B-IH), or citation can be noted as “corrected”, along with a 

brief explanation of the abatement measures taken. This information may be 

included in the narrative of the investigative file.

b. In the event that any item has not been abated, complete documentation shall be 

included on a Violation (OSHA-1B).

3. Follow-up Files.

Follow-up inspection reports shall be included with the original (parent) case file.

B. Construction Inspections.

1. Standards Applicability.

The standards published as 29 CFR Part 1926 have been adopted as occupational 

safety and health standards under Section 6(a) of the Act and §1910.12. They shall 

apply to every employment and place of employment of every employee engaged in 

construction work, including non-contract construction.

2. Definition.

The term “construction work” as defined by §1926.32(g) means work for 

construction, alteration, and/or repair, including painting and decorating. These terms 

are also discussed in §1926.13. If any question arises as to whether an activity is 

deemed to be “construction” for purposes of the Act, the Director of the Directorate 

of Construction shall be consulted.

3. Employer Worksite.

a. Inspections of employers in the construction industry are not easily separable into 

distinct worksites. The worksite is generally the site where the construction is 

being performed (e.g., the building site, the dam site). Where the construction 

site extends over a large geographical area (e.g., road building), the entire job will 

be considered a single worksite. In cases when such large geographical areas 

overlap between Area Offices, generally only operations of the employer within 

the jurisdiction of any Area Office will be considered as the worksite of the 

employer.

b. When a construction worksite extends beyond a single Area Office and the 

CSHO believes that the inspection should be extended, the affected Area 

Directors shall consult with each other and take appropriate action.

4. Upon Entering the Workplace.

a. CSHOs shall ascertain whether there is a representative of a federal contracting 

agency at the worksite. If so, they shall contact the representative, advise him/her 

of the inspection and request that the representative attend the opening 

conference.

b. If the inspection is being conducted as a result of a complaint, a copy of the 

complaint should be given to the general contractor and any affected subcontractors.

5. Closing Conference.
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Upon completion of the inspection, the CSHO shall confer with the general 

contractor(s) and all appropriate subcontractors or their representatives, together or 

separately, and advise each one of all the apparent violations disclosed by the 

inspection to which each establishments employees were exposed, or violations 

which the employer created or controlled. Employee representatives participating in 

the inspection shall also be afforded the right to participate in the closing 

conference(s).

C. Federal Agency Inspections.

Policies and procedures for Federal agencies are to be the same as those followed in the 

private sector. See Chapter 13, Federal Agency Field Activities.
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Chapter 4

VIOLATIONS

I. Basis of Violations.

A. Standards and Regulations.

1. Section 5(a)(2) of the Act states that each employer has a responsibility to comply 

with occupational safety and health standards promulgated under the Act, which 

includes standards incorporated by reference. For example, the American National 

Standards Institute (ANSI) standard A92.2 – 1969, “Vehicle Mounted Elevating and 

Rotating Work Platforms,” including appendix, is incorporated by reference as 

specified in §1910.67. Only the mandatory provisions, i.e., those containing the word 

“shall” or other mandatory language of standards incorporated by reference, are 

adopted as standards under the Act.

2. The specific standards and regulations are found in Title 29 Code of Federal 

Regulations (CFR) 1900 series. Subparts A and B of 29 CFR 1910 specifically 

establish the source of all the standards, which serve as the basis for violations. 

Standards are subdivided as follows as per OIS Application. For example, 

1910.305(j)(6)(ii)(A)(2) would be entered as follows:

NOTE: The most specific provision of a standard shall be used for citing violations.

3. Definition and Application of Vertical and Horizontal Standards.

Vertical standards are standards that apply to a particular industry or to particular 

operations, practices, conditions, processes, means, methods, equipment, or 

installations. Horizontal standards are other (more general) standards applicable to 

multiple industries. See §1910.5(c).

4. Application of Horizontal and Vertical Standards.

If a CSHO is uncertain whether to cite under a horizontal or a vertical standard when 

both may be applicable, the supervisor or the Area Director shall be consulted. The 

following guidelines shall be considered:

Subdivision Naming 

Convention Example

Title 29

Part 1910

Section 305

Paragraph (j)

Subparagraph (6)

Item (ii)

Sub Item (A)

Sub Item 2 (2)
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a. When a hazard in a particular industry is covered by both a vertical (e.g., 29 CFR 

1915) and a horizontal (e.g., 29 CFR 1910) standard, the vertical standard shall 

take precedence even if the horizontal standard is more stringent.

b. In situations covered by both a horizontal (general) and a vertical (specific) 

standard where the horizontal standard appears to offer greater protection, the 

horizontal (general) standard may be cited only if its requirements are not 

inconsistent or in conflict with the requirements of the vertical (specific) 

standard. To determine whether there is a conflict or inconsistency between the 

standards, an analysis of the intent of the two standards must be performed. For 

the horizontal standard to apply, the analysis must show that the vertical standard 

does not address the precise hazard involved, even though it may address related 

or similar hazards.

EXAMPLE 4-1: When employees are connecting structural steel, 

§1926.501(b)(15) may not be cited for fall hazards above 6 feet since that specific 

situation is covered by §1926.760(b)(1) for fall distances of more than 30 feet.

c. If the particular industry does not have a vertical standard that covers the hazard, 

then the CSHO shall use the horizontal (general industry) standard.

d. When determining whether a horizontal or a vertical standard is applicable to a 

work situation, the CSHO shall focus attention on the particular activity an 

employer is engaged in rather than on the nature of the employer’s general 

business.

e. Hazards found in construction work that are not covered by a specific 29 CFR 

1926 standard shall not normally be cited under 29 CFR 1910 unless that standard 

has been identified as being applicable to construction. See Incorporation of 

General Industry Safety and Health Standards Applicable to Construction Work, 

58 FR 35076 (June 30, 1993).

f. If a question arises as to whether an activity is deemed “construction” for 

purposes of the Act, contact the Directorate of Construction (DOC). See 

§1910.12, Construction Work.

g. For the application of standards in the maritime industries (29 CFR Parts 1915, 

1917, 1918, and 1919) see Chapter 10 Section III., Maritime.

5. Violation of Variances.

The employer’s requirement to comply with a standard may be modified through 

granting of a variance, as outlined in Section 6(d) of the Act.

a. In the event that the employer is not in compliance with the requirements of the 

variance, a violation of the controlling standard shall be cited with a reference in 

the citation to the variance provision that has not been met.

b. If, during an inspection, CSHOs discover that an employer has filed a variance 

application regarding a condition that is an apparent violation of a standard, the 

Area Director or designee shall determine whether the variance request has been 

granted. If the variance has not been granted, a citation for the violative 

condition may be issued.

B. Employee Exposure.

A hazardous condition that violates an OSHA standard or the general duty clause shall be 

cited only when employee exposure can be documented. The exposure(s) must have 

occurred within the six months immediately preceding the issuance of the citation to 
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serve as a basis for a violation, except where the employer has concealed the violative 

condition or misled OSHA, in which case the citation must be issued within six months 

from the date when OSHA learns, or should have known, of the condition. The RSOL 

should be consulted in such cases.

1. Determination of Employer/Employee Relationship.

Whether or not workers are employees of a particular employer depends on several 

factors, the most important of which is who controls the manner in which employees 

perform their assigned work. The question of who pays these employees may not be 

the key factor. For cases where determination of the employer/employee relationship 

is complex, the Area Director shall seek the advice of the RSOL.

2. Proximity to the Hazard.

The actual and/or potential proximity of the employees to a hazard shall be 

thoroughly documented (i.e., photos, measurements, and employee interviews).

3. Observed Exposure.

a. Employee exposure is established if CSHOs witness, observe, or monitor the 

proximity or access of an employee to the hazard or potentially hazardous 

condition. 

b. The use of personal protective equipment may not, in itself, adequately prevent 

employee exposures to a hazardous condition. Such exposures may be cited 

where the applicable standard requires the additional use of engineering and/or 

administrative (including work practice) controls, or where the personal 

protective equipment used is inadequate.

4. Unobserved Exposure.

Where employee exposure is not observed, witnessed, or monitored by CSHOs, 

employee exposure may be established through witness statements or other evidence 

that exposure to a hazardous condition has occurred or may continue to occur.

a. Past Exposure.

In fatality/catastrophe (or other “accident/incident”) investigations, prior 

employee exposure(s) may be established if CSHOs establish, through written 

statements or other evidence, that exposure(s) to a hazardous condition occurred 

at the time of the accident/incident. Additionally, prior exposures may serve as 

the basis for a violation when:

 The hazardous condition continues to exist, or it is reasonably predictable 

that the same or similar condition could recur;

 It is reasonably predictable that employee exposure to a hazardous 

condition could recur when:

o The employee exposure has occurred in the previous six months;

o The hazardous condition is an integral part of an employer’s 

normal operations; and

o The employer has not established a policy or program to ensure 

that exposure to the hazardous condition will not recur.

b. Potential Exposure.
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Potential exposure to a hazardous condition may be established if there is 

evidence that employees have access to the hazard, and may include one or more 

of the following:

 When a hazard has existed and could recur because of work patterns, 

circumstances, or anticipated work requirements;

 When a hazard would pose a danger to employees simply by their 

presence in an area and it is reasonably predictable that they could come 

into that area during the course of the work, to rest or to eat, or to enter or 

exit from an assigned work area; or

 When a hazard is associated with the use of unsafe machinery or 

equipment or arises from the presence of hazardous materials and it is 

reasonably predictable that an employee could again use the equipment or 

be exposed to the materials in the course of work; however

 If the inspection reveals an adequately communicated and effectively 

enforced safety policy or program that would prevent or minimize 

employee exposure, including accidental exposure to the hazardous 

condition, it would not be reasonably predictable that employee exposure 

could occur. In such circumstances, no citation should be issued in 

relation to the condition.

c. Documenting Employee Exposure.

CSHOs shall thoroughly document exposure, both observed and unobserved, for 

each potential violation. This includes:

 Statements by the exposed employees, the employer (particularly the 

immediate supervisor of the exposed employee), other witnesses (other 

employees who have observed exposure to the hazardous condition), 

union representatives, engineering personnel, management, or members 

of the exposed employee’s family;

 Recorded statements or signed written statements;

 Photographs, videotapes, and/or measurements; and

 All relevant documents (e.g., autopsy reports, police reports, job 

specifications, site plans, OSHA-300/301, equipment manuals, employer 

work rules, employer sampling results, employer safety and health 

programs, and employer disciplinary policies).

C. Regulatory Requirements.

Violations of 29 CFR Part 1903 and Part 1904 shall be documented and cited when an 

employer does not comply with posting, recordkeeping and reporting requirements 

contained in these Parts as provided by agency policy. See CPL 02-00-135, 

Recordkeeping Policies and Procedures Manual (December 30, 2004). See also CPL 02-

00-111, Citation Policy for Paperwork and Written Program Requirement Violations, 

dated November 27, 1995.

NOTE: If prior to the lapse of the 8-hour reporting period, the Area Director becomes 

aware of an incident required to be reported under §1904.39 through means other than an 

employer report, there is no violation for failure to report.

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related fatalities, 

hospitalizations, amputations or losses of an eye. The new rule, which also updates the 

list of employers partially exempt from OSHA record-keeping requirements, went into 
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effect on January 1, 2015, for workplaces under federal OSHA jurisdiction. (See 79 FR 

56129, Occupational Injury and Illness Recording and Reporting Requirements – NAICS 

Update and Reporting Revisions, September 18, 2014.)

D. Hazard Communication.

29 CFR 1910.1200 requires chemical manufacturers and importers to classify the 

chemicals they produce or import, and applies to these employers even though they may 

not have their own employees exposed. Violations of this standard by manufacturers or 

importers shall be documented and cited, irrespective of any employee exposure at the 

manufacturing or importing location. See CPL 02-02-079, Inspection Procedures for the 

Hazard Communication Standard (HCS 2012), dated July 9, 2015.

E. Employer/Employee Responsibilities.

1. Employer Responsibilities. 

Section 5(a) of the Act states that each employer “shall furnish to each of his 

employees employment and a place of employment which are free from recognized 

hazards that are causing or are likely to cause death or serious physical harm to his 

employees.” This section also states that each employer “shall comply with

occupational safety and health standards promulgated under this Act.”

2. Employee Responsibilities.

a. Section 5(b) of the Act states: “Each employee shall comply with occupational 

safety and health standards and all rules, regulations, and orders issued pursuant 

to the Act which are applicable to his own actions and conduct.” The Act does 

not provide for the issuance of citations or the proposal of penalties against 

employees. Employers are responsible for employee compliance with the 

standards.

b. In cases where the CSHO determines that employees are systematically refusing 

to comply with a standard applicable to their own actions and conduct, the matter 

shall be referred to the Area Director who shall consult with the Regional 

Administrator or designee.

c. The CSHO is expected to obtain information to ascertain whether the employer is 

exercising appropriate oversight of the workplace to ensure compliance with the 

Act. Concerted refusals by employees to comply will not ordinarily bar the 

issuance of a citation where the employer has failed to exercise its authority to 

adequately supervise employees, including taking appropriate disciplinary action.

3. Affirmative Defenses.

An affirmative defense is a claim which, if established by the employer, will excuse 

the employer from a violation that has otherwise been documented by the CSHO. 

Although affirmative defenses must be proved by the employer at the time of the 

hearing, CSHOs should preliminarily gather evidence to rebut an employer’s 

potential argument supporting any such defenses. See Chapter 5, Section VI,

Affirmative Defenses, for additional information.

4. Multi-Employer Worksites.

On multi-employer worksites in all industry sectors, more than one employer may be 

cited for a hazardous condition that violates an OSHA standard. For specific and 

detailed guidance, see the multi-employer policy contained in CPL 02-00-124, MultiEmployer Citation Policy, dated December 10, 1999.
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II. Serious Violations.

A. Section 17(k).

Section 17(k) of the Act provides that “a serious violation shall be deemed to exist in a 

place of employment if there is a substantial probability that death or serious physical 

harm could result from a condition which exists, or from one or more practices, means, 

methods, operations, or processes which have been adopted or are in use, in such place of 

employment unless the employer did not, and could not with the exercise of reasonable 

diligence, know of the presence of the violation.”

B. Establishing Serious Violations.

1. CSHOs shall consider four factors in determining whether a violation is to be 

classified as serious. The first three factors address whether there is a substantial 

probability that death or serious physical harm could result from an accident/incident 

or exposure relating to the violative condition. The probability that an incident or 

illness will occur is not to be considered in determining whether a violation is serious, 

but is considered in determining the relative gravity of the violation. The fourth 

factor addresses whether the employer knew or could have known of the violative 

condition.

2. The classification of a violation need not be completed for each instance. It should be 

done once for each citation or, if violation items are grouped in a citation, once for 

the group.

3. If the citation consists of multiple instances or grouped violations, the overall 

classification shall normally be based on the most serious item.

4. The four-factor analysis outlined below shall be followed in making a determination 

of whether the violation is serious. Potential violations of the general duty clause 

shall also be evaluated on the basis of these steps to establish whether they may cause 

death or serious physical harm. 

C. Four Steps to be Documented.

1. Type of Hazardous Exposure(s).

The first step is to identify the type of potential exposures to a hazard that the violated 

standard or the general duty clause is designed to prevent.

a. CSHOs need not establish the exact manner in which an exposure to a hazard 

could occur. However, CSHOs shall note all facts which could affect the 

probability of an injury or illness resulting from a potential accident or hazardous 

exposure.

b. If more than one type of hazardous exposure exists, CSHOs shall determine 

which hazard could reasonably be predicted to result in the most severe injury or 

illness and shall base the classification of the violation on that hazard.

c. The following are examples of some types of hazardous exposures that a standard 

is designed to prevent:

EXAMPLE 4-2: Employees are observed working at the unguarded edge of an 

open-sided floor 30 feet above the ground in apparent violation of 

§1926.501(b)(1). The regulation requires that employees be protected from falls 

by the use of guardrail systems, safety net systems, or personal fall arrest 

systems. The type of hazard the standard is designed to prevent, is a fall from the 

edge of the floor to the ground below.
4-7

EXAMPLE 4-3: Employees are observed working in an area in which debris 

is located in apparent violation of §1915.81(c)(2). The type of hazard the 

standard is designed to prevent here, is employees tripping on debris.

EXAMPLE 4-4: An 8-hour time-weighted average sample reveals regular, 

ongoing employee overexposure to methylene chloride at 100 ppm in apparent 

violation of §1910.1052. This is 75 ppm above the PEL, mandated by the 

standard.

2. The Type of Injury or Illness.

The second step is to identify the most serious injury or illness that could reasonably 

be expected to result from the potential hazardous exposure identified in Step 1.

a. In making this determination, CSHOs shall consider all factors that would affect 

the severity of the injury or illness that could reasonably result from the exposure 

to the hazard. CSHOs shall not give consideration at this point to factors relating 

to the probability that an injury or illness will occur.

b. The following are examples of types of injuries that could reasonably be 

predicted to result from exposure to a particular hazard:

EXAMPLE 4-5: If an employee falls from the edge of an open-sided floor 30 

feet to the ground below, the employee could die, break bones, suffer a 

concussion, or experience other serious injuries that would substantially impair a 

body function.

EXAMPLE 4-6: If an employee trips on debris, the trip may cause abrasions 

or bruises, but it is only marginally predictable that the employee could suffer a 

substantial impairment of a bodily function. If however, the area is littered with 

broken glass or other sharp objects, it is reasonably predictable that an employee 

who tripped on debris could suffer deep cuts which could require suturing.

c. For conditions involving exposure to air contaminants or harmful physical agents, 

the CSHO shall consider the concentration levels of the contaminant or physical 

agent in determining the types of illness that could reasonably result from the 

exposure. The Chemical Sampling Information (CSI) website shall be used to 

determine both toxicological properties of substances listed and a Health Code 

Number. (See CPL 02-02-043, Chemical Information Manual – Refer to the 

OCIS Chemical Information Database, dated July 1, 1991.)

d. To support a classification of “serious”, a determination must be made that 

exposure(s) at the sampled level could lead to illness. Thus, CSHOs must 

document all evidence demonstrating that the sampled exposure(s) is 

representative of employee exposure(s) under normal working conditions, 

including identifying and recording the frequency and duration of employee 

exposure(s). Evidence to be considered includes:

 The nature of the operation from which the exposure results;

 Whether the exposure is regular and on-going or is of limited frequency 

and duration;

 How long employees have worked at the operation;

 Whether employees are performing functions that can be expected to 

continue; and
4-8

 Whether work practices, engineering controls, production levels, and 

other operating parameters are typical of normal operations.

e. Where such evidence is difficult to obtain or inconclusive, CSHOs shall estimate 

frequency and duration of exposures from any evidence available. In general, if it 

is reasonable to infer that regular, ongoing exposures could occur, CSHOs shall 

consider such potential exposures in determining the types of illness that could 

result from the violative condition. The following are some examples of illnesses 

that could reasonably result from exposure to a health hazard:

EXAMPLE 4-7: If an employee is exposed regularly to methylene chloride 

above 25 ppm, it is reasonable to predict that cancer could result.

EXAMPLE 4-8: If an employee is exposed regularly to acetic acid above 10 

ppm, it is reasonable that the resulting illnesses would be irritation to eyes, nose 

and throat, or occupational asthma with chronic rhinitis and sinusitis.

3. Potential for Death or Serious Physical Harm.

The third step is to determine whether the type of injury or illness identified in Step 2 

could include death or a form of serious physical harm. In making this 

determination, the CSHO shall utilize the following definition of “serious physical 

harm.”

NOTE: Impairment of the body in which part of the body is made functionally 

useless or is substantially reduced in efficiency on or off the job. Such impairment 

may be permanent or temporary, chronic or acute. Injuries involving such 

impairment would usually require treatment by a medical doctor or other licensed 

health care professional.

a. Injuries that constitute serious physical harm include, but are not limited to:

 Amputations (loss of all or part of a bodily appendage);

 Concussion;

 Crushing (internal, even though skin surface may be intact);

 Fractures (simple or compound);

 Burns or scalds, including electrical and chemical burns;

 Cuts, lacerations, or punctures involving significant bleeding and/or requiring 

suturing;

 Sprains and strains; and

 Musculoskeletal disorders.

b. Illnesses that constitute serious physical harm include, but are not limited to:

 Cancer;

 Respiratory illnesses (silicosis, asbestosis, byssinosis, etc.);

 Hearing impairment;

 Central nervous system impairment;

 Visual impairment; and

 Poisoning.

c. The following are examples of injuries or illnesses that could reasonably result 

from an accident/incident or exposure and lead to death or serious physical harm:
4-9

EXAMPLE 4-9: An employee falls 15 feet to the ground, suffers broken 

bones or a concussion, and experiences substantial impairment of a part of the 

body that requires treatment by a medical doctor. This injury would be classified 

as serious.

EXAMPLE 4-10: An employee trips on debris and because of the presence of 

sharp debris or equipment suffers a deep cut to the hand requiring suturing, and 

the use of the hand is substantially reduced. This injury would be classified as 

serious.

EXAMPLE 4-11: An employee develops chronic beryllium disease after longterm exposure to beryllium at a concentration in air of 0.004 mg/m3

, and his or 

her breathing capacity is significantly reduced. This illness would constitute 

serious physical harm.

NOTE: The key determination is the likelihood that death or serious harm will 

result if an accident or exposure occurs. The likelihood of an accident 

occurring is addressed in penalty assessments and not by the classification.

4. Knowledge of Hazardous Condition.

The fourth step is to determine whether the employer knew, or with the exercise of 

reasonable diligence could have known, of the presence of the hazardous condition.

a. The knowledge requirement is met if it is established that the employer actually 

knew of the hazardous condition constituting the apparent violation.

Examples include: the employer saw the condition, an employee or employee 

representative reported it to the employer, or an employee was previously injured 

by the condition and the employer knew of the injury. CSHOs shall record 

any/all evidence that establishes employer knowledge of the condition or practice.

b. If it cannot be determined that the employer has actual knowledge of a hazardous 

condition, the knowledge requirement may be established if there is evidence that 

the employer could have known of it through the exercise of reasonable diligence. 

CSHOs shall record any evidence that substantiates that the employer could have 

known of the hazardous condition. Examples of such evidence include:

 The violation/hazard was in plain view and obvious;

 The duration of the hazardous condition was not brief;

 The employer failed to regularly inspect the workplace for readily 

identifiable hazards; and

 The employer failed to train and supervise employees regarding the 

particular hazard.

c. The actual or constructive knowledge of a supervisor who is aware of a violative 

condition or practice can usually be imputed to the employer for purposes of 

establishing knowledge. In cases where the employer contends that the 

supervisor’s own conduct constituted an isolated event of employee misconduct, 

the CSHO shall attempt to determine whether the supervisor violated an 

established work rule, and the extent to which the supervisor was trained in the 

rule and supervised regarding compliance to prevent such conduct.

III. General Duty Requirements.
4-10

Section 5(a)(1) of the Act requires that “Each employer shall furnish to each of his 

employees employment and a place of employment which are free from recognized hazards 

that are causing or are likely to cause death or serious physical harm to his employees.” The 

general duty requirement also exists for federal agencies. See §1960.8.

A. Evaluation of General Duty Requirements.

In general, Review Commission and court precedent have established that the following 

elements are necessary to prove a violation of the general duty clause:

1. The employer failed to keep the workplace free of a hazard to which employees of 

that employer were exposed;

2. The hazard was recognized;

3. The hazard was causing or was likely to cause death or serious physical harm; and

4. There was a feasible and useful method to correct the hazard.

A general duty citation must involve both the presence of a serious hazard and exposure 

of the cited employer’s own employees.

B. Elements of a General Duty Requirement Violation.

1. Definition of a Hazard.

a. In a Section 5(a)(1) citation, a “hazard” is defined as a workplace condition or 

practice to which employees are exposed, creating the potential for death or 

serious physical harm to employees.

b. Such a condition or practice must be clearly stated in a citation so as to apprise 

employers of their obligations regarding the hazard. The hazard must therefore 

be defined in terms of the presence of a hazardous condition or practice that 

presents a particular danger to employees. Also, the hazard must be a condition 

or practice that can reasonably be abated by the employer.

2. Do Not Cite the Lack of a Particular Abatement Method.

a. General duty clause citations are not intended to allege that the violation is a 

failure to implement certain precautions, corrective actions, or other abatement 

measures, but rather addresses the failure to prevent or remove a particular 

hazard. Section 5(a)(1) therefore does not mandate a particular abatement 

measure but only requires an employer to render the workplace free of recognized 

hazards by any feasible and effective means the employer wishes to use.

b. In situations where a question arises regarding distinguishing between a 

hazardous workplace condition or practice and the lack of an abatement method, 

the Area Director shall consult with the Regional Administrator or designee, or 

RSOL for assistance in correctly identifying the hazard.

EXAMPLE 4-12: Employees are conducting sanding operations that create 

sparks near magnesium dust (workplace condition or practice), exposing them to 

the serious injury of burns from a fire (potential for physical harm). One 

proposed method of abatement may be engineering controls such as adequate 

ventilation. The “hazard” is sanding that creates sparks in the presence of 

magnesium that may result in a fire capable of seriously injuring employees, not 

the lack of adequate ventilation.

EXAMPLE 4-13: Employees are operating tools that generate sparks in the 

presence of an ignitable gas (workplace condition) exposing them to the danger 

of an explosion (physical harm). The hazard is use of tools that create sparks in a 
4-11

volatile atmosphere that may cause an explosion capable of seriously injuring 

employees, not the lack of approved equipment.

EXAMPLE 4-14: An employer has failed to abate three hazards in a specific 

work area: High-pressure machinery that vents gases next to a work area,

improper installation of the equipment that is in place, and no established work 

rules addressing the dangers of high-pressure gas. However, there is only one 

hazard (i.e., employee exposure to the venting of high-pressure gases into the

work area that may cause serious burns from steam discharges).

3. The Hazard is Not a Particular Accident/Incident.

a. The occurrence of an accident/incident does not necessarily mean that the 

employer has violated Section 5(a)(1), although the accident/incident may be 

evidence of a hazard. In some cases, a Section 5(a)(1) violation may be unrelated 

to the cause of the accident/incident. Although accident/incident facts may be 

relevant and shall be documented, the citation shall address the hazard in the 

workplace that existed prior to the accident/incident, not the particular facts 

that led to the occurrence of the accident/incident.

EXAMPLE 4-15: A fire occurred in a workplace where flammable materials 

were present. No one was injured by the fire but an employee, disregarding the 

clear instructions of his supervisor to use an available exit, jumped out of a 

window and broke a leg. The danger of fire due to the presence of flammable 

materials may be a recognized hazard causing or likely to cause death or serious 

physical harm, but the action of the employee may be an instance of 

unpreventable employee misconduct. The citation must address the underlying 

workplace fire hazard, not the accident/incident involving the employee.

4. The Hazard Must be Reasonably Foreseeable.

The hazard for which a citation is issued must be reasonably foreseeable. All the 

factors that could cause a hazard need not be present in the same place or at the same 

time to prove foreseeability of the hazard; e.g., an explosion need not be imminent. 

EXAMPLE 4-16: If sufficient quantities of combustible gas and oxygen are 

present in a confined area to cause an explosion if ignited, but no ignition source is 

present or could be present, no Section 5(a)(1) violation would exist. However, if the 

employer has not taken sufficient safety precautions to preclude the presence or use 

of ignition sources in the confined area, then a foreseeable hazard may exist. 

NOTE: It is necessary to establish the reasonable foreseeability of the workplace 

hazard, rather than the particular circumstances that led to an accident/incident.

EXAMPLE 4-17: A titanium dust fire spreads from one room to another because 

an open can of gasoline was in the second room. An employee who usually worked 

in both rooms is burned in the second room as a result of the gasoline igniting. The 

presence of gasoline in the second room may be a rare occurrence. However, it is not 

necessary to demonstrate that a fire in both rooms could reasonably occur, but only 

that a fire hazard, in this case due to the presence of titanium dust, was reasonably 

foreseeable.

5. The Hazard Must Affect the Cited Employer’s Employees.

a. The employees exposed to the Section 5(a)(1) hazard must be the employees of 

the cited employer. An employer who may have created, contributed to, and/or 
4-12

controlled the hazard normally shall not be cited for a Section 5(a)(1) violation if 

his own employees are not exposed to the hazard.

b. In complex situations, such as multi-employer worksites, where it may be 

difficult to identify the precise employment relationship between the employer to 

be cited and the exposed employees, the Area Director shall consult with the 

Regional Administrator or designee and the RSOL to determine the sufficiency of 

the evidence regarding the employment relationship.

c. The fact that an employer denies that exposed workers are his/her employees,

does not necessarily determine the employment relationship issue. Whether or 

not exposed persons are employees of an employer depends on several factors, 

the most important of which is who controls the manner in which the employees 

perform their assigned work. The question of who pays employees, by itself may 

not be the determining factor to establish a relationship. (See OSHA INTRANET 

Region I Legal Resources entitled, Employee Relationships and Determining an 

Employment Relationship under the OSHA Act.)

6. The Hazard Must Be Recognized.

Recognition of a hazard can be established on the basis of employer recognition, 

industry recognition, or “common-sense” recognition. The use of common sense as 

the basis for establishing recognition shall be limited to special circumstances. 

Recognition of the hazard must be supported by the following evidence and adequate 

documentation in the file:

a. Employer Recognition.

 A recognized hazard can be established by evidence of actual employer 

knowledge of a hazardous condition or practice. Evidence of employer 

recognition may consist of written or oral statements made by the employer 

or other management or supervisory personnel during or before the OSHA 

inspection.

 Employer awareness of a hazard may also be demonstrated by a review of 

company memorandums, safety work rules that specifically identify a hazard, 

operations manuals, standard operating procedures, and collective bargaining 

agreements. In addition, prior accidents/incidents, near misses known to the 

employer, injury and illness reports, or workers’ compensation data may also 

show employer knowledge of a hazard.

 Employer awareness of a hazard may also be demonstrated by prior Federal 

OSHA or OSHA State Plan State inspection history which involved the same 

hazard.

 Employee complaints or grievances and safety committee reports to 

supervisory personnel may establish recognition of the hazard, but the 

evidence should show that the complaints were not merely infrequent, offhand comments.

 An employer’s own corrective actions may serve as the basis for establishing 

employer recognition of the hazard, if the employer did not adequately 

continue or maintain the corrective action or if the corrective action did not 

afford effective protection to the employees.

NOTE: CSHOs are to gather as many of these facts as possible to support 

establishing a Section 5(a)(1) violation.
4-13

b. Industry Recognition.

 A hazard is recognized if the employer’s relevant industry is aware of its 

existence. Recognition by an industry other than the industry to which the 

employer belongs is generally insufficient to prove this element of a Section 

5(a)(1) violation. Although evidence of recognition by an employer’s similar 

operations within an industry is preferred, evidence that the employer’s 

overall industry recognizes the hazard may be sufficient. The Area Director 

shall consult with the Regional Administrator or designee on such an issue. 

Industry recognition of a hazard can be established in several ways:

o Statements by safety or health experts who are familiar with the 

relevant conditions (regardless of whether they work in the 

employer’s industry);

o Evidence of implementation of abatement methods to deal with the 

particular hazard by other members of the employers industry;

o Manufacturers’ warnings on equipment or in literature that are 

relevant to the hazard;

o Statistical or empirical studies conducted by the employer’s industry 

that demonstrate awareness of the hazard. Evidence such as studies 

conducted by the employee representatives, the union or other 

employees must also be considered if the employer or the industry has 

been made aware of them;

o Government and insurance industry studies, if the employer or the 

employer’s industry is familiar with the studies and recognizes their 

validity;

o State and local laws or regulations that apply in the jurisdiction where 

the violation is alleged to have occurred and which currently are 

enforced against the industry in question. In such cases, however, 

corroborating evidence of recognition is recommended; and/or

o If the relevant industry participated in the committees drafting 

national consensus standards such as the American National 

Standards Institute (ANSI), the National Fire Protection Association 

(NFPA), and other private standard-setting organizations, this can 

constitute industry recognition. Otherwise, such private standards 

normally shall be used only as corroborating evidence of recognition. 

Preambles to these standards that discuss the hazards involved may 

show hazard recognition as much as, or more than, the actual 

standards. However, these private standards cannot be enforced as 

OSHA standards, but they may be used to provide evidence of 

industry recognition, seriousness of the hazard, or feasibility of 

abatement methods.

 In cases where state and local government agencies have codes or regulations 

covering hazards not addressed by OSHA standards, the Area Director, upon 

consultation with the Regional Administrator or designee, shall determine 

whether the hazard is to be cited under Section 5(a)(1) or referred to the 

appropriate local agency for enforcement.
4-14

EXAMPLE 4-18: A safety hazard on a factory personnel elevator is 

documented during an inspection. It is determined that the hazard may not be 

cited under Section 5(a)(1), but there is a local code that addresses this hazard 

and a local agency actively enforces the code. The situation normally shall be 

referred to the local enforcement agency instead of citing Section 5(a)(1).

 References that may be used to supplement other evidence to help 

demonstrate industry recognition include the following:

o NIOSH criteria documents.

o EPA publications.

o National Cancer Institute and other agency publications.

o OSHA Hazard Alerts.

o OSHA Technical Manual.

c. Common Sense Recognition.

If industry or employer recognition of the hazard cannot be established in 

accordance with (a) and (b), hazard recognition can still be established if a 

hazardous condition is so obvious that any reasonable person would have 

recognized it. This form of recognition should only be used in flagrant or 

obvious cases.

EXAMPLE 4-19: In a general industry situation, courts have held that any 

reasonable person would recognize that it is hazardous to use an unenclosed chute 

to dump bricks into an alleyway 26 feet below where unwarned employees 

worked. In construction, Section 5(a)(1) could not be cited in this situation 

because §1926.252 or §1926.852 applies. In the context of a chemical processing 

plant, common sense recognition was established where hazardous substances 

were being vented into a work area.

7. The Hazard Was Causing or Likely to Cause Death or Serious Physical Harm.

a. This element of a Section 5(a)(1) violation is virtually identical to the substantial 

probability element of a serious violation under Section 17(k) of the Act. Serious 

physical harm is defined in Section II.C.3., of this chapter.

b. This element of a Section 5(a)(1) violation can be established by showing that:

 An actual death or serious injury resulted from the recognized hazard, 

whether immediately prior to the inspection or at other times and places; or

 If an accident/incident occurred, the likely result would be death or serious 

physical harm.

EXAMPLE 4-20: An employee is standing at the edge of an unguarded floor 

25 feet above the ground. If a fall occurred, death or serious physical harm (e.g., 

broken bones) is likely to result.

c. In the health context, establishing serious physical harm at the cited levels may be 

challenging if the potential for illness/harm requires the passage of a substantial 

period of time. In such cases, expert testimony is crucial in establishing that there 

is reasonable probability that long-term serious physical harm will occur. It will 

be less difficult to establish this element for acute illnesses, since the immediacy 

of the effects will make the causal relationship clearer. In general, the following 

must be shown to establish that the hazard causes, or is likely to cause, death or 
4-15

serious physical harm when such illness or death will occur only after the passage 

of time:

 Regular and continuing employee exposure at the workplace to the toxic 

substance at the measured levels could reasonably occur;

 An illness reasonably could result from such regular and continuing 

employee exposures; and

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

8. The Hazard May be Corrected by a Feasible and Useful Method.

a. To establish a Section 5(a)(1) violation, the agency must also identify the 

existence of a measure(s) that is feasible, available, and likely to correct the 

hazard. Evidence of feasible abatement measures shall indicate that the 

recognized hazard, rather than a particular accident/incident, is preventable.

b. If the proposed abatement method would eliminate or significantly reduce the 

hazard beyond whatever measures the employer may be taking, a Section 5(a)(1)

citation may be issued. A citation will not be issued merely because the agency is 

aware of an abatement method different from that of the employer, if the 

proposed method would not reduce the hazard significantly more than the 

employer’s method. In some cases, only a series of abatement methods will 

materially reduce a hazard; all potential abatement methods shall be listed. For 

example, an abatement note shall be included on the Violation (OSHA-1B and -

2), such as “Among other methods, one feasible and acceptable means of 

abatement would be to ____.” (Fill in the blank with the specified abatement 

recommendation.)

c. Examples of such feasible and acceptable means of abatement include, but are not 

limited to:

 The employer’s own abatement method, which existed prior to the 

inspection but was not implemented;

 The implementation of feasible abatement measures by the employer after 

the accident/incident or inspection;

 The implementation of abatement measures by other 

employers/companies; and

 Recommendations made by the manufacturer addressing safety measures 

for the hazardous equipment involved, as well as suggested abatement 

methods contained in trade journals, national consensus standards and 

individual employer work rules. National consensus standards shall not 

solely be relied on to mandate specific abatement methods.

EXAMPLE 4-21: An ANSI standard addresses the hazard of exposure to 

hydrogen sulfide gas and refers to various abatement methods, such as the 

prevention of the buildup of materials that create the gas and the provision(s) for 

ventilation. The ANSI standard may be used as general evidence of the existence 

of feasible abatement measures.

In this example, the citation shall state that the recognized hazard of exposure 

to hydrogen sulfide gas was present in the workplace and that a feasible and 

useful abatement method existed; e.g., preventing the buildup of gas by providing 

an adequate ventilation system. It would not be correct to base the citation on the 

employer’s failure to prevent the buildup of materials that could create the gas 
4-16

and to provide a ventilation system, since both of these are abatement methods, 

not recognized hazards.

d. Evidence provided by expert witnesses may be used to demonstrate feasibility of 

abatement methods. In addition, although it is not necessary to establish that an 

industry recognizes a particular abatement measure, such evidence may be used if 

available.

C. Use of the General Duty Clause.

1. The general duty clause shall be used only where there is no standard that applies to 

the particular hazard and in situations where a recognized hazard is created in whole 

or in part by workplace conditions or practices that are not covered by a standard. 

See §1910.5(f).

EXAMPLE 4-22: A hazard covered only partially by a standard would be 

construction employees exposed to a collapse hazard because of a failure to properly 

install reinforcing steel. Construction standards contain requirements for reinforcing 

steel in wall, piers, columns, and similar vertical structures, but do not contain 

requirements for steel placement in horizontal planes, e.g., a concrete floor. A failure 

to properly install reinforcing steel in a floor in accordance with industry standards 

and/or structural drawings could be cited under the general duty clause.

EXAMPLE 4-23: The powered industrial truck standard at §1910.178 does not 

address all potential hazards associated with forklift use. For instance, while this

standard deals with the hazards associated with a forklift operator leaving his vehicle 

unattended or dismounting the vehicle and working in its vicinity, it does not contain 

requirements for the use of operator restraint systems. An employer’s failure to 

address the hazard of a tipover (forklifts are particularly susceptible to tipovers) by 

requiring operators of powered industrial trucks equipped with restraint devices or 

seat belts to use those devices could be cited under the general duty clause. See CPL 

02-01-028, Compliance Assistance for the Powered Industrial Truck Operator 

Training Standards, dated November 30, 2000, for additional guidance.

2. The general duty clause may also be applicable to some types of employment that are 

inherently dangerous (fire brigades, emergency rescue operations, confined space 

entry, etc.). 

a. Employers involved in such occupations must take the necessary steps to 

eliminate or minimize employee exposure to all recognized hazards that are likely 

to cause death or serious physical harm. These steps include an assessment of 

hazards that may be encountered, providing appropriate protective equipment, 

and conducting necessary training and instruction, for all employees.

b. An employer, who has failed to take such steps and allows its employees to be 

exposed to a hazard, may be cited under the general duty clause.

D. Limitations of Use of the General Duty Clause.

Section 5(a)(1) is to be used only within the guidelines given in this chapter.

1. Section 5(a)(1) Shall Not be Used When a Standard Applies to a Hazard.

As discussed above, Section 5(a)(1) may not be cited if an OSHA standard applies to 

the hazardous working condition or practice. If there is a question as to whether a 

standard applies, the Area Director shall consult with the Regional Administrator or 

designee. The RSOL will assist the Regional Administrator or designee in 

determining the applicability of a standard prior to the issuance of a citation.
4-17

EXAMPLE 4-24: Section 5(a)(1) shall not be cited for electrical hazards since

§1910.303(b) and §1926.403(b) require that electrical equipment is to be kept free 

from recognized hazards that are likely to cause death or serious physical harm to 

employees.

2. Section 5(a)(1) Shall Normally Not Be Used to Impose a Stricter Requirement 

than that Imposed by the OSHA Standard.

When an existing standard is inadequate to protect worker safety and health, a section 

5(a)(1) citation may be considered. All of the section 5(a)(1) elements discussed 

above must be satisfied, AND there must be actual employer knowledge that the 

standard was inadequate to protect employees from death or serious physical harm. 

See Int'l Union UAW v. Gen. Dynamics Land Sys. Div., 815 F.2d 1570 (D.C. Cir. 

1987). Area Offices shall contact the RSOL early in the investigation of these 

types of cases, which will also be subject to pre-citation review by DEP and 

NSOL.

EXAMPLE 4-25: An OSHA standard provides for a permissible exposure limit 

(PEL) of 5 ppm, and a recognized Occupational Exposure limit (OEL)—such as an 

ACGIH® Threshold Limit Value (TLV®) or NIOSH Recommended Exposure Limit 

(REL)—is 3 ppm. A 5(a)(1) citation may only be considered for exposures between 

the OEL and the PEL if the data establishes that exposures at the measured level are 

likely to cause death or serious physical harm and the employer has actual knowledge 

that the PEL is inadequate to protect its employees. 

3. Section 5(a)(1) Shall Normally Not be Used to Require Additional Abatement 

Methods Not Set Forth in an Existing Standard.

If a toxic substance standard covers engineering control requirements but not 

requirements for medical surveillance, Section 5(a)(1) shall not be cited to 

additionally require medical surveillance. Area Directors shall evaluate the 

circumstances of special situations in accordance with guidelines stated herein and 

consult with the Regional Administrator or designee to determine whether a 5(a)(1) 

citation can be issued.

4. Alternative Standards.

The following standards shall be considered carefully before issuing a Section 5(a)(1)

citation for a health hazard.

a. There are a number of standards that shall be considered rather than Section 

5(a)(1) in situations where the hazard is not covered by a particular standard. If a 

hazard not covered by a specific standard can be substantially corrected by 

compliance with a personal protective equipment (PPE) standard, the PPE 

standard shall be cited. In general industry, §1910.132(a) may be appropriate 

where exposure to a hazard may be prevented by the wearing of PPE.

b. For a health hazard, the particular toxic substance standard, such as asbestos and 

coke oven emissions, shall be cited where appropriate. If those particular 

standards do not apply, however, other standards may be applicable; e.g., the air 

contaminant levels contained in §1910.1000 in general industry and in §1926.55

for construction.

c. Another general standard is §1910.134(a), which addresses the hazards of 

breathing harmful air contaminants not covered under §1910.1000 or another 
4-18

specific standard, and which may be cited for failure to use feasible engineering 

controls or respirators.

d. Violations of §1910.141(g)(2) or §1915.88(h) may be cited when employees are 

allowed to consume food or beverages in an area exposed to a toxic material, and 

§1910.132(a) where there is a potential for toxic materials to be absorbed through 

the skin.

E. Classification of Violations Cited under the General Duty Clause.

Only hazards presenting serious physical harm or death may be cited under the general 

duty clause (including willful and/or repeated violations that would otherwise qualify as 

serious violations). Other-than-serious citations shall not be issued for general duty 

clause violations.

F. Procedures for Implementation of Section 5(a)(1) Enforcement.

To ensure that citations of the general duty clause are defensible, the following 

procedures shall be followed:

1. Gathering Evidence and Preparing the File.

a. The evidence necessary to establish each element of a Section 5(a)(1) violation 

shall be documented in the file. This includes all photographs, videotapes, 

sampling data, witness statements, and other documentary and physical evidence 

necessary to establish the violation. Additional documentation includes evidence 

of specific and/or general awareness of a hazard, why it was detectable and 

recognized, and any supporting statements or reference materials.

b. If copies of documents relied on to establish the various Section 5(a)(1) elements 

cannot be obtained before issuing the citation, these documents shall be 

accurately cited and identified in the file so they can be obtained later if 

necessary.

c. If experts are necessary to establish any element(s) of a Section 5(a)(1) violation, 

such experts and RSOL shall be consulted prior to the citation being issued and 

their opinions noted in the file.

2. Pre-Citation Review.

The Area Director shall review and approve all proposed Section 5(a)(1) citations. 

These citations shall undergo additional pre-citation review as follows:

a. The Regional Administrator or designee and RSOL shall be consulted prior to the 

issuance of all Section 5(a)(1) citations where complex issues or exceptions to the 

outlined procedures are involved; and

b. If a standard does not apply and all criteria for issuing a Section 5(a)(1) citation 

are not met, yet the Area Director determines that the hazard warrants some type 

of notification, a Hazard Alert Letter shall be sent to the employer and employee 

representative describing the hazard and suggesting corrective action.

IV. Other-than-Serious Violations.

This type of violation shall be cited in situations where the accident/incident or illness that 

would be most likely to result from a hazardous condition would probably not cause death or 

serious physical harm, but would have a direct and immediate relationship to the safety and 

health of employees.
4-19

V. Willful Violations.

A willful violation exists under the Act where an employer has demonstrated either an 

intentional disregard for the requirements of the Act or a plain indifference to employee 

safety and health. Area Directors are encouraged to consult with RSOL when developing 

willful citations. The following guidance and procedures apply whenever there is evidence 

that a willful violation may exist:

A. Intentional Disregard of Violations.

An employer commits an intentional and knowing violation if:

1. An employer was aware of the requirements of the Act or of an applicable standard or 

regulation and was also aware of a workplace condition or practice in violation of 

those requirements, but did not abate the hazard; or

2. An employer was not aware of the requirements of the Act or standards, but had 

knowledge of a comparable legal requirement (e.g., state or local law) and was also 

aware of a workplace condition or practice in violation of that requirement.

NOTE: Good faith efforts made by the employer to minimize or abate a hazard 

may sometimes preclude the issuance of a willful violation. In such cases, CSHOs 

should consult the Area Director or designee if a willful classification is under 

consideration.

3. A willful citation also may be issued where an employer knows that specific steps 

must be taken to address a hazard, but substitutes his or her judgment for the 

requirements of the standard. See the internal Memorandum on Procedures for 

Significant Enforcement Cases, and CPL 02-00-080, Handling of Cases to be 

Proposed for Violation-by-Violation, dated October 21, 1990.

EXAMPLE 4-26: The employer was issued repeated citations addressing the same 

or similar conditions, but did not take corrective action.

B. Plain Indifference Violations.

1. An employer commits a violation with plain indifference to employee safety and 

health where:

a. Management officials were aware of an OSHA requirement applicable to the 

employer’s business but made little or no effort to communicate the requirement 

to lower level supervisors and employees.

b. Company officials were aware of a plainly obvious hazardous condition but made 

little or no effort to prevent violations from occurring.

EXAMPLE 4-27: The employer is aware of the existence of unguarded power 

presses that have caused near misses, lacerations and amputations in the past and 

has done nothing to abate the hazard.

c. An employer was not aware of any legal requirement, but knows that a workplace 

condition or practice is a serious hazard to the safety or health of employees and 

makes little or no effort to determine the extent of the problem or to take the 

corrective action. Knowledge of a hazard may be gained from such means as 

insurance company reports, safety committee or other internal reports, the 

occurrence of illnesses or injuries, or complaints by employees or their 

representatives.

NOTE: Voluntary employer self-audits that assess workplace safety and health 

conditions and practices shall not normally be used as a basis of a willful 

violation. However, once an employer’s self-audit identifies a hazardous 
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workplace condition or practice, the employer must promptly take appropriate 

measures to correct a violative hazard and provide interim employee protection. 

See OSHA’s Policy on Voluntary Employer Safety and Health Self-Audits

(Federal Register, July 28, 2000 (65 FR 46498)).

d. Willfulness may also be established despite lack of knowledge of a legal 

requirement if circumstances show that the employer would have placed no 

importance on such knowledge.

EXAMPLE 4-28: An employer sends employees into a deep unprotected 

excavation containing a hazardous atmosphere without ever inspecting for 

potential hazards.

2. It is not necessary that the violation be committed with a bad purpose or malicious 

intent to be deemed “willful.” It is sufficient that the violation was deliberate, 

voluntary or intentional as distinguished from inadvertent, accidental or ordinarily 

negligent.

3. CSHOs shall develop and record on the Violation (OSHA-1B) all evidence that 

indicates employer knowledge of the requirements of a standard, and any reasons for 

why it disregarded statutory or other legal obligations to protect employees against a 

hazardous condition. Willfulness may exist if an employer is informed by employees 

or employee representatives about an alleged hazardous workplace condition or 

practice and does not make a reasonable effort to verify or correct the hazard. 

Additional factors to consider in determining whether to characterize a violation as 

willful include:

a. The nature of the employer’s business and the knowledge of safety and health 

matters that could reasonably be expected in the industry;

b. Any precautions taken by the employer to limit the hazardous workplace 

conditions or practices;

c. The employer’s awareness of the Act and of the responsibility to provide safe and 

healthful workplace; and

d. Whether similar violations and/or hazardous workplace conditions and practices

have been brought to the attention of the employer through prior citations, 

accidents, warnings from OSHA or officials from other government agencies or 

an employee safety committee regarding the requirements of a standard.

NOTE: This includes prior citations or warnings from OSHA State Plan officials.

4. Also, include facts showing that even if the employer was not consciously violating 

the Act, it was aware that the violative condition or practice existed and made no 

reasonable effort to eliminate it.

VI. Criminal/Willful Violations.

Section 17(e) of the Act, as amended, provides that: “Any employer who willfully violates 

any standard, rule or order promulgated pursuant to Section 6 of this Act, or of any 

regulations prescribed pursuant to this Act, and that violation caused death to any employee, 

shall, upon conviction, be punished by a fine of not more than $10,000 or by imprisonment 

for not more than six months, or by both; except that if the conviction is for a violation 

committed after a first conviction of such person, punishment shall be by a fine of not more 

than $20,000 or by imprisonment for not more than one year, or by both”.

A. Area Director Coordination.
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The Area Director, in coordination with the RSOL, shall carefully evaluate all willful 

cases involving employee deaths to determine whether they may involve criminal 

violations of Section 17(e) of the Act. Because the quality of the evidence available is of 

paramount importance in these investigations, there shall be early and close discussions 

among the CSHO, the Area Director, the Regional Administrator, and the RSOL to 

develop all evidence when there is a potential Section 17(e) violation.

B. Criteria for Investigating Possible Criminal/Willful Violations.

The following criteria shall be considered when investigating possible criminal/willful 

violations:

1. To establish a criminal/willful violation, OSHA must prove that:

a. The employer violated an OSHA standard. A criminal/willful violation cannot be 

based on the general duty clause, Section 5(a)(1).

b. The violation was willful in nature.

c. The violation of the standard caused the death of an employee. To prove that the 

violation caused the death of an employee, there must be evidence that clearly 

demonstrates that the violation of the standard was the direct cause of, or a 

contributing factor to, an employee’s death.

2. If asked during an investigation, CSHOs should inform employers that any violation 

found to be willful which has caused or contributed to the death of an employee, is 

evaluated for potential criminal referral to the U.S. Department of Justice.

3. Following the investigation, if the Area Director decides to recommend criminal 

prosecution, a memorandum shall be forwarded promptly to the Regional 

Administrator. It shall include an evaluation of the possible criminal charges, taking 

into consideration the burden of proof requiring that the government’s case be proven 

beyond a reasonable doubt. In addition, if correction of the hazardous condition is at 

issue, this shall be noted in the transmittal memorandum, because in most cases 

prosecution of a criminal/willful case stays the resolution of the civil case and its 

abatement requirements.

4. The Area Director shall normally issue a civil citation in accordance with current 

procedures even if the citation involves charges under consideration for criminal 

prosecution. The Regional Administrator shall be notified of such cases. In addition, 

the case shall be promptly forwarded to the RSOL for possible referral to the U.S. 

Department of Justice.

C. Willful Violations Related to a Fatality.

Where a willful violation is related to a fatality and a decision is made not to recommend 

a criminal referral, the Area Director shall ensure that the case file contains 

documentation justifying that conclusion. The file documentation should indicate which 

elements of a potential criminal violation make the case unsuitable for referral.

VII. Repeated Violations.

A. Federal and State Plan Violations.

1. An employer may be cited for a repeated violation if that employer has been cited 

previously for the same or a substantially similar condition or hazard and the 

citation has become a final order of the Occupational Safety and Health Review 

Commission (hereafter,OS&H Review Commission). A citation may become a final 

order by operation of law when an employer does not contest the citation, or pursuant 
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to court decision or settlement. The underlying citation which the repeated violation 

will be based on must have become a final order before the occurrence or observation 

of the second substantially similar violation. 

2. Prior citations by State Plan States cannot be used as a basis for Federal OSHA 

repeated violations. Only violations that have become final orders of the federal 

OS&H Review Commission may be considered.

B. Identical Standards.

Generally, similar workplace conditions or hazards can be demonstrated by showing that 

in both situations the identical standard was violated, but there are exceptions.

EXAMPLE 4-29: A citation was previously issued for a violation of §1910.132(a) for 

not requiring the use of safety-toe footwear for employees. A recent inspection of the 

same establishment revealed a violation of §1910.132(a) for not requiring the use of head 

protection (hard hats). Although the same standard was involved, the hazardous 

conditions in each case are not substantially similar and, therefore, a repeated citation 

would not be appropriate.

C. Different Standards.

In some circumstances, similar conditions or hazards can be demonstrated even when 

different standards are violated.

EXAMPLE 4-30: A citation was previously issued for a violation of §1910.28(d)(7)

for not installing standard guardrails on a tubular welded frame scaffold platform. A 

recent inspection of the same employer reveals a violation of §1910.28(c)(14) for not 

installing guardrails on a tube and coupler scaffold platform. Although different 

standards are involved, the conditions and hazards (falls) present during both inspections 

were substantially similar, and, therefore, a repeated citation would be appropriate.

NOTE: There is no requirement that the previous and current violations occur at the 

same workplace or under the same supervisor.

D. Obtaining Inspection History.

For purposes of determining whether a violation is repeated, the following criteria shall 

apply:

1. High-Gravity Serious Violations.

a. When high gravity serious violations are to be cited, the Area Director shall 

obtain a history of citations previously issued to this employer at all of its 

identified establishments nationwide, within the same two digit Standard 

Industrial Classification (SIC) or three digit North American Industry 

Classification System (NAICS) code. The history of repeated violations is based 

on the employer’s establishments nationwide and cannot be limited to regionwide.

b. If these violations have been previously cited within the time limitations 

(described in Section VII.E., of this chapter) and have become final orders of the 

OS&H Review Commission, a repeated citation may be issued.

c. Citations from previous inspections upon which a proposed repeated citation will 

be based must have become a final order before the initiation of the second 

inspection.

d. Under special circumstances, the Area Director, in consultation with the RSOL, 

may also issue citations for repeated violations without regard for the NAICS 

code.
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2. Violations of Lesser Gravity.

When violations are of lesser gravity than high-gravity serious, Area Directors should 

obtain a national inspection history whenever the circumstances of the current 

inspection would result in multiple serious, repeat, or willful citations. This is 

particularly essential if the employer is known to have establishments nationwide and 

has been subject to a significant case in other areas or at other mobile worksites.

E. Time Limitations.

1. Although there are no statutory limitations on the length of time that a previously 

issued citation can be used as a basis for a repeated violation, the following policy 

shall generally be followed.

A citation will be issued as a repeated violation if:

a. The citation is issued within five years of the final order date of the previous 

citation or within five years of the final abatement date, whichever is later, or

b. The previous citation was contested within five years of the OS&H Review 

Commission’s final order or the U.S. Court of Appeals, final mandate.

2. When a violation is found during an inspection and a repeated citation has previously 

been issued for a substantially similar condition, the violation may be classified as a 

second instance repeated violation with a corresponding increase in penalty.

EXAMPLE 4-31: An inspection is conducted in an establishment and a violation 

of §1910.217(c)(1)(i) is found. That citation is not contested by the employer and 

becomes a final order of the OS&H Review Commission on October 17, 2006. On 

December 8, 2008, a citation for repeated violation of the same standard was issued. 

The violation found during the December inspection may be treated as a second 

instance repeated.

3. In cases of multiple prior repeated citations, the Regional Administrator or designee 

shall be consulted for guidance.

F. Repeated v. Failure to Abate.

A failure to abate exists when a previously cited hazardous condition, practice or noncomplying equipment has not been brought into compliance since the prior inspection 

(i.e., the violation is continuously present) and is discovered at a later inspection. If, 

however, the violation was corrected, but later reoccurs, the subsequent occurrence is a 

repeated violation.

G. Area Director Responsibilities.

After the CSHO makes a recommendation that a violation should be cited as repeated, the 

Area Director shall:

1. Ensure that the violation meets the criteria outlined in the preceding subparagraphs of 

this section.

2. Ensure that the case file includes a copy of the citation for the prior violation, the 

Violations (OSHA-1Bs) describing the prior violation that serves as the basis for the 

repeated citation, and any other supporting evidence that describes the violation. If 

the prior violation citation is not available, the basis for the repeated citation shall 

nevertheless, be adequately documented in the case file. The file shall also include 

all documents showing that the citation is a final order and on what date it became 

final, as follows: If the case was not contested, the certified mail card (final 15 

working days from employer’s receipt of the citation); signed Informal Settlement

(on the date of the last signature of both parties as long as the contest period has not 
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expired); Formal Settlement Agreements and Notice of Docketing (final 30 days 

after docketing date); or Judge’s Decision and Notice of Docketing (final 30 days 

after docketing).

3. OIS information shall not be used as the sole means to establish that a prior violation 

has been issued.

4. In circumstances when it is not clear that the violation meets the criteria outlined in 

this section, consult with the Regional Administrator or designee before issuing a 

repeated citation.

5. If a repeated citation is issued, ensure that the cited employer is fully informed of the 

previous violations serving as a basis for the repeated citation by notation in the 

Alleged Violation Description (AVD) portion of the citation. For example, following 

the AVD state appropriate language such as:

[Employer Name or Establishment Name] was previously cited for a violation of 

this Occupational Safety and Health Standard [insert previously cited standard], 

which was contained in OSHA inspection number___________, citation number 

______, item number ______ and was affirmed as a final order on [insert date], 

with respect to a workplace located at____________________________________.

OR

[Employer Name or Establishment Name] was previously cited for a violation of an 

equivalent Occupational Safety and Health Standard [insert previously cited 

standard], which was contained in OSHA inspection number___________, citation 

number ______, item number ______ and was affirmed as a final order on [insert 

date], with respect to a workplace located at ______________________________.

VIII. De Minimis Conditions.

De minimis conditions are those where an employer has implemented a measure different 

from one specified in a standard, that has no direct or immediate relationship to safety or 

health. Whenever de minimis conditions are found during an inspection, they shall be 

documented in the same manner as violations.

A. Criteria.

The criteria for finding a de minimis condition are as follows:

1. An employer complies with the intent of the standard, yet deviates from its particular 

requirements in a manner that has no direct or immediate impact on employee safety 

or health. These deviations may involve, for example, distance specifications, 

construction material requirements, use of incorrect color, minor variations from 

recordkeeping, testing, or inspection regulations.

EXAMPLE 4-32: §1910.27(b)(1)(ii) allows 12 inches as the maximum distance 

between ladder rungs. Where the rungs are 13 inches apart, the condition is de 

minimis.

EXAMPLE 4-33: §1910.217(e)(1)(ii) requires that mechanical power presses be 

inspected and tested at least weekly. If the machinery is seldom used, inspection and 

testing prior to each use is adequate to meet the intent of the standard.

2. An employer complies with a proposed OSHA standard or amendment or a 

consensus standard rather than with the standard in effect at the time of the inspection 

and the employer’s action clearly provides equal or greater employee protection.
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3. An employer complies with a written interpretation issued by the OSHA National 

Office or an OSHA Regional Office.

4. An employer’s workplace protections are “state of the art” and technically more 

enhanced than the requirements of the applicable standard and provides equivalent or 

more effective employee safety or health protection.

B. Professional Judgment.

Professional judgment should be exercised in determining whether noncompliance with a 

standard constitutes a de minimis condition.

C. Area Director Responsibilities.

Area Directors shall ensure that all proposed de minimis notices meet the criteria set out 

above.

IX. Citing in the Alternative.

In rare cases, the same factual situation may present a possible violation of more than one 

standard.

EXAMPLE 4-34: The facts that support a violation of §1910.28(a)(1) may also support a 

violation of §1910.132(a), if no scaffolding is provided and the use of safety belts is not 

required by the employer.

Where it appears that more than one standard is applicable to a given factual situation and 

that compliance with any of the applicable standards would effectively eliminate the hazard, 

it is permissible to cite alternative standards using the words “in the alternative.” A reference 

in the citation to each of the standards involved shall be accompanied by a separate Alleged 

Violation Description (AVD) that clearly alleges all of the necessary elements of a violation 

of that standard. Only one penalty shall be proposed for the violative condition.

X. Combining and Grouping Violations.

A. Combining.

Separate violations of a single standard, for example §1910.212(a)(3)(ii), having the same 

classification found during the inspection of an establishment or worksite generally shall 

be combined into one alleged citation item. Different options presented in the Standard 

Alleged Violation Elements (SAVEs) of the same standard shall normally also be 

combined. Each instance of the violation shall be separately noted within that item of the 

citation.

NOTE: Except for standards which address multiple hazards (e.g., Tables Z-1, Z-2 and 

Z-3 cited under §1910.1000 (a), (b), or (c)), the same standard may not normally be cited 

more than once on a single citation. However, the same standard may be cited on 

different citations based on separate classifications and facts for the same inspection.

B. Grouping.

When a source of an identified hazard involves interrelated violations of different 

standards, the violations may be grouped into a single violation. The following situations 

normally call for grouping violations:

1. Grouping Related Violations.

If violations classified either as serious or other-than-serious are so closely related 

that they may constitute a single hazardous workplace condition or practice, such 

violations shall be grouped and the overall classification shall normally be based on 

the most serious item.
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2. Grouping Other-than-Serious Violations Where Grouping Results in a Serious 

Violation.

When two or more violations are found which, if considered individually, represent 

other than serious violations but together create a substantial probability of death or 

serious physical harm, the violations shall be grouped as a serious violation.

3. Where Grouping Results in a High-Gravity Other-than-Serious Violation.

Where the CSHO finds, during the course of the inspection, that a number of otherthan-serious violations are present, the violations shall be considered in relation to 

each other to determine the overall gravity of possible injury resulting from an 

accident or incident involving the hazardous condition.

4. Penalties for Grouped Violations.

If penalties are to be proposed for grouped violations, the penalty shall be written 

across from the first violation item appearing on the Citation and Notification of 

Penalty (OSHA-2).

C. When Not to Group or Combine.

1. Multiple Inspections.

Violations discovered during multiple inspections of a single establishment or 

worksite may not be grouped. Where only one Inspection (OSHA-1) has been 

completed, an inspection at the same establishment or worksite shall be considered a 

single inspection even if it continues for a period of more than one day, or is 

discontinued with the intention of later resuming it.

2. Separate Establishments of the Same Employer.

The employer shall be issued separate citations for each establishment or worksite 

where inspections are conducted, either simultaneously or at different times. If 

CSHOs conduct inspections at two establishments belonging to the same employer 

and instances of the same violation are discovered during each inspection, the 

violations shall not be grouped.

3. General Duty Clause.

Because a Section 5(a)(1) citation covers all aspects of a serious hazard where no 

standard exists, there shall be no grouping of separate Section 5(a)(1) violations. 

This policy, however, does not prohibit grouping a Section 5(a)(1) violation with a 

related violation of a specific standard.

4. Egregious Violations.

Violations, which are proposed as instance-by-instance citations, shall not normally 

be combined or grouped. See CPL 02-00-080, Handling of Cases to be Proposed for 

Violation-by-Violation Penalties, dated October 21, 1990.

XI. Health Standard Violations.

A. Citation of Ventilation Standards.

In cases where a citation of a ventilation standard is appropriate, consideration shall be 

given to standards intended to control exposure to hazardous levels of air contaminants, 

prevent fire or explosions, or regulate operations that may involve confined spaces or 

specific hazardous conditions. In such cases, the following guidelines shall be observed:

1. Health-Related Ventilation Standards.
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a. Where an overexposure to an airborne contaminant is present, the appropriate air 

contaminant engineering control requirement shall be cited; e.g., §1910.1000(e). 

Citations under this standard shall not be issued to require specific volumes of air 

to reduce such exposures.

b. Other requirements contained in health related ventilation standards shall be 

evaluated without regard to the concentration of airborne contaminants. Where a 

specific standard has been violated and an actual or potential hazard has been 

documented, a citation shall be issued.

2. Fire and Explosion-Related Ventilation Standards.

Although not normally considered health violations, the following guidelines shall be 

observed when citing fire and explosion-related ventilation standards:

a. Adequate Ventilation.

An operation is considered to have adequate ventilation when both of the 

following criteria are present:

 The requirement(s) of the specific standard has been met.

 The concentration of flammable vapors is 25 percent or less of the lower 

explosive limit (LEL).

EXCEPTION: Some maritime standards require that levels be kept to 

below 10 percent of the LEL (e.g., §1915.36(a)).

b. Citation Policy.

If 25 percent (10 percent when specified for maritime operations) of the LEL has 

been exceeded and:

 The standard’s requirements have not been met, violations of the 

applicable ventilation standard normally shall be cited as serious.

 If there is no applicable ventilation standard, Section 5(a)(1) of the Act 

shall be cited in accordance with the guidelines in Section III of this 

chapter, General Duty Requirement.

B. Violations of the Noise Standard.

Current enforcement policy regarding §1910.95(b)(1) allows employers to rely on 

personal protective equipment and a hearing conservation program, rather than 

engineering and/or administrative controls, when hearing protectors will effectively 

attenuate the noise to which employees are exposed to acceptable levels. (See Tables G16 or G-16a of the standard).

1. Citations for violations of §1910.95(b)(1) shall be issued when technologically and 

economically feasible engineering and/or administrative controls have not been 

implemented; and

a. Employee exposure levels are so elevated that hearing protectors alone may not 

reliably reduce noise levels received to levels specified in Tables G-16 or G-16a

of the standard. (e.g., Hearing protectors which offer the greatest attenuation may 

reliably be used to protect employees when their exposure levels border on 100 

dba). See CPL 02-02-035, 29 CFR 1910.95 (b)(1), Guidelines for Noise 

Enforcement; Appendix A, dated December 19, 1983; or

b. The costs of engineering and/or administrative controls are less than the cost of 

an effective hearing conservation program.
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2. When an employer has an ongoing hearing conservation program and the results of 

audiometric testing indicate that existing controls and hearing protectors are 

adequately protecting employees, no additional controls may be necessary. In 

making this assessment, factors such as exposure levels present, number of 

employees tested, and duration of the testing program shall be considered.

3. When employee noise exposures are less than 100 dBA but the employer does not 

have an ongoing hearing conservation program, or results of audiometric testing 

indicate that the employer’s existing program is inadequate, the CSHO shall consider 

whether:

a. Reliance on an effective hearing conservation program would be less costly than 

engineering and/or administrative controls.

b. An effective hearing conservation program can be established or improvements 

made in an existing program which could bring the employer into compliance 

with Tables G-16 or G-16a.

c. Engineering and/or administrative controls are both technically and economically 

feasible.

4. If noise workplace levels can be reduced to the levels specified in Tables G-16 or G16a by means of hearing protectors along with an effective hearing conservation 

program, a citation for any missing program elements shall be issued rather than for 

lack of engineering controls. If improvements in the hearing conservation program 

cannot be made or, if made, cannot reasonably be expected to reduce exposures, but 

feasible controls exist to address the hazard, then §1910.95(b)(1) shall be cited.

5. When hearing protection is required but not used and employee exposures exceed the 

limits of Table G-16, §1910.95(i)(2)(i) shall be cited and classified as serious (see (8) 

below), whether or not the employer has instituted a hearing conservation program. 

§1910.95(a) shall no longer be cited except for the oil and gas drilling industry.

NOTE: Citations of §1910.95(i)(2)(ii)(b) shall also be classified as serious.

6. Where an employer has instituted a hearing conservation program and a violation of 

one or more elements (other than §1910.95(i)(2)(ii)(a)), is found, citations for the 

deficient elements of the noise standard shall be issued if exposures equal or exceed 

an 8-hour time-weighted average of 85 dB.

7. If an employer has not instituted a hearing conservation program and employee 

exposures equal or exceed an 8-hour time-weighted average of 85 dB, a citation for 

§1910.95(c) only shall be issued.

8. Violations of §1910.95(i)(2)(i) may be grouped with violations of §1910.95(b)(1) and 

classified as serious when employees are exposed to noise levels above the limits of 

Table G-l6 and:

a. Hearing protection is not utilized or is not adequate to prevent overexposures; or

b. There is evidence of hearing loss that could reasonably be considered:

 To be work-related, and

 To have been preventable, if the employer had been in compliance with the 

cited provisions.

NOTE: No citation shall be issued where, in the absence of feasible 

engineering or administrative controls, employees are exposed to elevated noise 
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levels, but effective hearing protection is being provided and used, and the 

employer has implemented a hearing conservation program.

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

If an inspection reveals the presence of potential respirator violations, CPL 02-00-158, 

Inspection Procedures for the Respiratory Protection Standard, dated June 26, 2014, shall be 

followed.

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

A. Requirements under the standard:

1. Section §1910.1000(a) through (d) provides ceiling values and 8-hour time-weighted 

averages applicable to employee exposure to air contaminants.

2. Section §1910.1000(e) provides that to achieve compliance with exposure limits, 

administrative or engineering controls shall first be identified and implemented to the 

extent feasible. When such controls do not achieve full compliance, personal 

protective equipment shall be used. Whenever respirators are used, their use shall 

comply with §1910.134.

3. Section §1910.134(a) provides that when effective engineering controls are not 

feasible, or while they are being instituted, appropriate respirators shall be used.

4. There may be cases where workplace conditions require that employers provide 

engineering controls as well as administrative controls (including work practice 

controls) and personal protective equipment. Section 1910.1000(e) allows employers 

to implement feasible engineering controls and/or administrative and work practice 

controls in any combination, provided the selected means of abatement eliminates the 

overexposure.

5. Where engineering and/or administrative controls are feasible, but do not or would 

not reduce air contaminant levels below applicable ceiling values or threshold limit 

values, an employer must nevertheless institute such controls to reduce the exposure 

levels. In cases where the implementation of all feasible engineering and 

administrative controls fails to reduce the level of air contaminants below applicable 

levels, employers must additionally provide personal protective equipment to reduce 

exposures.

B. Classification of Violations of Air Contaminant Standards.

Where employees are exposed to a toxic substance in excess of the PEL established by 

OSHA standards (without regard to the use of respirator protection), a citation for 

exceeding the air contaminant standard shall be issued. The violation shall be classified 

as serious or other-than-serious on the criteria set forth in the Chemical Sampling 

Information web page and based on whether respirators are being used. Classification of 

these violations is dependent upon the determination that an illness is reasonably 

predictable at the measured exposure level.

1. Classification Considerations.

Exposure to regulated substances shall be characterized as serious if exposures could 

cause impairment to the body as described in Section II.C.3., of this chapter.

a. In general, substances having a single health code of 13 or less shall be 

considered as posing a serious health hazard at any level above the Permissible 

Exposure Limit (PEL). Substances in categories 6, 8 and 12, however, are not 
4-30

considered serious at levels where only mild, temporary effects would be 

expected to occur.

b. Substances causing irritation (i.e., categories 14 and 15) shall be considered 

other-than-serious up to levels at which “moderate” irritation could be expected.

c. For a substance having multiple health codes covering both serious and 

other-than-serious effects (e.g., cyclohexanol), a classification of 

other-than-serious is appropriate up to levels where a serious health effect(s) 

could be expected to occur.

d. For a substance having an ACGIH Threshold Limit Value (TLV) or a NIOSH 

recommended value, but no OSHA PEL, a citation for exposure in excess of the 

recommended value may be considered under Section 5(a)(1) of the Act. Prior to 

citing a Section 5(a)(1) violation under these circumstances, it is essential that 

CSHOs document that a hazardous exposure is occurring or has occurred at the 

workplace, not just that a recognized occupational exposure recommendation has 

been exceeded. See instructions in Section III of this chapter, General Duty 

Requirements.

e. If an employee is exposed to concentrations of a substance below the PEL, but in 

excess of a recommended value (e.g., ACGIH TLV or NIOSH recommended 

value), citations will not normally be issued. CSHOs shall advise employers that 

a reduction of the PEL has been recommended.

NOTE: An exception to this may apply if it can be documented that an 

employer knows that a particular safety or health standard fails to protect his/her

workers against the specific hazard it is intended to address.

f. For a substance having an 8-hour PEL with no ceiling PEL, but ACGIH or 

NIOSH has recommended a ceiling value, the case shall be referred to the 

Regional Administrator in accordance with Section III.D.2., of this chapter. If no 

citation is issued, the CSHO shall advise the employer(s) that a ceiling value is 

recommended.

2. Additive and Synergistic Effects.

a. Substances which have a known additive effect and, therefore, result in a greater 

probability/severity of risk when found in combination with each other shall be 

evaluated using the formula found in §1910.1000(d)(2). Use of this formula 

requires that exposures have an additive effect on the same body organ or system.

b. If CSHOs suspect that synergistic effects are possible, they shall consult with 

their supervisor, who shall then refer the question to the Regional Administrator. 

If a synergistic effect of the cited substances is determined to be present, 

violations shall be grouped to accurately reflect severity and/or penalty.

XIV. Citing Improper Personal Hygiene Practices.

The following guidelines apply when citing personal hygiene violations:

A. Ingestion Hazards.

A citation under §1910.141(g)(2) and (4) shall be issued where there is reasonable 

probability that, in areas where employees consume food or beverages (including 

drinking fountains), a significant quantity of a toxic material may be ingested and 

subsequently absorbed.
4-31

1. For citations under §1910.141(g)(2) and (4), wipe sampling results shall be taken to 

establish the potential for a serious hazard.

2. Where, for any substance, a serious hazard is determined to exist due to potential for 

ingestion or absorption for reasons other than the consumption of contaminated food 

or drink (e.g., smoking materials contaminated with the toxic substance), a serious 

citation shall be considered under Section 5(a)(1) of the Act.

B. Absorption Hazards.

A citation for exposure to materials that may be absorbed through the skin or can cause a 

skin effect (e.g., dermatitis) shall be issued where appropriate personal protective 

clothing is necessary but is not provided or worn. If a serious skin absorption or 

dermatitis hazard exists that cannot be eliminated with protective clothing, a Section 

5(a)(1) citation may be considered. Engineering or administrative (including work 

practice) controls may be required in these cases to prevent the hazard. See 

§1910.132(a).

C. Wipe Sampling.

In general, wipe samples and not measurements for air concentrations, will be necessary 

to establish the presence of a toxic substance posing a potential absorption or ingestion 

hazard. (See TED 01-00-015, OSHA Technical Manual, dated January 20, 1999, for 

sampling procedures.)

D. Citation Policy.

The following criteria should be considered prior to issuing a citation for ingestion or 

absorption hazards:

1. A health risk exists as demonstrated by one of the following:

a. A potential for an illness, such as dermatitis, and/or

b. The presence of a toxic substance that may be potentially ingested or absorbed 

through the skin. (See the Chemical Sampling Information web page.)

2. The potential for employee exposure by ingestion or absorption may be established 

by taking both qualitative and quantitative wipe samples. The substance must be 

present on surfaces that employees contact (such as lunch tables, water fountains, 

work areas, etc.) or on other surfaces, which, if contaminated, present the potential 

for ingestion or absorption.

3. The sampling results must reveal that the substance has properties and exists in 

quantities that pose a serious hazard.

XV. Biological Monitoring.

If an employer has been conducting biological monitoring, CSHOs shall evaluate the results 

of such testing. These results may assist in determining whether a significant quantity of the 

toxic substance is being ingested or absorbed through the skin.
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Chapter 5

CASE FILE PREPARATION AND DOCUMENTATION

I. Introduction.

These instructions are provided to assist CSHOs in determining the minimum level of written 

documentation necessary in preparation of an inspection case file. All necessary information 

relative to documentation of violations shall be obtained during the inspection, (including but 

not limited to notes, audio/videotapes, photographs, employer and employee interviews and 

employer maintained records). CSHOs shall develop detailed information for the case file to 

establish the specific elements of each violation. 

CSHOs and Area Directors shall follow all Regional consultation procedures, including 

those established by the RSOL’s Office, when an inspection involves important or novel facts 

or presents potentially complex litigation issues. If consultation is necessary, it shall be 

conducted at the earliest possible stage of the inspection.

II. Inspection Conducted, Citations Being Issued.

All case files must include the following forms and documents. 

A. Inspection (OSHA-1).

The CSHO shall obtain available information to complete the Inspection (OSHA-1) and 

other appropriate forms. 

B. Narative (OSHA-1A).

The Narative (OSHA-1A) shall list the following:

1. Establishment Name;

2. Inspection Number;

3. Additional Citation Mailing Addresses;

4. Names and Addresses of all Organized Employee Groups;

5. Names, Addresses and Phone Numbers of Authorized Representatives of Employees;

6. Employer Representatives contacted and the extent of their participation in the 

inspection;

7. CSHOs evaluation of the Employer’s Safety and Health System, and if applicable, a 

discussion of any penalty reduction for good faith;

8. A written narrative containing accurate and concise information about the employer 

and the worksite;

9. Date the closing conference(s) was held and description of any unusual circumstances 

encountered;

10. Any other relevant comments/information CSHOs believe may be helpful, based on 

his/her professional judgment;

11. Names, Addresses and Phone Numbers of other persons contacted during the 

inspection, such as the police, coroner, attorney, etc.;
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12. Names and Job Titles of any individuals who accompanied the CSHO on the 

inspection;

13. Calculation of the DART rate (at least three full calendar years and the current year);

14. Discussion clearly addressing all items on any applicable Complaint or Referral;

15. Type of Legal Entity [Indicate whether the employer is a corporation, partnership, 

sole proprietorship, etc. (Do not use the word “owner.”) If the employer named is a 

subsidiary of another firm, indicate that.]; and

16. Coverage Information.

C. Violation (OSHA-1B).

1. A separate Violation (OSHA-1B) should normally be completed for each alleged 

violation. Describe the observed hazardous conditions or practices, including all 

relevant facts, and all information pertaining to how and/or why a standard is 

violated. Specifically identify the hazard to which employees have been or could be 

exposed. Describe the type of injury or illness which the violated standard was 

designed to prevent in this situation, or note the name and exposure level of any 

contaminant or harmful physical agent to which employees are, have been, or could 

be potentially exposed. If employee exposure was not actually observed during the 

inspection, state the facts on which the determination was made (i.e., tools left inside 

an unprotected trench) that an employee has been or could have been exposed to a 

safety or health hazard.

2. The following information shall be documented:

a. Explanation of the hazard(s), hazardous workplace condition(s) or practice(s);

b. Identification of the machinery or equipment (such as equipment type, 

manufacturer, model number, serial number);

c. Specific location of the hazard and employee exposure to the hazard;

d. Injury or illness likely to result from exposure to the hazard;

e. Employee proximity to the hazard and specific measurements taken, (describe 

how measurements were taken, identify the measuring techniques and equipment 

used, identify those who were present and observed the measurements being 

made, include calibration dates of equipment used);

f. For contaminants and physical agents, any additional facts that clarify the nature 

of employee exposure. A representative number of Material Safety Data Sheets

(MSDSs)/Safety Data Sheets (SDSs) should be collected for hazardous chemicals 

that employees may potentially be exposed to;

g. Names, addresses, phone numbers, and job titles for exposed employees;

h. Approximate duration of time the hazard has existed and frequency of exposure 

to the hazard;

i. Employer knowledge;

j. Any and all facts which establish that the employer actually knew of the 

hazardous condition, or what reasonable steps the employer failed to take 

(including regular inspections of the worksite) that could have revealed the 

presence of the hazardous condition. The mere presence of the employer in the 

workplace is not sufficient evidence of knowledge. There must be evidence that 

demonstrates why the employer reasonably could have recognized the presence 

of the hazardous condition. Avoid relying on conclusory statements such as 
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“reasonable diligence” to establish employer knowledge. See Chapter 4, Section 

II.C.4., Knowledge of the Hazardous Condition, for additional information.

 In order to establish that a violation may be potentially classified as 

willful, facts shall be documented to show either that the employer knew 

of the applicable legal requirements and intentionally violated them or 

that the employer showed plain indifference to employee safety or health 

(See Chapter 4, Section V, Willful Violations). For example, document 

facts that the employer knew that the condition existed and that the 

employer was required to take additional steps to abate the hazard. Such 

evidence could include prior OSHA citations, previous warnings by a 

CSHO, insurance company or city/state inspector regarding the 

requirements of the standard(s), the employer’s familiarity with the 

standard(s), contract specifications requiring compliance with applicable 

standards, or warnings by employees or employee safety representatives 

of the presence of a hazardous condition or practice and what protections 

are required by OSHA standards.

 Also include facts showing that even if the employer was not consciously 

or intentionally violating the Act, the employer acted with such plain 

indifference for employee safety that had the employer known of the 

standard, it probably would not have complied anyway. This type of 

evidence would include instances where an employer was aware of an 

employee exposure to an obviously hazardous condition(s) or practice(s)

and made no reasonable effort to eliminate it.

 Any relevant comments made by the employer or employee during the 

walkaround or closing conference, including any employer comments 

regarding why it violated the standard, which may be characterized as 

admissions of the specific violations described; and

 Include any other facts, which may assist in evaluating the situation or in 

reconstructing the total inspection picture in preparation for testimony in 

possible legal actions.

k. Appropriate and consistent abatement dates should be assigned and documented 

for abatement periods longer than 30 days. The abatement period shall be the 

shortest interval within which the employer can reasonably be expected to correct 

the violation. An abatement period should be indicated in the citation as a 

specific date, not a number of days. When abatement is witnessed by the CSHO 

during an inspection, the abatement period shall be listed on the citation as 

“Corrected During Inspection.”

l. The establishment of the shortest practicable abatement date requires the exercise 

of professional judgment on the part of the CSHO. Abatement periods exceeding 

30 days shall not normally be offered, particularly for simple safety violations. 

Situations may arise, however, especially for complex health or program 

violations, where abatement cannot be completed within 30 days (e.g., ventilation 

equipment needs to be installed, new parts or equipment need to be ordered, 

delivered and installed or a process hazard analysis needs to be performed as part 

of a PSM program). When an initial abatement date is granted that is in excess of 

30 calendar days, the reason should be documented in the case file.

3. Records obtained during the course of the inspection which the CSHO determines are 

necessary to support the violations.
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4. For violations classified as repeated, the file shall include a copy of the previous 

citation(s) on which the repeat classification is based and documentation of the final 

order date of the original citation. 

III. Inspection Conducted But No Citations Issued. 

For inspections that do not result in citations being issued, a lesser amount of documentation 

may be included in the case file. At a minimum, the case file shall include the Inspection 

(OSHA-1), the Narrative (OSHA-1A), and a general narrative/statement that at the time of the 

inspection no conditions were observed in violation of any standard, and a complaint/referral 

response letter, if appropriate shall clearly address all of the item(s). 

IV. No Inspection.

For “No Inspections,” the CSHO shall include in the case file an Inspection (OSHA-1), which 

indicates the reason why no inspection was conducted. If there was a denial of entry, the 

information necessary to obtain a warrant or an explanation of why a warrant is not being 

sought shall be included. The case file shall also include a complaint/referral response letter, 

if appropriate, which explains why an inspection was not conducted.

V. Health Inspections.

A. Document Potential Exposure.

In addition to the documentation indicated above, CSHOs shall document all relevant 

information concerning potential exposure(s) to chemical substances or physical agents 

(including, as appropriate, collection and evaluation of applicable MSDSs/SDSs), such as 

symptoms experienced by employees, duration and frequency of exposures to the hazard, 

employee interviews, sources of potential health hazards, types of engineering or 

administrative controls implemented by the employer, and personal protective equipment 

being provided by the employer and used by employees.

B. Employer’s Occupational Safety and Health System. 

CSHOs shall request and evaluate information on the following aspects of the employer’s 

occupational safety and health system as it relates to the scope of the inspection:

1. Monitoring.

The employer’s system for monitoring safety and health hazards in the establishment 

should include a program for self-inspection. CSHOs shall discuss the employer’s 

maintenance schedules and inspection records. Additional information shall be 

obtained concerning activities such as sampling and calibration procedures, 

ventilation measurements, preventive maintenance procedures for engineering 

controls, and laboratory services. Compliance with the monitoring requirements of 

any applicable substance-specific health standards shall be determined.

2. Medical.

CSHOs shall determine whether the employer provides the employees with preplacement and periodic medical examinations. The medical examination protocol 

shall be requested to determine the extent of the medical examinations and, if 

applicable, compliance with the medical surveillance requirements of any applicable 

substance-specific health standards.

3. Records Program.
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CSHOs shall determine the extent of the employer’s records program, such as 

whether records pertaining to employee exposure and medical records are being 

maintained in accordance with §1910.1020.

4. Engineering Controls.

CSHOs shall identify any engineering controls present, including substitution, 

isolation, general dilution and local exhaust ventilation, and equipment modification.

5. Work Practice and Administrative Controls. 

CSHOs shall identify any control techniques, including personal hygiene, 

housekeeping practices, employee job rotation, employee training and education. 

Rotation of employees as an administrative control requires employer knowledge of 

the extent and duration of exposure.

NOTE: Employee rotation is not permitted as a control under some standards. 

6. Personal Protective Equipment.

An effective personal protective equipment program should exist for the worksite. A 

detailed evaluation of the program shall be documented to determine compliance with 

specific standards, such as, §1910.95, §1910.134, and §1910.132.

7. Regulated Areas.

CSHOs shall investigate compliance with the requirements for regulated areas as 

specified by certain standards. Regulated areas must be clearly identified and known 

to all appropriate employees. The regulated area designation must be maintained 

according to the prescribed criteria of the applicable standard.

8. Emergency Action Plan.

CSHOs shall evaluate the employer’s emergency action plan when such a plan is 

required by a specific standard. When standards provide that specific emergency 

procedures be developed where certain hazardous substances are handled, CSHOs 

evaluation shall determine if: potential emergency conditions are included in the 

written plan, emergency conditions are explained to employees and there is a training 

program for the protection of affected employees, including use and maintenance of 

personal protective equipment.

VI. Affirmative Defenses.

An affirmative defense is a claim which, if established by the employer and found to exist by 

the CSHO, will excuse the employer from a citation that has otherwise been documented.

A. Burden of Proof.

Although employers have the burden of proving any affirmative defenses at the time of a 

hearing, CSHOs must anticipate when an employer is likely to raise an argument 

supporting such a defense. CSHOs shall keep in mind all potential affirmative defenses 

and attempt to gather contrary evidence, particularly when an employer makes an

assertion that would indicate raising a defense/excuse against the violation(s). CSHOs 

shall bring all documentation of hazards and facts related to possible affirmative defenses 

to the attention of the Area Director or designee.

B. Explanations.

The following are explanations of common affirmative defenses.

1. Unpreventable Employee or Supervisory Misconduct or “Isolated Event.”

a. To establish this defense in most jurisdictions, employers must show all the 

following elements:

 A work rule adequate to prevent the violation;

 Effective communication of the rule to employees;
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 Methods for discovering violations of work rules; and

 Effective enforcement of rules when violations are discovered.

b. CSHOs shall document whether these elements are present, including if the work 

rule at issue tracks the requirements of the standard addressing the hazardous 

condition.

EXAMPLE 5-1: An unguarded table saw is observed. The saw, however, has 

a guard which is reattached while the CSHO watches. Facts to be documented 

include:

 Who removed the guard and why?

 Did the employer know that the guard had been removed?

 How long or how often had the saw been used without the guard?

 Were there any supervisors in the area while the saw was operated 

without a guard?

 Did the employer have a work rule that the saw only be operated with the 

guard on?

 How was the work rule communicated to employees?

 Did the employer monitor compliance with the rule?

 How was the work rule enforced by the employer when it found 

noncompliance?

2. Impossibility/Infeasibility of Compliance.

Compliance with the requirements of a standard is impossible or would prevent 

performance of required work and the employer took reasonable alternative steps 

to protect employees or there are no alternative means of employee protection 

available.

EXAMPLE 5-2: An unguarded table saw is observed. The employer states that a 

guard would interfere with the nature of the work. Facts to be documented include:

 Would a guard make performance of the work impossible or merely more 

difficult?

 Could a guard be used some of the time or for some of the operations?

 Has the employer attempted to use a guard?

 Has the employer considered any alternative means of avoiding or reducing 

the hazard?

3. Greater Hazard.

Compliance with a standard would result in a greater hazard(s) to employees than 

would noncompliance and the employer took reasonable alternative protective 

measures, or there are no alternative means of employee protection. Additionally, an 

application for a variance would be inappropriate.

EXAMPLE 5-3: The employer indicates that a saw guard had been removed 

because it caused the operator to be struck in the face by particles thrown from the 

saw. Facts to be documented include:

 Was the guard initially properly installed and used?

 Would a different type of guard eliminate the problem?

 How often was the operator struck by particles and what kind of injuries 

resulted?

 Would personal protective equipment such as safety glasses or a face shield 

worn by the employee solve the problem?

 Was the operator’s work practice causing the problem and did the employer 

attempt to correct the problem?

 Was a variance requested?
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VII. Interview Statements.

A. Generally.

Interview statements of employees or other individuals shall be obtained to adequately 

document a potential violation. Statements shall normally be in writing and the 

individual shall be encouraged to sign and date the statement. During management 

interviews, CSHOs are encouraged to take verbatim, contemporaneous notes whenever 

possible as these tend to be more credible than later general recollections.

B. CSHOs shall obtain written statements when:

1. There is an actual or potential controversy as to any material facts concerning a 

violation;

2. A conflict or difference among employee statements as to the facts arises;

3. There is a potential willful or repeated violation; and

4. In accident investigations, when attempting to determine if potential violations 

existed at the time of the accident.

C. Language and Wording of Statement. 

Interview statements shall normally be written in the first person and in the language of 

the individual when feasible. (Statements taken in a language other than English shall be 

subsequently translated.) The wording of the statement shall be understandable to the 

individual and reflect only the information that has been brought out in the interview. 

The individual shall initial any changes or corrections to the statement; otherwise, the 

statement shall not be modified, added to, or altered in any way. The statement shall end 

with the wording: “I have read the above, or the statement has been read to me, and it is 

true to the best of my knowledge.” Where appropriate, the statement shall also include 

the following: “I request that my statement be held confidential to the extent allowed by 

law.” Only the individual interviewed may later waive the confidentiality of the 

statement. The individual shall sign and date the interview statement and the CSHO shall 

sign it as a witness.

D. Refusal to Sign Statement.

If the individual refuses to sign the statement, the CSHO shall note such refusal on the 

statement. Statements shall be read to the individual and an attempt made to obtain an 

agreement. A note to this effect shall be documented in the case file. Recorded 

statements shall be transcribed whenever possible.

E. Video and Audiotaped Statements.

Interview statements may be videotaped or audiotaped, with the consent of the person 

being interviewed. The statement shall be reduced to writing in egregious, 

fatality/catastrophe, willful, repeated, failure to abate, and other significant cases, so that 

it may be signed. CSHOs are encouraged to produce the written statement for correction 

and signature as soon as possible, and identify the transcriber.

F. Administrative Depositions.

When necessary to document or develop investigative facts, a management official or 

other individual may be administratively deposed.

NOTE: See Chapter 3, Section VII.I.4., Interviews of Non-Managerial Employees, for 

additional guidance regarding interviews of non-managerial employees.

VIII. Paperwork and Written Program Requirements.
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In certain cases, violations of standards requiring employers to have a written program to 

address a hazard or make a written certification (e. g., hazard communication, personal 

protective equipment, permit required confined spaces and others) are considered paperwork 

deficiencies. However, in some circumstances, violations of such standards may have an 

adverse impact on employee safety and health. See CPL 02-00-111, Citation Policy for 

Paperwork and Written Program Requirement Violations.

IX. Guidelines for Case File Documentation for Use with Videotapes and Audiotapes.

The use of videotaping as a method of documenting violations and of gathering evidence for 

inspection case files is encouraged. Certain types of inspections, such as fatalities, imminent 

danger and ergonomics shall include videotaping. Other methods of documentation, such as 

handwritten notes, audiotaping, and photographs, continue to be acceptable and are 

encouraged to be used whenever they add to the quality of the evidence and whenever 

videotaping equipment is not available. See CPL 02-00-098, Guidelines for Case File 

Documentation for use with Videotapes and Audiotapes, dated October 12, 1993.

X. Case File Activity Diary Sheet.

All case files shall contain an activity diary sheet, which is designed to provide a ready 

record and summary of all actions relating to a case. It will be used to document important 

events or actions related to the case, especially those not noted elsewhere in the case file. 

Diary entries should be clear, concise and legible and should be dated in chronological order 

to reflect a timeline of the case development. Information provided should include, at a 

minimum, the date of the action or event, a brief description of the action or event and the 

initials of the person making the entry. When a case file is completed, the CSHO must 

ensure that it is properly organized. See ADM 03-01-005, OSHA Compliance Records, dated 

August 3, 1998.

XI. Citations.

Section 9 of the OSH Act addresses the form and issuance of citations. 

Section 9(a) provides: “...Each citation shall be in writing and shall describe with 

particularity the nature of the violation including a reference to the provision of the Act, 

standard, rule, regulation, or order alleged to have been violated. In addition, the citation 

shall fix a reasonable time for the abatement of the violation....”

A. Statute of Limitations.

Section 9(c) provides. “...No citation may be issued under this Section after the 

expiration of six months following the occurrence of any violation.” Accordingly, a 

citation shall not be issued where any alleged violation last occurred six months or more 

prior to the date on which the citation is actually signed, dated and served by certified 

mail as provided by Section 10(a) of the Act. Where the actions or omissions of the 

employer concealed the existence of the violation, the six-month issuance limitation is 

tolled until such time that OSHA learns or could have learned of the violation. The 

RSOL shall be consulted in such cases. In some cases, particularly those involving 

fatalities or accidents, the six-month period begins to run from the date of the incident, 

not from the opening conference date.

B. Issuing Citations.

1. Citations shall be sent by certified mail. Hand delivery of citations to the employer 

or an appropriate agent of the employer, or use of a mail delivery service other than 
5-9

the United States Postal Service, may be used in addition to certified mail if it is 

believed that these methods would effectively give the employer notice of the 

citation. A signed receipt shall be obtained whenever possible. The circumstances of 

delivery shall be documented in the diary sheet.

2. Citations shall be mailed to employee representatives after the certified mail receipt 

card is received by the Area Office. Citations shall also be mailed to any employee 

upon request and without the need to make a written request under the Freedom of 

Information Act (FOIA). In the case of a fatality, the family of the victim shall be 

provided with a copy of the citations without charge or the need to make a written 

request.

C. Amending/Withdrawing Citations and Notification of Penalties.

1. Amendments/Withdrawal Justification.

Amendments to, or withdrawal of, a citation shall be made when information is 

presented to the Area Director or designee, which indicates a need for such action and 

may include administrative or technical errors such as:

a. Citation of an incorrect standard;

b. Incorrect or incomplete description of the alleged violation;

c. Additional facts not available to the CSHO at the time of the inspection establish 

a valid affirmative defense;

d. Additional facts not available to the CSHO at the time of the inspection establish 

that there was no employee exposure to the hazard; or

e. Additional facts establish a need for modification of the abatement date or the 

penalty, or reclassification of citation items.

2. When Amendments/Withdrawal is not Appropriate.

Amendments to, or withdrawal of, a citation shall not be made by the Area Director 

or designee for any of the following:

a. Timely Notice of Contest received;

b. The 15 working days for filing a Notice of Contest has expired and the citation 

has become a Final Order; or

c. Employee representatives were not given the opportunity to present their views 

(unless the revision involves only an administrative or technical error).

D. Procedures for Amending or Withdrawing Citations.

The following procedures apply whenever amending or withdrawing citations.

NOTE: The instructions contained in this section, with appropriate modifications, are 

also applicable to the amendment of the Notification of Failure to Abate Alleged 

Violation (OSHA-2B).

1. Withdrawal of, or modifications to the Citation and Notification of Penalty (OSHA2), shall normally be accomplished by means of Informal or Formal Settlement 

Agreements.

2. In exceptional circumstances, the Area Director or designee may initiate a change to a 

Citation and Notification of Penalty (OSHA-2) without an informal conference. If 

proposed amendments to citation items (individual violations) change the original 

classification of the items, such as willful to repeated, the original items shall be 

withdrawn and the new, appropriate items will be issued. The amended Citation and 

Notification of Penalty (OSHA-2) shall clearly indicate that the employer is obligated 

under the Act to post the amendment to the citation along with the original citation, 

until the amended violation has been corrected, or for three working days, whichever 

is longer.
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3. The 15 working day contest period for the amended portions of the citation will begin 

on the day following the day of receipt of the amended Citation and Notification of 

Penalty (OSHA-2).

4. The contest period is not extended for the un-amended portions of the original 

citation. A copy of the original citation shall be attached to the amended Citation and 

Notification of Penalty (OSHA-2), when the amended form is forwarded to the 

employer.

5. When circumstances warrant, the Area Director or designee may withdraw a Citation 

and Notification of Penalty (OSHA-2) in its entirety. Justification for the withdrawal 

must be noted in the case file. A letter withdrawing the Citation and Notification of 

Penalty (OSHA-2) shall be sent to the employer. The letter, signed by the Area 

Director or designee, shall refer to the original Citation and Notification of Penalty

(OSHA-2), state that they are withdrawn and direct that the employer post the letter 

for three working days in the same location(s) where the original citation was posted. 

When applicable, a copy of the letter shall also be sent to the employee 

representative(s) and/or complainant.

XII. Inspection Records.

A. Generally.

1. Inspection records are any record made by a CSHO that concern, relate to, or are part 

of, any inspection, or are a part of the performance of any official duty.

2. All official forms and notes constituting the basic documentation of a case must be 

part of the case file. All original field notes are part of the inspection record and shall 

be maintained in the file. Inspection records also include photographs (including 

digital photographs), negatives of photographs, videotapes, DVDs and audiotapes. 

Inspection records are the property of the United States Government and not the 

property of the CSHO, and are not to be retained or used for any private purpose.

B. Release of Inspection Information.

The information obtained during inspections is confidential, but may be disclosable or 

non-disclosable based on criteria established in the Freedom of Information Act. 

Requests for release of inspection information shall be directed to the Area director or 

designee.

C. Classified and Trade Secret Information.

1. Any classified or trade secret information and/or personal knowledge of such 

information by agency personnel shall be handled in accordance with OSHA 

regulations. Trade Secrets are matters that are not of public or general knowledge. A 

trade secret, as referenced in Section 15 of the Act, includes information concerning 

or related to processes, operations, style of work, or apparatus, or to the identity, 

confidential statistical data, amount or source of any income, profits, losses, or 

expenditures of any person, firm, partnership, corporation, or association. See 18 

USC 1905. The collection of such information and the number of personnel with 

access to it shall be limited to the minimum necessary for the conduct of investigative 

activities. CSHOs shall specifically identify any classified and trade secret 

information in the case file. Title 18 USC 1905, as referenced by Section 15 of the 

OSH Act, provides for criminal penalties in the event of improper disclosure.

2. It is essential to the effective enforcement of the OSH Act that CSHOs and all OSHA 

personnel preserve the confidentiality of all information and investigations which 

might reveal a trade secret. When the employer identifies an operation or condition 
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as a trade secret, it shall be treated as such (unless, after following proper procedures, 

including consulting with the Solicitor’s Office, the agency determines that the matter 

is not a trade secret). Information obtained in such areas, including all negatives, 

photographs, videotapes and documentation forms shall be labeled:

“ADMINISTRATIVELY CONTROLLED INFORMATION”

“RESTRICTED TRADE INFORMATION”

3. Under Section 15 of the OSH Act, all information reported to or obtained by CSHOs 

in connection with any inspection or other activity which contains or may reveal a 

trade secret shall be kept confidential. Such information shall not be disclosed except 

to other OSHA officials concerned with the enforcement of the OSH Act or, when 

relevant, in any proceeding under the OSH Act.

4. Title 18 USC 1905, provides criminal penalties for Federal employees who disclose 

such information. These penalties include fines up to $1,000 or imprisonment up to 

one year, or both, and removal from office or employment.

5. Trade secret materials shall not be labeled as “Top Secret,” “Secret,” or 

“Confidential,” nor shall these security classification designations be used in 

conjunction with other words, unless the trade secrets are also classified by an agency 

of the U.S. Government in the interest of national security.

6. If the employer objects to the taking of photographs and/or videotapes because trade 

secrets would or may be disclosed, CSHOs should advise employers of the protection 

against such disclosure afforded by Section 15 of the OSH Act and §1903.9. If the 

employer still objects, CSHOs shall contact the RSOLs office, Area Director or 

designee for guidance. 
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Chapter 6

PENALTIES AND DEBT COLLECTION

I. General Penalty Policy.

The penalty structure in Section 17 of the OSH Act is designed primarily to provide an 

incentive for preventing or correcting violations voluntarily, not only to the cited employer, 

but to other employers. While penalties are not designed as punishment for violations, 

Congress has made clear its intent that penalty amounts should be sufficient to serve as an 

effective deterrent to violations.

Proposed penalties, therefore, serve the public policy purpose intended under the Act; and 

criteria approved for such penalties by the Assistant Secretary are based on effectuating this 

purpose.

The penalty structure described in this chapter is part of OSHA’s general enforcement 

policy and shall normally be applied as set forth below. If, in a specific case, the Area 

Director determines that it is warranted to depart from the general policy in order to achieve 

the appropriate deterrent effect, the extent of the departure and the reasons for doing so shall 

be fully explained in the case file.

II. Civil Penalties.

A. Statutory Authority for Civil Penalties.

Section 17 provides the Secretary with the statutory authority to propose civil penalties 

for violations of the Act. Civil penalties advance the purposes of the Act by encouraging 

compliance and deterring violations. Proposed penalties are the penalty amounts OSHA 

issues with citation(s).

1. Section 17(a) of the Act provides that any employer who willfully or repeatedly 

violates the Act may be assessed a civil penalty of not more than $70,000 for each 

violation, but not less than $5,000 for each willful violation.

2. Section 17(b) provides that any employer who has received a citation for a serious 

violation shall be assessed a civil penalty of up to $7,000 for each violation.

3. Section 17(c) provides that, when the violation is specifically determined not to be of 

a serious nature, a proposed civil penalty of up to $7,000 may be assessed for each 

violation.

4. Section 17(d) provides that any employer who fails to correct a violation for which a 

citation has been issued, may be assessed a civil penalty of not more than $7,000 for 

each day during which such failure or violation continues.

5. Section 17(i) provides that, when a violation of a posting requirement is cited, a civil 

penalty of up to $7,000 shall be assessed for each violation.

NOTE: While OSHA proposes penalties, the Occupational Safety and Health Review 

Commission assesses penalties.

B. Appropriation Act Restrictions.

In providing funding for OSHA, Congress has placed restrictions on enforcement 

activities regarding two categories of employers: small farming operations and small 
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employers in low-hazard industries. The Appropriations Act contains limits for OSH Act 

activities on a year-by-year basis.

NOTE: See CPL 02-00-051, Enforcement Exemptions and Limitations under the 

Appropriations Act, issued May 28, 1998, for additional information. Appendix A of that 

directive contains the list of low-hazard industries, which is updated annually.

C. Minimum Penalties.

The following policies apply:

1. The proposed penalty for any willful violation shall not be less than $5,000. The 

$5,000 penalty is a statutory minimum and not subject to administrative discretion. 

This minimum penalty applies to all willful violations, whether serious or other-thanserious.

2. When the proposed penalty for a serious violation (citation item) would amount to 

less than $500, a $500 penalty shall be proposed for that violation.

3. When the proposed penalty for an other-than-serious violation (citation item), or a 

regulatory violation other than a posting violation, would amount to less than $100, 

no penalty shall be proposed for that violation.

4. When the proposed penalty for a posting violation (citation item) would amount to 

less than $250, a $250 penalty shall be proposed for that violation, if the company 

was previously provided a poster by OSHA.

D. Maximum Penalties.

The civil penalty amounts included in Section 17 are generally maximum amounts before 

any permissible reductions are taken. 

Table 6-1 below summarizes the maximum amounts for proposed civil penalties:

Table 6-1: Maximum Amounts for Civil Penalties 

Type of Violation Penalty Maximum

Serious $7,000 per violation

Other-Than-Serious $7,000 per violation

Willful or Repeated $70,000 per violation

Posting Requirements $7,000 per violation

Failure to Abate $7,000 per day unabated beyond the abatement date 

[generally limited to 30 days maximum]

III. Penalty Factors.

Section 17(j) of the Act provides that penalties shall be assessed giving due consideration to 

four factors:

 The gravity of the violation;

 Size of the employer’s business;

 The good faith of the employer; and

 The employer’s history of previous violations.

A. Gravity of Violation.

The gravity of the violation is the primary consideration in determining penalty 

amounts. It shall be the basis for calculating the basic penalty for serious and other-than-
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serious violations. To determine the gravity of a violation, the following two assessments 

shall be made:

 The severity of the injury or illness which could result from the alleged violation.

 The probability that an injury or illness could occur as a result of the alleged 

violation.

1. Severity Assessment.

The first step in the classification of an alleged violation, as serious or other-thanserious, is based on the severity of the potential injury or illness. The following 

categories shall be considered in assessing the severity of potential injuries or 

illnesses:

a. Serious:

 High Severity: Death from injury or illness; injuries involving permanent 

disability; or chronic, irreversible illnesses.

 Medium Severity: Injuries or temporary, reversible illnesses resulting in 

hospitalization for a variable but limited period of disability.

 Low Severity: Injuries or temporary, reversible illnesses not resulting in 

hospitalization and requiring only minor supportive treatment.

b. For Other-Than-Serious:

 Minimal Severity: Although such violations reflect conditions which have a 

direct and immediate relationship to the safety and health of employees, the 

most serious injury or illness that could reasonably be expected to result from 

an employee’s exposure would not be low, medium or high severity and 

would not cause death or serious physical harm.

2. Probability Assessment.

The probability that an injury or illness will result from a hazard has no role in 

determining the classification of a violation, but does affect the amount of the 

proposed penalty.

a. Probability shall be categorized either as greater or as lesser.

 Greater Probability: Results when the likelihood that an injury or illness will 

occur is judged to be relatively high.

 Lesser Probability: Results when the likelihood that an injury or illness will 

occur is judged to be relatively low.

b. How to Determine Probability.

The following factors shall be considered, as appropriate, when violations are 

likely to result in injury or illness:

 Number of employees exposed;

 Frequency of exposure or duration of employee overexposure to 

contaminants;

 Employee proximity to the hazardous conditions;

 Use of appropriate personal protective equipment;

 Medical surveillance program;

 Youth and inexperience of employees, especially those under 18 years 

old; and
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 Other pertinent working conditions.

EXAMPLE 6-1: Greater probability may include an employee exposed to the 

identified hazard for four hours a day, five days a week. Where an employee has 

performed a non-routine task with exposures one or two times a year and no 

injuries or illnesses can be attributed to the hazard, a lesser probability may apply.

c. Final Probability Assessment.

All the factors outlined above shall be considered in determining a final 

probability assessment.

When adherence to the probability assessment procedures would result in an 

unreasonably high or low gravity, the assessment may be adjusted at the 

discretion of the Area Director as appropriate. Such decisions shall be fully 

explained in the case file.

3. Gravity-Based Penalty (GBP).

a. The gravity-based penalty (GBP) for each violation shall be determined by 

combining the severity assessment and the final probability assessment.

b. GBP is an unreduced penalty and is calculated in accordance with the procedures 

below.

NOTE: Throughout the FOM when the term “unreduced penalty” is used, it is 

the same as GBP.

4. Serious Violation & GBP.

a. The gravity of a violation is defined by the GBP:

 A high gravity violation is one with a GBP of $7,000.

 A moderate gravity violation is one with a GBP of $4,000, $5,000 or

$6,000.

 A low gravity violation is one with a GBP of $3,000.

b. The highest gravity classification (high severity and greater probability) shall 

normally be reserved for the most serious violative conditions, such as those 

situations involving danger of death or extremely serious injury or illness.

c. If the Area Director determines that it is appropriate to achieve the necessary 

deterrent effect, a GBP of $7,000 may be proposed instead of $5,000. Such 

discretion should be exercised based on the facts of the case. The reasons for this 

determination shall be fully explained in the case file.

d. For serious violations, the GBP shall be assigned on the basis of the following 

scale in Table 6-2:

 Severity + Probability = GBP
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Table 6-2: Serious Violations

Severity Probability GBP Gravity OIS Code

High Greater $7,000 High 10

Medium Greater $6,000 Moderate 5

Low Greater $5,000 Moderate 5

High Lesser $5,000 Moderate 5

Medium Lesser $4,000 Moderate 5

Low Lesser $3,000 Low 1

5. Other-Than-Serious Violations & GBP.

a. For other-than-serious safety and health violations, there is only minimal 

severity.

b. If the Area Director determines that it is appropriate to achieve the necessary 

deterrent effect, a GBP of $7,000 may be proposed. Such discretion should 

be exercised based on the facts of the specific case. The reasons for this 

determination shall be fully explained in the case file.

Table 6-3: Other-Than-Serious Violations

Severity Probability GBP

Minimal Greater $1,000 - $7,000

Minimal Lesser $0

6. Exception to GBP Calculations.

For some cases, a GBP may be assigned without using the severity and the 

probability assessment procedures outlined in this section when these 

procedures cannot appropriately be used. In such cases, the assessment 

assigned and the reasons for doing so shall be fully explained in the case file.

7. Egregious Cases.

In egregious cases, violation-by-violation penalties are applied. Such cases 

shall be handled in accordance with CPL 02-00-080, Handling of Cases to be 

Proposed for Violation-By-Violation Penalties, dated October 21, 1990. 

Penalties calculated under this policy shall not be proposed without the 

concurrence of the Assistant Secretary and NSOL.

8. Gravity Calculations for Combined or Grouped Violations.

Combined or grouped violations will be considered as one violation with one 

GBP. The following procedures apply to the calculation of penalties for 

combined and grouped violations:

NOTE: Multiple violations of a single standard may be combined into one 

citation item. When a hazard is identified which involves interrelated 

violations of different standards, the violations may be grouped into a single 

item.

a. Combined Violations.
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The severity and probability assessments for combined violations 

shall be based on the instance with the highest gravity. It is not 

necessary to complete the penalty calculations for each instance or 

sub item of a combined or grouped violation once the instance with 

the highest gravity is identified.

b. Grouped Violations.

The following shall be adhered to:

 Grouped Severity Assessment.

There are two considerations for calculating the severity of 

grouped violations:

o The severity assigned to the grouped violation shall be 

no less than the severity of the most serious 

reasonably predictable injury or illness that could 

result from the violation of any single item; AND

o If the injury or illness that is reasonably predictable 

from the grouped items is more serious than that from 

any single violation item, the more serious injury or 

illness shall serve as the basis for the calculation of 

the severity factor.

 Grouped Probability Assessment.

There are two factors for calculating the probability of 

grouped violations:

o The probability assigned to the grouped violation shall 

be no less than the probability of the item which is 

most likely to result in an injury or illness; AND

o If the overall probability of injury or illness is greater 

with the grouped violation than with any single 

violation item, the greater probability of injury or 

illness shall serve as the basis for the calculation of 

the probability assessment.

B. Penalty Adjustment Factors.

1. General.

a. Penalty adjustments will vary depending upon the employer’s “size”

(maximum number of employees), “good faith,” and “history of previous 

violations.”

 A 10 percent reduction may be given for history.

 A maximum of 25 percent reduction is permitted for good faith; 

and

 A maximum of 60 percent reduction is permitted for size;

b. Since these reduction factors are based on the general character of an 

employer’s safety and health performance, they shall be calculated once 

for each employer.

c. After the classification (as serious or other-than-serious) and the gravitybased penalty have been determined for each violation, the penalty 
6-7

reduction factors (for size, good faith, history) shall be applied subject to 

the following limitations:

 Penalties proposed for violations classified as repeated shall be 

reduced only for size.

 Penalties proposed for violations classified as willful, shall be 

reduced only for size and history.

 Penalties proposed for serious violations classified as high 

severity/greater probability shall be reduced only for size and 

history.

2. History Adjustment.

a. Allowable Percent Reduction.

A reduction of 10 percent shall be given to employers who have been 

inspected by OSHA nationwide, or by any State Plan State and the 

employers were found to be in compliance or were not issued serious 

violations in the previous five years.

b. Allowable Percent Increase.

An increase of 10 percent shall be applied to employers who have been 

issued citations that have become a final order. The penalty shall not 

exceed the statutory maximum.

c. No Reduction or Increase.

 To employers being cited under abatement verification for any 

§1903.19 violations.

 To employers who have not been inspected by Federal OSHA 

nationwide or by any State Plan State within the last five years.

 To employers who have been issued citations that have become a 

final order for serious violations within the last five years that were 

not classified as high gravity.

NOTE: In summary, an employer who has been inspected by OSHA 

within the previous five years and has no serious, willful, repeat, or 

failure-to-abate violations will receive a 10% reduction for history.

d. Time Limitation and Final Order.

The five-year history of no prior citations (both Federal and state) shall be 

calculated from the opening conference date of the current inspection. 

Only citations that have become a final order of the Commission or final 

order of the state’s adjudicative body within the five years before the 

opening conference date shall be considered.

3. Good Faith Reduction.

A penalty reduction is permitted in recognition of an employer’s effort to 

implement an effective safety and health management system in the 

workplace. The following apply to reductions for good faith:

a. Reduction Not Permitted.

 No reduction shall be given for high gravity serious violations.

 No reduction shall be given if a willful violation is found. 

Additionally, where a willful violation has been documented, no 
6-8

reduction for good faith can be applied to any of the violations found 

during the same inspection.

 No reduction shall be given for repeated violations. If a repeated 

violation is found, no reduction for good faith can be applied to any

of the violations found during the same inspection.

 No reduction shall be given if a failure to abate (FTA) violation is 

found during an inspection. No good faith reduction shall be given 

for any violation in the same inspection in which FTA was found.

 No reduction shall be given to employers being cited under abatement 

verification for any §1903.19 violations.

 No reduction shall be given if the employer has no safety and health 

management system, or if there are major deficiencies in the 

program.

b. Twenty-Five Percent Reduction.

A 25 percent reduction for “good faith” normally requires a written safety 

and health management system. In exceptional cases, CSHOs may 

recommend a full 25 percent reduction for employers with 1-25 

employees who have implemented an effective safety and health 

management system, but have not documented it in writing.

To qualify for this reduction, the employer’s safety and health 

management system must provide for:

 Appropriate management commitment and employee 

involvement;

 Worksite analysis for the purpose of hazard identification;

 Hazard prevention and control measures;

 Safety and health training; and

 Where young persons (i.e., less than 18 years old) are employed, 

the CSHOs evaluation must consider whether the employer’s 

safety and health management system appropriately addresses the 

particular needs of such employees, relative to the types of work 

they perform and the potential hazards to which they may be 

exposed.

 Where persons who speak limited or no English are employed, 

the CSHOs evaluation must consider whether the employer’s 

safety and health management system appropriately addresses the 

particular needs of such employees, relative to the types of work 

they perform and the potential hazards to which they may be 

exposed.

NOTE: One example of an effective safety and health management 

system is given in Safety and Health Program Management Guidelines; 

Issuance of Voluntary Guidelines (Federal Register, January 16, 1989 (54 

FR 3904)).

c. Fifteen Percent Reduction.
6-9

A 15 percent reduction for good faith shall normally be given if the 

employer has a documented and effective safety and health management 

system, with only incidental deficiencies. 

EXAMPLE 6-2: An acceptable program should include minutes of 

employee safety and health meetings, documented employee safety and 

health training sessions, or any other evidence of measures advancing 

safety and health in the workplace.

4. Size Reduction.

a. A maximum penalty reduction of 60 percent is permitted for small 

employers. “Size” of an employer shall be calculated on the basis of the 

maximum number of employees for an employer at all workplaces 

nationwide, including State Plan States, at any one time during the 

previous 12 months.

b. The rates of reduction to be applied are as follows.

Table 6-4: Size Reduction

Employees Percent Reduction

1-25 60

26-100 30

101-250 10

251 or more None

c. When an employer with 1-25 employees 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 

CSHO may recommend that only a partial reduction in penalty shall be 

permitted for size. If the Area Director approves the partial reduction, the 

justification is to be fully explained in the case file.

NOTE: For violations that are not serious willful, use Table 6-4.

5. Penalty Adjustment Application.

The penalty adjustment will be applied serially for each factor. The penalty 

adjustment factors shall be applied serially as follows: History, Good Faith, 

Quick Fix and Size. The penalty adjustment factors will be applied serially to 

the GBP (e.g., 10%, then 40%, etc., instead of 50%). The OSHA Information 

System (OIS) will process the calculations automatically upon entering the 

adjustment factors. (See Regional Administrators Memorandum, “Annual 

Review and Scheduled Modification to OSHA’s Interim Administrative 

Penalty Policy” dated March 27, 2012.)
6-10

Table 6-5: Sample of Moderate Gravity Penalty Comparison

Summed versus Serial Calculation

Sample Data Summed Serially*

High/Lesser $5,000 $5,000

History (10%) $5,000 – 10% = $4,500

Good Faith (15%) $4,500 – 15% = $3,825

Quick Fix (15%) $3,825 – 15% = $3,251.25

Size (30%) 10% + 15% + 15% + 30% = 70% $3,251.25 – 30% = $2,275.87

Result $1,500 $2,275

IV. Effect on Penalties if Employer Immediately Corrects.

Appropriate penalties will be proposed for an alleged violation even though, after being 

informed of the violation by the CSHO, the employer immediately corrects or initiates steps 

to abate the hazard. In limited circumstances, this prompt abatement of a hazardous 

condition may be taken into account in determining the amount of the proposed penalties 

under the Quick-Fix penalty reduction.

A. Quick-Fix Penalty Reduction.

Quick-Fix is an abatement incentive program meant to encourage employers to 

immediately abate hazards found during an OSHA inspection, and thereby, quickly 

prevent potential employee injury, illness, and death. Quick-Fix does not apply to all 

violations.

B. Quick-Fix Reduction Shall Apply to:

1. All general industry, construction, maritime and agriculture employers.

2. All sizes of employers in all Standard Industrial Classification (SIC) codes and North 

American Industry Classification System (NAICS) codes.

3. Both safety and health violations, provided that the hazards are immediately abated 

during the inspection (e.g., on the day the CSHO pointed out the hazard to the 

employer, or within 24 hours of being discovered by the CSHO).

4. Violations classified as “other-than-serious”, “low gravity serious” or “moderate 

gravity serious.”

5. Individual violations, i.e., not to the citation or penalty as a whole.

6. Corrective actions that are permanent and substantial, not temporary or cosmetic 

(e.g., installing a guard on a machine rather than removing an employee from the 

zone of danger).

C. Quick-Fix Reductions Shall Not Apply to:

1. Violations classified as “high gravity serious,” “willful,” “repeated,” or “failure-toabate.”

2. Violations related either to a fatal injury or illness, or to any incidents resulting in 

serious injuries to employees.

3. Blatant violations that are easily corrected (e.g., turning on a ventilation system to 

reduce employee exposure to a hazardous atmosphere, or putting on hard hats that are 

readily available at the workplace).

D. Reduction Amount.
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1. The adjustments to an individual violation’s GBP for history, good faith, quick fix 

and size, will be applied, respectively. Table 6-6, below, provides an overview of the 

program.

2. A Quick-Fix penalty reduction of 15 percent shall be applied after the adjustments for 

history and good faith.

Table 6-6: Quick-Fix Penalty Reduction Factor 

Reduction 

Factor Restrictions Application Percent Reduction Comments

Quick-Fix No Reduction 

Factor for:

 Violations 

classified as:

- High gravity 

serious

- Willful

- Repeated

- Failure to 

Abate penalty

 Violations 

related to a 

fatal injury or 

illness, or a 

serious incident 

resulting in 

serious injuries

 Blatant 

violations that 

are easily 

corrected

 All general industry, 

construction, 

maritime & 

agriculture 

employers

 All sizes of 

employers in all 

SIC/NAICS codes

 Safety & health 

violations, provided 

hazards are

immediately abated 

during the inspection

 Violations classified 

as: 

- Other-than-serious

- Low gravity serious 

- Moderate gravity 

 serious

 Only to individual 

violations 

 Only to a corrective 

action that is 

permanent and 

substantial

After the GBP 

has been 

calculated the 

adjustments are 

made for history, 

good faith, 

quick-fix and 

size. The 15% 

Quick-Fix 

reduction is 

applied after 

the adjustment 

for history and 

good faith.

No penalty for 

a serious 

violation shall 

be less than 

$500

V. Repeated Violations.

A. General.

1. Each repeated violation shall be evaluated as serious or other-than-serious, based on 

current workplace conditions, and not on hazards found in the prior case.

2. A Gravity-Based Penalty (GBP) shall be calculated for repeated violations based on 

facts noted during the current inspection.

3. Only the reduction factor for size, appropriate to the facts at the time of the 

reinspection, shall be applied.

NOTE: Section 17(a) of the Act provides that an employer who repeatedly violates 

the Act may be assessed a civil penalty of not more than $70,000 for each violation.

B. Penalty Increase Factors for Repeated Violations.

The amount of any increase to a proposed penalty for repeated violations shall be 

determined by the employer’s number of employees.

1. Small Employers.
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For employers with 250 or fewer employees nationwide, the GBP shall be multiplied 

by a factor of 2 for the first repeated violation and multiplied by 5 for the second 

repeated violation. The GBP may be multiplied by 10 in cases where the Area 

Director determines that it is necessary to achieve the deterrent effect. The reasons 

for imposing a high multiplier factor shall be explained in the file.

2. Large Employers.

For employers with more than 250 employees nationwide, the GBP shall be 

multiplied by a factor of 5 for the first repeated violation and, by 10 for the second 

repeated violation.

C. Other-than-Serious, No Initial Penalty.

For a repeated other-than-serious violation that otherwise would have no initial penalty, a 

GBP penalty of $200 shall be proposed for the first repeated violation, $500 for the 

second repeated violation, and $1,000 for a third repetition.

NOTE: These penalties shall not be subject to the Penalty Increase factors as discussed 

in Section V.B. of this chapter.

D. Regulatory Violations.

1. For calculating the GBP for regulatory violations, see Section III.A.5. and Section X.

2. For repeated instances of regulatory violations, the initial penalty (of current 

inspection) shall be multiplied by 2 for the first repeated violation and multiplied by 5

for the second repeated violation. If the Area Director determines that it is necessary 

to achieve the proper deterrent effect, the initial penalty may be multiplied by 10.

VI. Willful Violations.

Section 17(a) of the Act provides that an employer who willfully violates the Act may be 

assessed a civil penalty of not more than $70,000 for each violation, but not less than $5,000 

for each violation. See Minimum Penalties at Section II.C., of this chapter.

A. General.

1. Each willful violation shall be classified as serious or other-than-serious.

2. There shall be no reduction for good faith.

3. In no case shall the proposed penalty for a willful violation (serious or other-thanserious) after reductions be less than $5,000.

B. Serious Willful Penalty Reductions.

The reduction factors for size for serious willful violations shall be applied as shown in 

the following chart. This chart helps minimize the impact of large penalties for small 

employers with 50 or fewer employees. However, in no case shall the proposed penalty 

be less than the statutory minimum, i.e., $5,000 for these employers.

NOTE: For violations that are not serious willful, use Table 6-4.
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Table 6-7: Serious Willful Penalty Reductions

Employees Percent reduction

10 or fewer 80

11-20 60

21-30 50

31-40 40

41-50 30

51-100 20

101-250 10

251 or more 0

 The reduction factor for history shall be applied.

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

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

Total percent 

reduction for size 

and/or history

High Gravity Moderate 

Gravity Low Gravity

0% $70,000 $55,000 $40,000

10% $63,000 $49,500 $36,000

20% $56,000 $44,000 $32,000

30% $49,000 $38,500 $28,000

40% $42,000 $33,000 $24,000

50% $35,000 $27,500 $20,000

60% $28,000 $22,000 $16,000

70% $21,000 $16,500 $12,000

80% $14,000 $11,000 $8,000

90% $7,000 $5,500 $5,000

C. Willful Regulatory Violations.

1. For calculating the GBP for regulatory violations, see Section III.A.5. and Section X.

for other-than-serious violations.

2. In the case of regulatory violations that are determined to be willful, the GBP penalty 

shall be multiplied by 10. In no event shall the penalty, after reduction for size and 

history, be less than $5,000.

VII. Penalties for Failure to Abate.

A. General.

1. Failure to Abate penalties shall be proposed when:
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a. A previous citation issued to an employer has become a final order of the 

Commission; and 

b. The condition, hazard or practice found upon re-inspection is the same for which 

the employer was originally cited and has never been corrected by the employer 

(i.e., the violation was continuous).

2. The citation must have become a final order of the Review Commission. Citations 

become a final order of the Review Commission when the abatement date for that 

item passes, provided that the employer has not filed a notice of contest prior to that 

abatement date.

3. See Chapter 15, Legal Issues, for information on determining final order dates of 

uncontested citations, settlements and Review Commission decisions.

B. Calculation of Additional Penalties.

1. Unabated Violations.

A GBP for unabated violations is to be calculated for failure to abate a serious or 

other-than-serious violation on the basis of the facts noted upon re-inspection. This 

recalculated GBP, however, shall not be less than that proposed for the item when 

originally cited.

a. EXCEPTION: When the CSHO believes and documents in the case file that the 

employer has made a good faith effort to correct the violation and had an 

objective, reasonable belief that it was fully abated, the Area Director may reduce 

or eliminate the daily proposed penalty.

b. For egregious cases see CPL 02-00-080, Handling of Cases to be Proposed for 

Violation-By-Violation Penalties, dated October 21, 1990.

2. No Initial Proposed Penalty.

In instances where no penalty was initially proposed, an appropriate penalty shall be 

determined after consulting with the Area Director. In no case shall the GBP be less 

than $1,000 per day.

3. Size Only Permissible Reduction Factor.

Only the reduction factor for size based upon the circumstances noted during the reinspection shall be applied to arrive at the daily proposed penalty.

4. Daily Penalty Multiplier.

The daily proposed penalty shall be multiplied by the number of calendar days that 

the violation has continued unabated, except as provided below:

a. The number of days unabated shall be counted from the day following the 

abatement date specified in the citation or the final order. It will include all 

calendar days between that date and the date of re-inspection, excluding the date 

of re-inspection.

b. Normally the maximum total proposed penalty for failure to abate a particular 

violation shall not exceed 30 times the amount of the daily proposed penalty.

c. At the discretion of the Area Director, a lesser penalty may be proposed. The 

reasoning for the lesser penalty shall be fully explained in the case file (e.g., 

achievement of an appropriate deterrent effect).

d. If a penalty in excess of the normal maximum amount of 30 times the amount of 

the daily proposed penalty is deemed necessary by the Area Director to deter 

continued non-abatement, the case shall be treated pursuant to the violation-by-
6-15

violation (egregious) penalty procedures established in CPL 02-00-080, Handling 

of Cases to be Proposed for Violation-By-Violation Penalties, dated October 21, 

1990.

C. Partial Abatement.

1. When a citation has been partially abated, the Area Director may authorize a 

reduction of 25 to 75 percent of the proposed penalty calculated as outlined above.

2. When a violation consists of a number of instances and the follow-up inspection 

reveals that only some instances of the violation have been corrected, the additional 

daily proposed penalty shall take into consideration the extent of the abatement 

efforts.

EXAMPLE 6-3: Where three out of five instances have been corrected, the daily 

proposed penalty (calculated as outlined above, without regard to any partial 

abatement) may be reduced by 60 percent.

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

A. Penalty Procedure.

Each instance of noncompliance shall be considered a separate violation with individual 

proposed penalties for each violation. This procedure is known as the egregious or 

violation-by-violation penalty procedure.

B. Case Handling.

Such cases shall be handled in accordance with CPL02-00-080, Handling of Cases to be 

Proposed for Violation-By-Violation Penalties, dated October 21, 1990.

C. Calculation of Penalties.

Penalties calculated using the violation-by-violation policy shall not be proposed without 

the concurrence of the Assistant Secretary.

IX. Significant Enforcement Actions.

A. Definition.

A significant enforcement action (a.k.a. significant case) is one that results from an 

investigation in which the total proposed penalty is greater than or equal to $100,000 or 

involves novel enforcement issues, including novel federal agency cases, regardless of 

penalty. (See Memorandum on Novel Cases: Cancellation of December 20, 2012 

Memorandum entitled “Clarification of September 27, 2012 Memo on Significant Case 

Procedures,” dated September 4, 2013.) (Also, see Memorandum on Revised 

Procedures for Significant and Novel Enforcement Cases, dated December 24, 2014.)

B. Multi-employer Worksites.

Several related inspections involving the same employer, or involving more than one 

employer in the same location (such as multi-employer worksites) and submitted 

together, may also be considered a significant enforcement action if the total aggregate 

penalty is $100,000 or more.

C. Federal Agency Significant Cases.

For Federal Agencies, the action is considered significant if penalties of $100,000 or 

more would have been applied if the agency were a private sector employer.

1. Significant Federal Agency cases shall be developed, documented, and reviewed with 

the same rigor required for private sector cases.
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2. In addition, Notices of Unsafe or Unhealthful Working Conditions in Federal Agency 

cases shall be issued no later than six months from the date of the opening 

conference, thereby, paralleling the six- month statutory limit in private sector cases 

set by the OSH Act.

D. Assistant Secretary Concurrence.

The Assistant Secretary’s concurrence is normally required prior to issuing citations 

related to significant enforcement cases resulting in penalties greater than $200,000 and 

novel cases, including novel federal agency cases, of any amount. (See Memorandum on 

Novel Cases: Cancellation of December 20, 2012 Memorandum entitled “Clarification 

of September 27, 2012 Memo on Significant Case Procedures,” dated September 4, 

2013.) (Also, see Memorandum on Revised Procedures for Significant and Novel 

Enforcement Cases, dated December 24, 2014.)

X. Penalty and Citation Policy for Parts 1903 and 1904 Regulatory Requirements.

Section 17(i) of the Act provides that any employer who violates any of the posting 

requirements shall be assessed a civil penalty of up to $7,000 for each violation (this includes 

recordkeeping violations). The following policy and procedure document must also be 

consulted for an in-depth review of these policies: CPL 02-00-111, Citation Policy for 

Paperwork and Written Program Requirement Violations, issued November 27, 1995. 

Gravity-Based Penalties (GBPs) for regulatory violations, including posting requirements, 

shall be reduced for size and history (excluding willful violations, see Chapter 4, Section V, 

Willful Violations).

A. Posting Requirements Under Part 1903.

Penalties for violation of posting requirements shall be proposed as follows:

1. Failure to Post the OSHA Notice (Poster) – §1903.2(a).

A citation for failure to post the OSHA Notice is warranted if:

a. The pattern of violative conditions for a particular establishment demonstrates a 

consistent disregard for the employer’s responsibilities under the Occupational 

Safety and Health Act of 1970 (OSH Act); AND

b. Interviews show that employees are unaware of their rights under the OSH Act; 

OR

c. The employer has been previously cited or advised by OSHA of the posting 

requirement.

If the criteria above are met and the employer has not displayed (posted) the notice 

furnished by OSHA as prescribed in §1903.2(a), an other-than-serious citation shall 

normally be issued. The GBP for this alleged violation shall be $1,000.

2. Failure to Post a Citation – §1903.16.

a. If an employer received a citation that was not posted as prescribed in §1903.16, 

an other-than-serious citation shall normally be issued. The GBP shall be $3,000.

b. For information regarding the OSHA-300A form, see CPL 02-00-135, 

Recordkeeping Policies and Procedures Manual, December 30, 2004.

B. Advance Notice of Inspection – §1903.6.

When an employer has received advance notice of an inspection and fails to notify the 

authorized employee representative as required by §1903.6, an other-than-serious citation 

shall be issued. The violation shall have a GBP of $2,000.
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C. Abatement Verification Regulation Violations – §1903.19.

1. General.

a. The penalty provisions of Section 9 and Section 17 of the OSH Act apply to all 

citations issued under this regulation.

b. No “Good Faith” or “History” reduction shall be given to employers when 

proposing penalties for any §1903.19 violations. Only the reduction factor for 

“Size” shall apply.

c. See Chapter 7, Post-Citation Inspection Procedures and Abatement Verification,

for detailed guidance.

2. Penalty for Failing to Certify Abatement.

a. A penalty for failing to submit abatement certification documents, 

§1903.19(c)(1), shall be $1,000, reduced only for size.

b. A penalty for failure to submit abatement verification documents will not exceed 

the penalty for the entire original citation.

3. Penalty for Failing to Notify and Tag.

Penalties for not notifying employees and not tagging movable equipment §1903.19

[paragraphs (g)(1), (g)(2), (g)(4), (i)(1), (i)(2), (i)(3), (i)(5) and (i)(6)] will follow the 

same penalty structure (GBP of $3,000) as for Failure to Post a Citation.

D. Injury and Illness Records and Reporting under Part 1904.

1. Part 1904 violations are always other-than-serious.

2. Repeated and Willful penalty policies in Sections V.D. and VI.C., respectively, of 

this Chapter, may be applied to recordkeeping violations.

3. OSHA’s egregious penalty policy may be applied to recordkeeping violations. See 

CPL 02-00-080, Handling of Cases to be Proposed for Violation-By-Violation 

Penalties, October 21, 1990.

4. See CPL 02-00-135, Recordkeeping Policies and Procedures Manual, dated 

December 30, 2004; specifically Chapter 2, Section II, Inspection and Citation 

Procedures.

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related fatalities, 

hospitalizations, amputations or losses of an eye. The new rule, which also updates the 

list of employers partially exempt from OSHA record-keeping requirements, went into 

effect on January 1, 2015, for workplaces under federal OSHA jurisdiction. (See 79 FR 

56129, Occupational Injury and Illness Recording and Reporting Requirements – NAICS 

Update and Reporting Revisions, September 18, 2014.)

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

A. Proposed Penalties.

If an employer is cited for failing to provide access to records as required under 

§1910.1020 for inspection and copying by any employee, former employee, or authorized 

representative of employees, a GBP of $1,000 shall normally be proposed for each record 

(i.e., either medical record or exposure record, on an individual employee basis). A 

maximum GBP of $7,000 may be proposed for such violations. See CPL 02-02-072, 

Rules of Agency Practice and Procedure Concerning OSHA Access to Employee Medical 

Records, dated August 22, 2007.
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EXAMPLE 6-4: If the evidence demonstrates that an authorized employee 

representative requests both exposure and medical records for three employees and the 

request was denied by the employer, a citation would be issued for six instances (i.e., one 

medical record and one exposure record (total two) for each of three employees) of a 

violation of §1910.1020, with a GBP of $6,000.

B. Use of Violation-by-Violation Penalties.

The above policy does not preclude the use of violation-by-violation or per employee 

penalties where higher penalties are appropriate. See CPL 02-00-080, Handling of Cases 

to be Proposed for Violation-By-Violation Penalties, October 21, 1990.

XII. Criminal Penalties.

A. OSH Act and U.S. Code.

The Act and the U.S. Code provide for criminal penalties in the following cases:

1. Willful violation of an OSHA standard, rule, or order causing the death of an 

employee; Section 17(e);

2. Giving unauthorized advance notice; Section 17(f);

3. Knowingly giving false information; Section 17(g); and

4. Killing of a CSHO while engaged in the performance of investigative, inspection or 

law enforcement functions; Section 17(h)(2).

B. Courts.

After trials, criminal penalties are imposed by the courts and not by OSHA or by the 

Occupational Safety and Health Review Commission.

XIII. Handling Monies Received from Employers.

A. Responsibility of the Area Director.

Pursuant to its statutory authority, it is OSHA policy to collect all penalties owed to the 

government. The Area Director is responsible for:

1. Informing employers of OSHA’s debt collection procedures;

2. Collecting assessed penalties from employers;

3. Reporting penalty amounts collected and those due;

4. Calculating interest and other charges on overdue penalty amounts;

5. Referring cases with uncollected penalties to the Office of Financial Management 

Debt Collection Accountability Team (DCAT);

6. Transferring selected cases to the RSOL for legal action and subsequently tracking 

such cases;

7. Mailing collected monies in accordance with the procedures set forth in this chapter 

and in other OSHA Instructions; and

8. Reviewing the DOL bankruptcy logs emailed by DCAT.

B. Receiving Payments.

The Area Director shall be guided by the following concerning penalty payments:

1. Methods of Payment.

Employers assessed penalties shall remit the total payment to the Area Office by 

certified check, personal check, company check, postal money order, bank draft or 

bank money order, payable to the DOL-OSHA. Payment in cash shall not be 
6-19

accepted. Upon request of the employer and for good cause, alternate methods of 

payment are permissible, such as payments in installments.

2. Identifying Payment.

The Reporting I.D. of the Area Office, along with the Inspection Number(s), MUST 

BE PLACED in the upper left or lower left hand corner of the face of the payment 

instrument. The date of receipt MUST BE STAMPED on the face of the check and 

in the upper right corner if possible.

3. Adjustment to Payments.

The following adjustments shall be made prior to transmitting the payment 

instrument to the Lockbox Depository. See Section XIII.B.6. of this chapter, 

Depositing Payments.

a. If the payment instrument is not dated, the date received shall be entered as the 

date of payment.

b. If the written amount is obviously incorrect or differs from the amount referenced 

in the accompanying correspondence, the payment instrument shall be returned to 

the employer with a request for a new check. Before returning the check, void 

the existing check, by crossing through it. If feasible, contact the employer by 

email or phone prior to sending.

c. If the payment instrument does not include the establishment name, the name 

shall be inserted on the face of the payment instrument.

d. If the payment instrument includes the notation, "Payment in Full," whether or 

not the notation is incorrect, the payment shall be deposited.

e. If the payment instrument is unsigned, the payment shall be deposited.

f. If an employer mistakenly makes the payment payable to an official of OSHA by 

name, it shall be endorsed as follows:

 Postal Money Orders – follow instruction on reverse of the money order.

 All others – enter on reverse:

Pay to the order of the U.S. Department of Labor – OSHA

 (Signature)

(Typewritten name of payee)

4. Incorrect, Unhonored, or Foreign Payments.

a. Incorrectly dated payments shall be handled as follows:

 If the payment instrument is dated 10 days or more after the date of receipt, it 

is to be returned to the employer.

 If the payment instrument is dated less than 10 but more than 3 days after the 

date of receipt, it is to be held for deposit on the day it is dated.

 Payment instruments dated 3 or fewer days after the date of receipt are to be 

mailed to the Lockbox.

 If the payment instrument is dated more than six months prior to the current 

date, it is to be returned to the employer via certified mail. 

b. Payment instruments which have been returned to the Office of Financial 

Management (OFM) without payment due to insufficient funds, shall be 

forwarded to the Area Office for return to the employer via certified mail.
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c. Payments drawn on non-U.S. banks MUST BE SENT directly to OFM (without 

using the "Lockbox" procedures described in Section XIII.B.6. of this chapter, 

Depositing Payments) at the following address:

Office of Financial Management

U.S. Department of Labor – OSHA

Post Office Box 2422

Washington, D.C. 20013

5. Endorsing Payments.

All payment instruments shall be endorsed as follows:

 16-01-2012

 Payment FRB or BR Credit

 Treasury U.S. Payment on an

 Obligation to U.S. and must be

 paid at Par DO NOT WIRE NON

 PAYMENT

 U.S. DEPT. OF LABOR

 Occupational Safety and Health Administration

 DOL OSHA Washington, DC

6. Depositing Payments.

All payments shall be kept in a safe place and, unless otherwise indicated, transmitted 

daily in accordance with current OIS procedures to the Lockbox Depository. For the 

current Lockbox address, please contact the Debt Collection Accountability Team 

(DCAT) in the National Office.

7. Records.

A copy of the penalty payment instrument shall be included in the case file. 

Additional accounting records shall also be included in the case file in accordance

with current procedures.

C. Refunds.

In cases of later penalty modifications by OSHA or by the Commission or a court, 

refunds to the employer shall be made by the Department of Labor through DCAT. The 

Area Director shall notify DCAT in accordance with current instructions.

XIV. Debt Collection Procedures.

A. Policy.

The Debt Collection Improvement Act of 1996 (DCIA) provides for the assessment of 

interest, administrative charges, and additional costs for nonpayment of debts arising 

under the OSHA program. Under the DCIA regulations implemented by the Department 

of Labor, penalties assessed by OSHA are considered debts. It is OSHA policy to 

exercise the authority provided under the DCIA to assess additional charges on 

delinquent debts. It is also OSHA policy to forbear collection of penalties until the 

employer has exhausted its right to challenge them administratively, as well as in all legal 

forums.
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B. Time Allowed for Payment of Penalties.

The date when penalties become due and payable, depends on whether or not the 

employer contests.

1. Uncontested Penalties.

When citations and/or proposed penalties are uncontested, the penalties are due and 

payable 15 working days following the employer’s receipt of the Citation and 

Notification of Penalty (OSHA-2) or, in the case of Informal Settlement Agreements, 

15 working days after the date of the last signature unless a later due date for payment 

of penalties is agreed upon in the settlement.

2. Contested Penalties.

When citations and/or proposed penalties are contested, the date that penalties are due 

and payable will depend upon whether the case is resolved by a settlement agreement, 

an administrative law judge decision, a Commission decision, or a court judgment. 

See Chapter 15, Section XIII, Citation Final Order Dates, for additional information.

NOTE: The Area Director shall forward the notice of contest and the case file to 

the RSOL with a transmittal letter informing the Solicitor that any resulting penalty 

must be directed to the Area Office for payment.

3. Partially Contested Penalties.

When only part of a citation and/or a proposed penalty is contested, the due date for 

payment as stated in Section XIV.B.1., Uncontested Penalties, shall be used for the 

uncontested items and the due date stated in Section XIV.B.2., Contested Penalties, 

for the contested items.

NOTE: This provision notwithstanding, formal debt collection procedures will not 

be initiated in partially contested cases until a final order for the outstanding citation 

item(s) has been issued.

C. Notification Procedures.

It is OSHA policy to notify employers (the "Notice") that debts are payable and due, and 

to inform them of OSHA’s debt collection procedures prior to assessing any applicable 

delinquent charges. A copy of the "Notice" stating OSHA’s debt collection policy,

including assessment of interest, additional charges for nonpayment and administrative 

costs, shall be included with each Citation and Notification of Penalty (OSHA-2) and sent 

to employers. Interest rates and administrative costs are published annually and may be 

revised quarterly by the Secretary of the Treasury. DCAT shall advise Area Directors of 

any changes in the interest rate as they occur. A copy of the notice shall be retained in 

the case file.

D. Notification of Overdue Debt.

The Area Director shall send a demand letter to the employer when the debt has become 

delinquent and shall retain a copy of the demand letter in the case file. A debt becomes 

delinquent 30 calendar days after the due date, which is the same as the final order 

date as stated in Chapter 15, Section XIII, Citation Final Order Dates.

1. Uncontested Case with Penalties.

If payment of any applicable penalty is not received within 30 calendar days after the 

date of the expiration of the 15-working-day contest period, or after the date of the 

last signature (unless a later due date for payment of penalties is agreed upon in the 

settlement) if an Informal Settlement Agreement has been signed, a demand letter 

shall be mailed.
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2. Contested Case with Penalties.

If payment of any applicable penalty is not received within 30 calendar days after the 

Review Commission’s Order approving a Formal Settlement Agreement, 60 

calendar days after the Notice of Docketing, 90 calendar days after the Notice of 

Commission Decision, or 120 calendar days after date of the judgment of a U.S. 

Court of Appeals, and no appeal of the case has been filed by either OSHA or the 

employer, the Area Director shall either send a demand letter or a letter notifying the 

employer that the OSHA fine is past due (without assessing late fees and updating the 

OIS as if a default letter had been sent).

3. Exceptions to Sending the Demand Letter.

The demand letter will not be sent in the following circumstances:

a. The employer is currently making payments under an approved installment plan 

or other satisfactory payment arrangement. Such plan or arrangement shall be set 

forth in writing and signed by the employer and the Area Director.

NOTE: If the employer enters into a written plan establishing a set payment 

schedule within one calendar month of the due date, but subsequently fails to 

make a payment within one calendar month of its scheduled due date, a payment 

default letter shall be sent to the employer. If the employer fails to respond 

satisfactorily to that letter within one month, the unpaid portion of the debt shall 

be handled in accordance with Section XIV.F., Assessment Procedures.

b. The employer has partially contested the case (even if the penalty has not been 

contested). In such circumstances a demand letter shall not be sent until a final 

order has been issued.

E. Assessment of Additional Charges.

Additional charges shall be assessed in accordance with the Debt Collection Improvement 

Act (31 USC 3717) and Department of Labor Regulations (29 CFR 20).

1. Interest.

Interest on the unpaid principal amount shall be assessed on a monthly basis at the 

current annual rate if the debt has not been paid within one calendar month of the date 

on which the debt (penalty) became due and payable (i.e., the date of the final order). 

Interest is not assessed if an acceptable repayment schedule has been established in a 

written plan by the due date.

NOTE: Interest and delinquent charges are not compounded; only the unpaid 

balance of the penalty amount is used to calculate these additional charges.

2. Delinquent Charges.

Delinquent charges shall be assessed on a monthly basis if the debt has not been paid 

within 3 calendar months of the delinquent date (which is one calendar month after 

the due date). Debts paid in full within 3 calendar months of the delinquent date shall 

not be assessed a delinquent charge. Delinquent charges accrue at the annual rate of 

6 percent (0.5 percent per month).

NOTE: Although the delinquent charge is not initially assessed until 3 calendar 

months after the debt became delinquent (4 calendar months after the due date), it is 

nevertheless calculated from the delinquent date. Thus, the first assessment of a

delinquent charge will amount to a 3-month charge or 1.5 percent of the outstanding 

principal amount. Each month after that, the additional delinquent charge will be 0.5 

percent of the unpaid principal.
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3. Administrative Costs.

Administrative costs shall be assessed for each demand letter sent in an attempt to 

collect the unpaid debt. Costs are not assessed for payment default letters.

F. Assessment Procedures.

If the penalty has not been paid by the delinquent date (i.e., within one calendar month of 

the due date), the Area Director shall implement the following procedures:

1. Interest shall be assessed at the current interest rate on the unpaid balance of the debt. 

The rate of interest shall remain fixed for the duration of the debt.

NOTE: Interest is to be calculated for one month and shall be assessed on the date 

on which such charges become payable. Any later additional charges will not be 

assessed until the first of the month following the date on which the charge becomes 

payable. For example, if interest becomes payable on the twentieth of the month and 

the second demand letter is not sent out until the eighth of the following month, only 

one month’s interest is assessed.

2. The demand letter shall be sent to the employer requesting immediate payment of the 

debt. The demand letter shall show the total amount of the debt, including the unpaid 

penalty amount, interest and administrative costs.

3. Employers may respond to the demand letter in several ways:

a. The entire debt may be paid. In such cases no further collection action is 

necessary.

b. A repayment plan may be submitted or offered; after a set payment schedule has 

been approved by the Area Director, no additional charges shall be levied against 

the debt as long as payments are timely made in accordance with the approved 

schedule. See note under Section XIV.D.3., of this chapter, Exceptions to 

Sending Demand Letter. If payments are not made on schedule, the unpaid 

portion of the debt shall be treated in accordance with Section XIV.F.

c. A partial payment may be made; the unpaid portion of the debt shall be treated in 

accordance with Section XIV.F., of this chapter.

4. If any portion of the debt remains unpaid after one calendar month from the time the 

demand letter was sent to the employer, the Area Director shall institute one of the 

following:

a. Outstanding debts less than $100 may be written off.

b. If the employer made a payment after receiving the demand letter, the area office 

may:

 Send a receipt letter or contact the employer to request the balance due on 

the debt.

 Refer the case to DCAT.

c. Outstanding debts with a current debt of $100 or more shall be referred to DCAT.

5. After a case has been referred to DCAT for collection, the Area Director has no 

further responsibilities for penalty collection related to that case.

6. If, after a case has been referred to DCAT, the employer mistakenly sends a payment 

to the Area Office, the case is subsequently contested or new information regarding 

the debt or employer is obtained, the Area Director shall contact DCAT immediately.
6-24

7. DCAT shall update the host database to reflect all penalty collection actions taken by 

the National Office. Detailed information on subsequent debt collection activity on 

each case is available on the OSHA Intranet website. A written communication 

outlining collection actions taken for each case referred to DCAT shall be sent to the 

Area Office upon completion of National Office and Treasury debt collection 

procedures for that case.

8. The responsibility for closing the case remains with the Area Director. Once final 

collection action has been completed, the case may be closed whenever appropriate.

G. Application of Payments.

Payments that are for less than the full amount of the debt shall be applied to satisfy the 

following categories in order of priority:

1. Administrative charges;

2. Delinquent charges;

3. Interest;

4. Outstanding principal.

H. Uncollectible Penalties.

There may be cases where a penalty cannot be collected, regardless of any action that has 

been or may be undertaken. Examples might be when a demand letter is not deliverable, 

a company is no longer in business and has no successor, or the employer is bankrupt. In 

such cases, the Area Director shall notify DCAT by phone or email prior to referring the 

case to the National Office. DCAT will then advise what further collection action is 

appropriate. The database shall be updated following current OIS procedures to reflect 

the most recent action. In bankruptcy cases, the Area Director may also seek the advice 

of the RSOL to determine whether to file as a creditor under the Bankruptcy Act.

I. National Office Debt Collection Procedures.

Upon receipt of a case from an Area Director, DCAT shall verify the amount of the 

outstanding debt and proceed to implement National Office debt collection procedures.

1. Demand Letter.

In accordance with the Debt Collection Improvement Act of 1996 (DCIA), unless a 

debt meets certain exemption criteria, it must be referred to the Department of 

Treasury within 120 days after the debt becomes delinquent. The DCIA also requires 

that the debtor be notified that the debt may be referred to Treasury and what debt 

collection actions Treasury may take regarding the debt. This information is included 

in the demand letter DCAT sends to the employer, notifying him/her of the overdue 

debt and requesting immediate payment to DCAT.

2. Exemption Criteria for Referral to Treasury.

Debts may be exempt from the DCIA requirement if the case is in litigation by the 

Solicitor, in bankruptcy, in contest or on appeal.

3. Referral to the Department of Treasury.

In accordance with the DCIA, if the debt remains uncollected sixty days from the 

date the DCAT demand letter was sent, the case may be referred to the Department of 

Treasury. Treasury actions include: referral to private debt collection firms; 

reporting to commercial credit reporting agencies; referral to the Internal Revenue 

Service for collection by offset; referral to the Department of Treasury Offset 

Program where collection is done by offset from payments due the debtor by any 
6-25

federal agency; and/or litigation. In addition, Treasury will add its collection fees to 

the debt.

a. Any penalty settlement offer received by Treasury shall be referred to the Area 

Director for approval.

b. All penalty amounts collected by Treasury beyond their collection fees will be 

applied to the employer’s penalty account.

c. Any disputes received by Treasury will be forwarded to DCAT and may be sent 

to the Area Director for response.

4. Updating the Database.

DCAT shall update the database to reflect all specific debt collection actions taken 

since referral to the National Office and indicate if the case has been returned to the 

Area Office.

5. Compromise of Debts over $100,000.

Debts of $100,000 or more, exclusive of interest, delinquent charges, and 

administrative costs, cannot be waived by OSHA without Justice or Treasury 

approval. DCAT will obtain this approval before returning the debt to the Area 

Office.

6. Return to the Area Office.

Once it has been decided to return the collection action, DCAT shall return the case 

to the Area Office using one of the following:

a. Penalties paid in full: If an OSHA penalty is paid in full, DCAT will notify the 

Area Director by email or by other electronic means with instructions on how 

OIS is to be updated. Copies of paid checks are maintained on the U.S. Treasury 

Electronic Check Processing System and will not be returned. The copies can be 

referenced for a period established by Federal Guidelines. Data related to 

employer payments made through the Treasury Debt Management Service are 

available on its internal web site for a period established by Federal Guidelines.

b. Penalties Remaining Unpaid or only Partially Paid after Treasury Collection 

Process: Once it has been decided to return an unpaid or partially paid collection 

action to the Area Office, DCAT shall prepare a written transmittal memorandum 

to the Area Director stating the final status of the debt and what actions should be 

taken. Included with the memo will be copies of the DCAT case documents other 

than the National Office Letter and any DCAT correspondence with the 

Employer. Copies of employer checks will not be returned but remain available 

on the Treasury website.

c. Uncollectible Penalties Returned from the Treasury without any National Office 

Contact: If an OSHA collection action is returned as uncollectible from the 

Treasury Financial Management Service without any DCAT activity, DCAT will 

notify the Area Director by email or other electronic means with instructions on 

how OIS should be updated. Electronic files related to Treasury collection 

activity remain available on the Financial Management Service website, which 

can be accessed from DCAT.

d. Maintenance of Electronic Copies of Debt Collection Documents: Electronic 

copies of each National Office letter are maintained by DCAT for eight years. 

Overall information on each closed case is available on the OSHA Intranet 

website. Information about Treasury Debt Management Service activity on 
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closed cases returned from the Treasury is also available electronically from the 

Treasury Debt Management Service through DCAT.
6-27
7-1

Chapter 7

POST-CITATION PROCEDURES AND 

ABATEMENT VERIFICATION

I. Contesting Citations, Notifications of Penalty and Abatement Dates.

CSHOs shall advise the employer that the citation, the penalty and/or the abatement date may 

be contested in cases where the employer does not agree to the citation, penalty or abatement 

date or any combination of these.

A. Notice of Contest.

CSHOs shall inform employers that if they intend to contest, the Area Director must be 

notified in writing and such notification must be postmarked no later than the 15th 

working day after receipt of the Citation and Notification of Penalty (OSHA-2), (working 

days are Monday through Friday, excluding Federal holidays), otherwise the citation 

becomes a final order of the Commission. See §1903.17. The agency has no authority to 

modify the contest period. Employers may also be apprised that their notice of contest 

can be sent electronically via email to the Area Director within the 15 working day period 

and provide employers the email address(es). It shall be emphasized that oral notices of 

contest do not satisfy the requirement to give written notification.

NOTE: Upon receipt of all electronic notices of contest, the Assistant Area Director or 

Area Director shall print copies of the email notice and include it in the documents 

and files to be transmitted to the Review Commission and the RSOL’s office. 

Contest emails are not to be electronically forwarded to the Commission or RSOL.

Area Offices are encouraged to establish procedures to ensure ready access to email 

accounts designated to receive notices of contest to ensure the timely transmission of 

copies to the Commission and RSOL. OSHA’s acceptance of notices of contest via email 

shall not be interpreted to mean that the agency has consented to, or accepted, the 

electronic service of documents in litigation pursuant to Commission Rule §2200.7.

1. An employer’s Notice of Intent to Contest must clearly state what is 

specifically being contested. It must identify which item(s) of the citation, 

penalty, the abatement date, or any combination of these is being objected to. 

CSHOs shall ask the employer to read the OSHA-3000 pamphlet (Employer 

Rights and Responsibilities Following a Federal OSHA Inspection)

accompanying the citation for additional details.

a. If the employer only requests a later abatement date and there are valid grounds 

to consider the request, the Area Director should be contacted. The Area Director 

may issue an amended citation changing an abatement date prior to the expiration 

of the 15 working day period.

b. If the employer contests only the penalty or some of the citation items, all 

uncontested items must still be abated by the dates indicated on the citation and 

the corresponding penalties paid within 15 days of notification.

2. CSHOs shall inform the employer that the Act provides that employees or their 

authorized representative(s) have the right to contest in writing any or all of the 

abatement dates set for a violation if they believe the date(s) to be unreasonable.

B. Contest Process.
7-2

The CSHO shall explain that when a Notice of Intent to Contest is properly filed (i.e., 

received in the Area Office and postmarked as described in the note to A.1. of this 

chapter), the Area Director is required to forward the case to an independent adjudicatory 

agency, (OSHA Review Commission) at which time the case is considered to be in 

litigation.

1. OSHA will normally cease all investigatory activities once an employer has filed a 

notice of contest. Any action relating to a contested case must first have the 

concurrence of the RSOL.

2. Upon receipt of the Notice of Intent to Contest, the Review Commission assigns the 

case to an administrative law judge, who will schedule a public hearing in close 

proximity to the workplace.

II. Informal Conferences.

A. General.

1. Pursuant to §1903.20, the employer, any affected employee, or the employee 

representative may request an informal conference for the purpose of discussing any 

issues raised by an inspection, citation, notice of proposed penalty, or notice of 

intention to contest.

2. The informal conference will be conducted within the 15 working day contest period. 

The conference or any request for such a conference shall not operate as a stay of the 

15 working day contest period.

3. If the employer’s intent to contest is not clear, the Area Director or designated 

representative will make an effort to contact the employer for clarification.

4. Informal conferences may be held by any means practical, but meeting in person is 

preferred.

B. Assistance of Counsel.

In the event that an employer is bringing its attorney to an informal conference, the Area 

Director or his or her designee may contact the RSOL’s Office and ask for the assistance 

of counsel.

C. Opportunity to Participate.

1. If an informal conference is requested by the employer, an affected employee or his 

representative shall be afforded the opportunity to participate. If the conference is 

requested by an employee or an employee representative, the employer shall be 

afforded an opportunity to participate.

2. If the affected employee or employee representative chooses not to participate in the 

informal conference, an attempt will be made to contact that party and to solicit their 

input prior to the informal conference. Attempts to contact the party should be noted 

in the case file.

NOTE: In the event of a settlement, it is not necessary to have the employee 

representative sign the informal settlement agreement.

3. If any party objects to the attendance of another party or the Area Director believes 

that a joint informal conference would not be productive, separate informal 

conferences may be held.

4. During the conduct of a joint informal conference, separate or private discussions will 

be permitted if either party so requests.

D. Notice of Informal Conferences.
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The Area Director shall document in the case file, notification to the parties of the date, 

time and location of the informal conference. In addition, the Case File Diary Sheet shall 

indicate the date of the informal conference.

E. Posting Requirement.

1. The Area Director will ask the employer at the beginning of the informal conference 

whether the form in the citation package indicating the date, time, and location of the 

conference has been posted as required.

2. If the employer has not posted the form, the Area Director may postpone the informal 

conference until such action is taken.

F. Conduct of the Informal Conference.

The informal conference will be conducted in accordance with the following guidelines:

1. Conference Subjects.

a. Purpose of the informal conference;

b. Rights of participants;

c. Contest rights and time constraints;

d. Limitations, if any;

e. Potential for settlement of citation(s); and

f. Other relevant information (e.g., if no employee or employee representative has 

responded, whether the employer has posted the notification form regarding the 

informal conference, etc.).

2. Subjects Not to be Addressed.

a. No opinions regarding the legal merits of an employer’s case shall be expressed 

during the informal conference.

b. There should be no discussion with employers or employee representatives 

concerning the potential for referral of fatality inspections to the Department of 

Justice for criminal prosecution under the Act.

3. Closing Remarks.

a. At the conclusion of the conference, all main issues and potential courses of 

action will be summarized and documented.

b. A copy of the summary, together with any other relevant notes of the discussion 

made by the Area Director, will be placed in the case file.

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

An employer may file a petition for modification of abatement date when it has made a good 

faith effort to comply with abatement requirements, but such abatement has not been 

completed due to circumstances beyond its control. See §1903.14a. If the employer requests 

additional abatement time after the 15 working day contest period has passed, the following 

procedures for PMAs are to be observed:

A. Filing.

A PMA must be filed in writing with the Area Director who issued the citation no later 

than the close of the next working day following the date on which abatement was 

originally required.

1. If a PMA is submitted orally, the employer shall be informed that OSHA cannot 

accept an oral PMA and that a written petition must be mailed by the end of the next 

working day after the abatement date. If there is not sufficient time to file a written 

petition, the employer shall be informed of the requirements below for late filing of 

the petition.
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2. A late petition may be accepted only if accompanied by the employer’s statement of 

exceptional circumstances explaining the delay.

B. Where Filing Requirements Are Not Met.

If the employer’s written PMA does not meet all the requirements of §1903.14a(b)(1)-(5), 

the employer shall be contacted within 10 working days and notified of the missing 

elements. A reasonable amount of time for the employer to respond shall be specified 

during this contact.

1. If no response is received or if the information returned is still insufficient, a second 

attempt (by telephone or in writing) shall be made. The employer shall be informed 

that if it fails to respond in a timely or adequate manner, the PMA will not be granted 

and the employer may be found to not have abated.

2. If the employer responds satisfactorily by telephone and the Area Director determines 

that the requirements for a PMA have been met, that finding shall be documented in 

the case file.

3. Although OSHA policy is to handle PMAs as expeditiously as possible, there may be 

cases where the Area Director’s decision may be delayed because of deficiencies in 

the PMA, the need to conduct a monitoring inspection and/or a request for Regional 

Office or National Office involvement. Requests for additional time (e.g., 45 days) 

for the Area Director to reach a decision shall be sent to the Review Commission 

through the RSOL. A letter conveying this request shall be simultaneously sent to the 

employer and the employee representatives.

C. Approval of PMA.

After the expiration of 15 working days following the posting of a PMA, the Area 

Director shall agree with or object to the request within 10 working days, if additional 

time has not been requested from the Review Commission. In the absence of a timely 

objection, the PMA shall be deemed granted even if not explicitly approved. The 

following action shall be taken:

1. If the PMA requests an abatement date that is two years or less from the issuance date 

of the citation, the Area Director has the authority to approve or object to the petition.

2. Any PMA requesting an abatement date that is more than two years from the issuance 

date of the citation requires the approval of the Regional Administrator as well as the 

Area Director.

3. If the PMA is approved, the Area Director shall notify the employer and the 

employee representatives by letter.

4. The Area Director or Regional Administrator (as appropriate) after consultation with 

the RSOL, shall object to a PMA where the evidence supports non-approval (e.g., 

employer has taken no meaningful abatement action at all or has otherwise exhibited 

bad faith). In such cases, all relevant documentation shall be sent to the Review 

Commission in accordance with §1903.14a(d). Both the employer and the employee 

representatives shall be notified of this action by letter, with return receipt requested.

a. Letters notifying the employer or employee representative of the objection shall 

be mailed on the same date that the agency objection to the PMA is sent to the 

Review Commission.

b. When appropriate, after consultation with the RSOL, a failure to abate 

notification may be issued in conjunction with the objection to the PMA.

D. Objection to PMA.

Affected employees or their representatives may file a written objection to an employer’s 

PMA with the Area Director within 10 working days of the date of posting of the PMA 

by the employer or its service upon an authorized employee representative.
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1. Failure to file such a written objection with the 10 working day period constitutes a 

waiver of any further right to object to the PMA.

2. If an employee or employee representative objects to the extension of the abatement 

date, all relevant documentation shall be sent to the Review Commission.

a. Confirmation of this action shall be mailed (return receipt requested) to the 

objecting party as soon as it is accomplished.

b. Notification of the employee objection shall be mailed (return receipt requested) 

to the employer on the same day that the case file is forwarded to the 

Commission.

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

A. Important Terms and Concepts.

1. Abatement.

a. Abatement means action by an employer to comply with a cited standard or 

regulation or to eliminate a recognized hazard identified by OSHA during an 

inspection.

b. For each inspection, except follow-up inspections, OSHA shall open an 

employer-specific case file. The case file remains open throughout the inspection 

process and is not closed until the Agency is satisfied that abatement has 

occurred. If abatement was not completed, annotate the circumstances or reasons 

in the case file and enter the proper code in the OIS.

c. Employers are required to verify in writing that they have abated cited conditions, 

in accordance with §1903.19.

2. Abatement Verification.

Abatement verification includes abatement certification, documents, plans, and 

progress reports.

3. Abatement Certification.

Employers must certify that abatement is complete for each cited violation. The 

written certification must include: the employer’s name and address; the inspection 

number; the citation and item numbers; a statement that the information submitted is 

accurate; signature of the employer or employer’s authorized representative; the date 

and method of abatement for each cited violation; and a statement that affected 

employees and their representatives have been informed of the abatement.

4. Abatement Documents.

Documentation submitted must establish that abatement has been completed, and 

include evidence such as the purchase or repair of equipment, photographic or video 

evidence of abatement or other written records verifying correction of the violative 

condition.

5. Affected Employee.

Affected employee means those employees who are exposed to the hazards(s) 

identified as violations(s) in a citation.

6. Final Order Dates.

a. Uncontested Citation Item.

For an uncontested citation item, the final order date is the day following the 

fifteenth working day after the employer’s receipt of the citation. 

b. Contested Citation Item.

For a contested citation item, the final order date is as follows:
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 The thirtieth day after the date on which a decision or order of a Review 

Commission administrative law judge has been docketed with the 

Commission, unless a member of the Commission has directed review; or

 Where review has been directed, the thirtieth day after the date on which 

the Commission issues its decision or order disposing of all or the 

pertinent part of a case; or

 The date on which a federal appeals court issues a decision affirming the 

violation in a case in which a final order of Review Commission has been 

stayed.

c. Informal Settlement Dates.

The final order date is when, within the 15 working days to contest a citation, the 

ISA is signed by both parties. See also Chapter 15, Section XIII, Citation Final 

Order Dates.

7. Abatement Dates.

a. Uncontested Citations.

For uncontested citations, the abatement date is the later of the following dates:

 The abatement date identified in the citation;

 The extended date established as a result of an employer’s filing for a 

Petition for Modification of Abatement (PMA) (see Review Commission 

Rule 37, §2200.37);

 The abatement date has been extended due to an amended citation; or

 The date established by an informal settlement agreement.

b. Contested Citations.

For contested citations for which the Review Commission has issued a final 

order, the abatement date is the later of the following dates:

 The date identified in the final order for abatement;

 Where there has been a contest of a violation or abatement date (not 

penalty), the date computed by adding the period allowed in the citation 

for abatement to the final order date; or

 The date established by a formal settlement agreement.

c. Contested Penalty Only.

Where an employer has contested only the proposed penalty, the abatement 

period continues to run unaffected by the contest. The abatement period is 

subject to the time periods set forth above.

8. Movable Equipment.

a. Movable equipment means a hand-held or non-hand-held machine or device, 

powered or non-powered, that is used to do work and is moved within or between 

worksites.

b. Hand-held equipment is equipment that is hand-held when operated and can 

generally be picked up and operated with one or two hands, such as a hand 

grinder, skill saw, portable electric drill, nail gun, etc.

9. Worksite.

a. For the purpose of enforcing the Abatement Verification regulation, the worksite 

is the physical location specified within the “Alleged Violation Description” of 

the citation.

b. If no location is specified, the worksite shall be the inspection site where the cited 

violation occurred.

B. Written Certification.
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The Abatement Verification Regulation, §1903.19, requires those employers who have 

received a citation(s) for violation(s) of the Act to certify in writing that they have abated 

the hazardous condition for which they were cited and to inform affected employees of 

their abatement actions.

C. Verification Procedures.

The verification procedures to be followed by an employer depend on the nature of the 

violation(s) identified and the employer’s abatement actions. The abatement verification 

regulation establishes requirements for the following:

1. Abatement Certification

2. Abatement Documentation

3. Abatement Plans

4. Progress Reports

5. Tagging for Movable Equipment

D. Supplemental Procedures.

Where necessary, OSHA supplements these procedures with follow-up inspections and 

onsite monitoring inspections. For additional information see Section XII, of this 

chapter, OnSite Visits: Procedures for Abatement Verification and Monitoring.

E. Requirements.

Except for the application of warning tags or citations on movable equipment 

(§1903.19(i)), the abatement verification regulation does not impose any requirements on 

the employer until a citation item has become a final order of the Review Commission. 

For moveable hand-held equipment, the warning tag or citation must be attached 

immediately after the employer receives the citation. For other moveable equipment, the 

warning tag or citation must be attached prior to moving the equipment within or between 

worksites.

V. Abatement Certification.

A. Minimum Level.

Abatement certification is the minimum level of abatement verification and is required 

for all violations once they become Review Commission final orders. An exception 

exists where the CSHO observed abatement during the onsite portion of the inspection 

and the violation is listed on the citation as “Corrected During Inspection (CDI)” or 

“Quick-Fix.” See Section VI.D., of this chapter, CSHO Observed Abatement.

B. Certification Requirements.

The employer’s written certification that abatement is complete must include the 

following information for each cited violation:

1. The date and method of abatement and a statement that affected employees and their 

representatives have been informed of the abatement;

2. The employer’s name and address;

3. The inspection number to which the submission relates;

4. The citation and item numbers to which the submission relates;

5. A statement that the information submitted is accurate; and

6. The signature of the employer or the employer’s authorized representative.

A non-mandatory example of an abatement certification letter is available in Appendix 

A of the Abatement Verification Regulation (§1903.19).

C. Certification Timeframe.
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1. All citation items which have become final orders, regardless of their 

characterizations, require written abatement certification within 10 calendar days of 

the abatement date.

2. A PMA received and processed in accordance with the guidance of the FOM will 

suspend the 10-day time period for receipt of the abatement certification for the item 

for which the PMA is requested.

a. Thus, no citation will be issued for failure to submit the certification within 10 

days of the abatement date.

b. If the PMA is denied, the 10-day time period for submission to OSHA begins on 

the day the employer receives notice of the denial.

VI. Abatement Documentation.

More extensive documentation of abatement is required for the most serious violations. 

When a violation requires abatement documentation, in addition to certifying abatement, the 

employer must submit documents demonstrating that abatement is complete.

A. Required Abatement Documentation.

Pursuant to §1903.19, documentation of abatement is required for the following:

1. Willful violations;

2. Repeat violations; and

3. Serious violations where OSHA determines that such documentation is necessary as 

indicated on the citation. For further information see Section VI.C., of this chapter, 

Abatement Documentation for Serious Violations.

B. Adequacy of Abatement Documentation.

1. Abatement documentation must be accurate and describe or portray the abated 

condition adequately. It may be submitted in electronic form, if approved by the 

Area Director.

2. The abatement regulation does not mandate a particular type of documentary 

evidence for any specific cited conditions.

3. The adequacy of the abatement documentation submitted by the employer will be 

assessed by OSHA using the information available in the citation and the Agency’s 

knowledge of the employer’s workplace and history.

4. Examples of documents that demonstrate that abatement is complete include, but are 

not limited to:

a. Photographic or video evidence of abatement;

b. Evidence of the purchase or repair of equipment;

c. Evidence of actions taken to abate;

d. Bills from repair services;

e. Reports or evaluations by safety and health professionals describing the 

abatement of the hazard or a report of analytical testing;

f. Documentation from the manufacturer that the article repaired is within the 

manufacturer’s specifications;

g. Records of training completed by employees, if the citation is related to 

inadequate employee training; and

h. A copy of program documents, if the citation was related to a missing or 

inadequate program, such as a deficiency in the employer’s respirator or hazard 

communication program.
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5. Abatement documentation (photos, employer programs, etc.) shall be retained in 

accordance with ADM 03-01-005, OSHA Compliance Records, dated August 3, 

1998.

C. Abatement Documentation for Serious Violations.

1. High Gravity Serious Violations.

a. OSHA policy is generally that all high gravity serious violations will require 

abatement documentation.

b. Where, in the opinion of the Area Director, abatement documentation is not 

required for a high gravity serious violation, the reasons for this must be set forth 

in the case file.

2. Moderate or Low Gravity Serious Violations.

Moderate or low gravity serious violations should not normally require abatement 

documentation, except that the Area Director will require evidence of abatement for 

moderate and low gravity serious violations under the following circumstances:

a. If the establishment has been issued a citation for a willful violation or a failureto-abate notice for any standard which has become final order in the previous 

three years; or

b. If the employer has any history of a violation that resulted in a fatality or an 

OSHA-300 Log entry indicating serious physical harm to an employee in the past 

three years. The standard being cited must be similar to the standard cited in 

connection with the fatality or serious injury or illness.

D. CSHO Observed Abatement.

1. Employers are not required to certify abatement for violations which they promptly 

abate during the onsite portion of the inspection and observed by the CSHO.

a. Area Directors may use their discretion in extending the “24 hour” time limit to 

document abated conditions during the inspection.

b. Observed abatement will be documented on the Violation (OSHA-1B and/or 

OSHA-1B(IH)), for each violation and must include the date and method of 

abatement.

2. If the observed abatement is for a violation that would normally require abatement 

documentation by the employer, the documentation in the case file must also indicate 

that abatement is complete. Where suitable, the CSHO may use photographs or video 

evidence. For additional information regarding adequacy of abatement 

documentation, see Section VI.B., of this chapter, Adequacy of Abatement 

Documentation.

3. When the abatement has been witnessed and documented by the CSHO, a notation 

reading “Corrected During Inspection” shall be made on the citation. Immediate 

abatement of some violations may qualify for penalty reductions under OSHA’s 

“Quick-Fix” incentive program. These incentives are discussed with the employer 

during the opening conference. See Chapter 6, Section IV.A., Quick-Fix Penalty 

Adjustment.

4. Notations stating “Corrected during inspection” or “Employer has abated all hazards”

shall not be made on the citation in cases where there is evidence of a continuing 

violative practice by an employer that may be subject to a summary enforcement 

order under Section 11(b) of the Act (i.e., failure to provide fall protection is a 

recurring condition based on citation history or other indications suggesting 

widespread violations of the same or similar standards at other establishments or 

construction worksites).
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VII. Monitoring Information for Abatement Periods Greater than 90 Days.

A. Abatement Periods Greater than 90 Days.

For abatement periods greater than 90 calendar days, the regulation allows the Area 

Director flexibility in either requiring or not requiring monitoring information.

1. The requirement for abatement plans and progress reports must be specifically 

associated to the citation item to which they relate.

2. Progress reports may not be required unless abatement plans are specifically required.

3. Note that Paragraphs (e) and (f) of §1903.19 have limits: the Area Director is not 

allowed to require an abatement plan for abatement periods less than 91 days or for 

citations classified as other-than-serious.

4. The regulation places an obligation on employers, where necessary, to identify how 

employees are to be protected from exposure to the violative condition during the 

abatement period. One way of ensuring that interim protection is included in the 

abatement plan is to note this requirement on the citation. See §1903.19, NonMandatory Appendix B, for a sample of an Abatement Plan and Progress Report.

B. Abatement Plans.

1. The Area Director may require an employer to submit an abatement plan for each 

qualifying cited violation.

a. The requirement for an abatement plan must be indicated in the citation.

b. The citation may also call for the abatement plan to include interim measures.

2. Within 25 calendar days from the final order date, the employer must submit an 

abatement plan for each violation that identifies the violation and the steps to be taken 

to achieve abatement. The abatement plan must include a schedule for completing 

the abatement and, where necessary, the methods for protecting employees from 

exposure to the hazardous conditions in the interim until the abatement is complete 

(§1903.19(e)(2)).

3. In cases where the employer cannot prepare an abatement plan within the allotted 

time, a PMA must be submitted by the employer to amend the abatement date.

C. Progress Reports.

1. An employer that is required to submit an abatement plan may also be required to 

submit periodic progress reports for each cited violation. In such cases, the citation 

must indicate:

a. That periodic progress reports are required and the citation items for which they 

are required;

b. The date on which an initial progress report must be submitted, which may be no 

sooner than 30 calendar days after the due date of an abatement plan;

c. Whether additional progress reports are required; and

d. The date(s) on which additional progress reports must be submitted.

2. For each violation the progress report must identify, in a single sentence if possible, 

the action taken to achieve abatement and the date the action was taken. There is 

nothing in this policy or the regulation prohibiting progress reports as a result of 

settlement agreements.

D. Special Requirements for Long-Term Abatement.

1. Long-term abatement is abatement which will be completed more than one year from 

the citation issuance date.

2. The Area Director must require the employer to submit an abatement plan for every 

violation with an abatement date in excess of one year.
7-11

3. Progress reports are mandatory and must be required at a minimum every six months. 

More frequent reporting may be required at the discretion of the area director.

VIII. Employer Failure to Submit Required Abatement Certification.

A. Actions Preceding Citation for Failure to Certify Abatement.

1. If abatement certification, or any required documentation, is not received within 13 

calendar days after the abatement date (the regulation requires filing within 10 

calendar days after the abatement date; and another 3 calendar days is added for 

mailing), the following procedures should be followed:

a. Remind the employer by telephone of the requirement to submit the material and 

tell the employer that a citation will be issued if the required documents are not 

received within 7 calendar days after the telephone call.

b. During the conversation with the employer, determine why the employer has not 

complied and document all communication efforts in the case file. Discuss 

OSHA’s PMA policy and explain that a late petition to modify the abatement date 

can be accepted only if accompanied by the employer’s statement of exceptional 

circumstances explaining the delay.

c. Issue a follow-up letter to the employer the same day as the telephone call.

d. The employer may be allowed to respond via fax or email where appropriate.

2. If the certification and/or documentation are not received within the next 7 calendar 

days, a single other-than-serious citation will be issued.

3. Normally citations for failure to submit abatement certification for violations of 

§1903.19(c) shall not be issued until the above procedures have been followed and 

the employer has been provided additional opportunity to comply. These pre-citation 

procedures also apply when abatement plans or progress reports are not received 

within 13 days of the due date.

B. Citation for Failure to Certify.

1. Citations for failure to submit abatement verification (certification, documentation, 

abatement plans or progress reports) can be issued without formal follow-up activities 

by following the procedures identified below.

2. A single other-than-serious citation will be issued combining all the individual 

instances where the employer has not submitted abatement certification and/or 

abatement documentation.

a. This “other” citation will be issued under the same inspection number which 

contained the original violations cited.

b. The abatement date for this citation shall be set 30 days from the date of issuance.

NOTE: Each violation of §1903.19(c), (d), (e), or (f) with respect to each original 

citation item is a separate item.

3. For those situations where the abatement date falls within the 15 day informal 

conference time period, and an informal conference request is likely, enforcement 

activities should be delayed for these citations until it is known if the citation’s 

classification or abatement period is to be modified.

4. For those rare instances where the reminder letter is returned to the Area Office by 

the Post Office as undeliverable and telephone contact efforts fail, the Area Director 

has the discretion to stop further efforts to locate the employer and document in the 

case file the reason for no abatement certification.

C. Certification Omissions.
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1. An initial minor or non-substantive omission in an abatement certification (e.g., lack 

of a definitive statement that the information being submitted is accurate) should be 

considered a de minimis condition of the regulation.

2. If there are minor deficiencies, such as omitting the inspection number, signature or 

date, the employer should be contacted by telephone to verify that the documents 

received were the ones they intended to submit. If so, the date stamp of the Area 

Office can serve as the date on the document.

3. A certification with an omitted signature should be returned to the employer to be 

signed. 

D. Penalty Assessment for Failure to Certify.

The penalty provisions of Sections 9 and 17 of the OSH Act apply to all citations issued 

under this regulation. See Chapter 6, Penalties and Debt Collection, for additional 

information.

IX. Tagging for Movable Equipment.

A. Tag-Related Citations.

Tag-related citations must be observed by CSHOs prior to the issuance of a citation for 

failure to initially tag cited movable equipment.

1. See §1903.19, Non-mandatory Appendix C, for a sample warning tag. OSHA must 

be able to prove the employer’s initial failure to act (tag the movable equipment upon 

receipt of the citation).

2. Where there is insufficient evidence to support a violation of the employer’s initial 

failure to tag or post the citation on the cited movable equipment, a citation may be 

issued for failure to maintain the tag or copy of the citation using §1903.19(i)(6).

B. Equipment Which is Moved.

Tags are intended to provide an interim form of protection to employees through 

notification for those who may not know of the citation or the hazardous condition.

1. For non-hand-held equipment, CSHOs should make every effort to be as detailed as 

possible when documenting the initial location where the violation occurred. This 

documentation is critical to the enforcement of the tagging requirement (§1903.19(i)) 

because the tagging provision is triggered upon movement of the equipment.

2. For hand-held equipment, employers must attach a warning tag or copy of the citation 

immediately after the employer’s receipt of the citation. The attachment of the tag is 

not dependent on any subsequent movement of the equipment.

X. Failure to Notify Employees by Posting.

A. Evidence.

Like tag-related citations, CSHOs shall investigate an employer’s failure to notify 

employees by posting.

B. Location of Posting.

Where an employer claims that posting at the location where the violation occurred 

would ineffectively inform employees (§1903.19(g)(2)) the employer may post the 

document or a summary of the document in a location where it will be readily observable 

by affected employees and their representatives. Employers may also communicate by 

other means with affected employees and their representatives regarding abatement 

activities.

C. Other Communication.
7-13

The CSHO must determine not only whether the documents or summaries were 

appropriately posted, but also whether, as an alternative, other communication methods, 

such as meetings or employee publications, were used.

XI. Abatement Verification for Special Enforcement Situations.

A. Construction Activity Considerations.

1. Construction activities pose situations requiring special consideration.

a. Construction site closure or hazard removal due to completing of the structure or 

project will only be accepted as abatement without certification where the area 

office CSHO verifies the site closure/completion and where closure/completion 

effectively abates the condition cited.

b. In all other circumstances, the employer must certify to OSHA that the hazards 

have been abated by the submission of an abatement certification. In rare cases 

the verification may have to cease and the abatement action closed through 

cessation of work or verification with the general contractor of the site to verify

abatement.

2. Equipment-related and all program-related (e.g., crane inspection, hazard 

communication, respirator, training, competent person, qualified persons, etc.) 

violations will always require employer certification of abatement regardless of 

construction site closure.

3. Where the violation specified in a citation is the employer’s general practice of 

failing to comply with a requirement (e.g., the employer routinely fails to provide fall 

protection at its worksites), closure/completion of the individual worksite will not be 

accepted as abatement.

4. For situations where the main office of the employer being cited is physically located 

in another Regional jurisdiction, the Area Director having the jurisdiction over the 

worksite will proceed as if the employer’s main office were in the Area Director’s 

own jurisdiction, and notify the affected Regional Office of the communication with 

the employer.

5. Where a follow-up inspection to verify abatement is deemed necessary, the affected 

Regions and Area Offices will determine the most efficient and mutually beneficial 

approach to conducting the inspection.

B. Field Sanitation and Temporary Labor Camps.

Under Secretary’s Order 3-2000, the authority to conduct inspections and issue citations 

for field sanitation and most temporary labor camps in agricultural employment has been 

delegated to the Employment Standards Administration (ESA).

1. An employer’s obligation under the abatement verification regulation still applies. 

However, OSHA’s delegation of authority to ESA does not extend to other OSHA 

regulations or standards, including §1903.19.

2. In situations where ESA determines employers are in violation of §1903.19, the 

following procedures are to be followed:

a. Wage and Hour District Directors, after following the procedures outlined in 

Section VIII., of this chapter, Employer Failure to Submit Required Abatement 

Certification, will send a copy of the inspection case file or a summary 

memorandum to the OSHA Regional Administrator’s Office for referral 

following established practice.

b. The OSHA Regional Office shall forward appropriate case files to the Area 

Office having jurisdiction to open a NEW inspection (coded as a Referral) and 
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process citation(s) for failure to comply with §1903.19. Upon receipt of the 

abatement verification documents related to the ESA inspection, OSHA will fax 

them to ESA.

NOTE: All field sanitation and temporary labor camp cases will automatically 

comply with the Appropriations Act rider because the field sanitation standard 

does not apply to employers with 10 or fewer employees and the rider does not 

apply to temporary labor camps.

c. Penalties will be collected and processed following normal procedures. Upon 

receipt of penalties for the OSHA-issued §1903.19 citations, OSHA’s case file 

will be closed.

d. In situations where an employer does not respond to OSHA’s issuance of 

violations of §1903.19 and dunning efforts fail, ESA shall be informed through 

memorandum and the OSHA case file closed with the penalties referred for debt 

collection.

NOTE: See also Chapter 10, Industry Sectors, and Chapter 12, Specialized 

Inspection Procedures, for additional information.

C. Follow-Up Policy for Employer Failure to Verify Abatement under §1903.19.

Follow-up or monitoring inspections would not normally be conducted when evidence of 

abatement is provided by the employer or employee representatives. For further 

information on exceptions for Enhanced Enforcement Program (EEP) cases, see CPL 02-

00-145, Enhanced Enforcement Program (EEP) Directive, dated January 1, 2008.

NOTE: For further information on extended abatement periods, see Section VII, 

Monitoring Information for Abatement Periods Greater than 90 Days, and Section XIII, 

Monitoring Inspections, both of this chapter.

1. Where the employer has not submitted the required abatement certification or 

documentation within the time permitted by the regulation, the Area Director has 

discretion to conduct a follow-up inspection.

2. Submission of inadequate documents may also be the basis for a follow-up 

inspection.

3. This inspection should not generally occur before the end of the original 15 day 

contest period except in unusual circumstances.

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

A. Follow-Up Inspections.

The primary purpose of a follow-up inspection is to determine if the previously cited 

violations have been corrected.

B. Severe Violator Enforcement Program (SVEP) Follow-Up.

1. For any inspection issued on or after June 18, 2010, which results in an SVEP case, 

an enhanced follow-up inspection will normally be conducted even if abatement of 

the cited violations has been verified. The primary purpose of follow-up inspections 

is to assess both whether the cited violation(s) were abated and whether the employer 

is committing similar violations.

2. If there is a compelling reason not to conduct a follow-up inspection, the reason must 

be documented in the file. The Region shall also report these cases to the Director of 

Enforcement Programs, along with the reason why a follow-up was not initiated.

3. Grouped and combined violations from the original inspection will be counted as one 

violation for SVEP purposes.
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4. For further information on exceptions for Severe Violator Enforcement Program 

(SVEP) cases, see OSHA Instruction CPL 02-00-149, Severe Violator Enforcement 

Program (SVEP), June 18, 2010. 

NOTE: See Memorandum entitled, “Inclusion of Upstream Oil and Gas Hazards 

to the High-Emphasis Hazards in the Severe Violator Enforcement Program 

(SVEP)”, dated February 11, 2015, for policy relating to the addition of upstream oil 

and gas hazards to the list of High-Emphasis Hazards in the Severe Violator 

Enforcement Program (SVEP).

C. Initial Follow-Up.

1. The initial follow-up is the first follow-up inspection after issuance of the citation.

2. If a violation is found not to have been abated, the CSHO shall inform the employer 

that the employer is subject to a Notification of Failure to Abate Alleged Violation 

and proposed additional daily penalties while such failure or violation continues.

3. Failure to comply with enforceable interim abatement dates involving multi-step 

abatement shall be subject to a Notification of Failure to Abate Alleged Violation.

4. Where the employer has implemented some controls, but the control measures were 

inadequate during follow-up monitoring, and other technology was available which 

would have brought the process into compliance, a Notification of Failure to Abate 

Alleged Violation normally shall be issued. If the employer has exhibited good faith, 

a late PMA for extenuating circumstances may be considered.

5. Where an apparent failure to abate by means of engineering controls is found to be 

due to technical infeasibility, no failure to abate notice shall be issued; however, if 

proper administrative controls, work practices or personal protective equipment are 

not utilized, a Notification of Failure to Abate Alleged Violation shall be issued.

D. Second Follow-Up.

1. Any subsequent follow-up after the initial follow-up inspection dealing with the same 

violations is considered a second follow-up.

a. After the Notification of Failure to Abate Alleged Violation has been issued, the 

Area Director shall allow a reasonable time for abatement of the violation before 

conducting a second follow-up. The employer must ensure that employees are 

adequately protected by other means until the violations are corrected.

b. If the employer contests the proposed additional daily penalties, a follow-up 

inspection shall still be scheduled to ensure correction of the original violation.

2. If a second follow-up inspection reveals the employer still has not corrected the 

original violations, a second Notification of Failure to Abate Alleged Violation with 

additional daily penalties shall be issued if the Area Director, after consultation with 

the Regional Administrator and RSOL, believes it to be appropriate.

3. If a Notification of Failure to Abate Alleged Violation and additional daily penalties 

are not to be proposed because of an employer’s flagrant disregard of a citation or an 

item on a citation, the Area Director shall immediately contact the Regional 

Administrator, in writing, detailing the circumstances so the matter can be referred to 

the RSOL for action, as appropriate, in the U.S. Court of Appeals in accordance with 

Section 11(b) of the Act.

E. OSH Act Section 11(b).

There may be times during the initial follow-up when, because of an employer’s flagrant 

disregard of a citation or other factors, it will be apparent that traditional enforcement 

actions would be inappropriate or ineffective. In such cases, a summary enforcement 

action shall be initiated under Section 11(b) of the Act in the U.S. Court of Appeals. The 
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Area Director shall notify the Regional Administrator, in writing, of all the particular 

circumstances of the case for referral to the RSOL.

F. Follow-Up Inspection Reports.

1. Follow-up inspection reports shall be included with the original initial inspection case 

file. The applicable identification and description sections of the Violation (OSHA1B/1B(IH)) shall be used for documenting correction of willful, repeated, and serious 

violations and failure to abate items during follow-up inspections.

2. If Serious, Willful, or Repeat violation items were appropriately grouped in the 

Violation (OSHA-1B/1B(IH)) in the original case file, they may be grouped on the 

follow-up Violation (OSHA-1B); otherwise, individual Violation (OSHA-1B/1B(IH))

shall be used for each item. The correction of other-than-serious violations may be 

documented in the narrative portion of the case file.

3. Documentation of Hazard Abatement by Employer.

a. The hazard abatement observed by the CSHO shall be specifically described in 

the Violation (OSHA-1B/1B(IH)), including any applicable dimensions, materials, 

specifications, personal protective equipment, engineering controls, 

measurements or readings, or other conditions.

b. Brief terms such as “corrected” or “in compliance” will not be accepted as proper 

documentation for violations having been corrected.

c. When appropriate, this written description shall be supplemented by a photograph 

and/or a videotape to illustrate correction circumstances.

d. Only the item description and identification blocks need to be completed on the 

follow-up Violation (OSHA-1B/1B(IH)) with an occasional inclusion of an 

applicable employer statement concerning correction under the employer 

knowledge section, if appropriate.

4. Sampling.

a. CSHOs conducting a follow-up inspection to determine abatement of violations 

of air contaminant or noise standards, shall decide whether sampling is necessary 

and if so, what kind (i.e., spot sampling, short-term sampling, or full-shift 

sampling).

b. If there is reasonable probability that a Notification of Failure to Abate Alleged 

Violation will be issued, full-shift sampling is required to verify exposure limits 

based on an 8-hour time-weighted average.

5. Narrative.

The CSHO must include in the narrative the findings pursuant to the inspection, 

along with recommendations for action. In order to make a valid recommendation, it 

is important to have all pertinent factors available in an organized manner.

6. Failure to Abate.

In the event that any item has not been abated, complete documentation shall be 

included on an Violation (OSHA-1B).

XIII. Monitoring Inspections.

A. General.

Monitoring inspections are conducted to ensure that hazards are being corrected and 

employees are being protected, whenever a long period of time is needed for an 

establishment to come into compliance. Such inspections may be scheduled, among 

other reasons, as a result of:

 Abatement dates in excess of one year.
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 A petition for modification of abatement date (PMA).

 A Corporate Wide Settlement Agreement. See CPL 02-00-152, Guidelines for 

Administration of Corporate-Wide Settlement Agreements, dated June 22, 2011.

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

 At the request of an employer requesting technical assistance granted by the Area 

director.

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

Monitoring inspections shall be conducted in the same manner as follow-up inspections. 

An inspection shall be classified as a monitoring inspection when a safety/health 

inspection is conducted for one or more of the following purposes:

 Determine the progress an employer is making toward final correction.

 Ensure that the target dates of a multi-step abatement plan are being met.

 Ensure that an employer’s petition for the modification of abatement dates is 

made in good faith and that the employer has attempted to implement necessary 

controls as expeditiously as possible.

 Ensure that the employees are being properly protected until final controls are 

implemented.

 Ensure that the terms of a permanent variance are being carried out.

 Provide abatement assistance for items under citation.

C. Abatement Dates in Excess of One Year.

1. Monitoring visits shall be scheduled to check on progress made whenever abatement 

dates extend beyond one year from the issuance date of the citation.

2. These inspections shall be conducted approximately every six months, counted from 

the citation date, until final abatement has been achieved for all cited violations.

a. If the case has been contested, the final order date shall be used as a starting 

point, instead of the citation date.

b. A settlement agreement may specify an alternative monitoring schedule.

3. If the employer is submitting satisfactory quarterly progress reports and the Area 

Director agrees after careful review, that these reports reflect adequate progress on 

implementation of control measures and provide adequate interim protection for 

employees, a monitoring inspection may be conducted every twelve months.

4. Such inspections shall have priority equal to that of serious formal complaints. The 

seriousness of the hazards requiring abatement shall determine the priority among 

monitoring inspections.

D. Monitoring Abatement Efforts.

1. The Area Director shall take the steps necessary to ensure that the employer is 

making a good faith attempt to bring about abatement as expeditiously as possible.

2. Where engineering controls have been cited or required for abatement, a monitoring 

inspection shall be scheduled to evaluate the employer’s abatement efforts. Failure to 

conduct a monitoring inspection shall be fully explained in the case file.

3. Where no engineering controls have been cited but more time is needed for other 

reasons not requiring assistance from OSHA, such as delays in receiving equipment, 

a monitoring visit need not normally be scheduled.

4. Monitoring inspections shall be scheduled as soon as possible after the initial contact 

with the employer and shall not be delayed until actual receipt of the PMA.

5. CSHOs shall decide during the monitoring inspection whether sampling is necessary 

and, if so, to what extent; i.e., spot sampling, short-term sampling, or full-shift 

sampling.
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6. CSHOs shall include pertinent findings in the narrative along with recommendations 

for action. To reach a valid conclusion when recommending action, it is important to 

have all relevant factors available in an organized manner. The factors to be 

considered may include, but are not limited to the following:

a. Progress reports or other indications of the employer’s good faith, demonstrating 

effective use of technical expertise and/or management skills, accuracy of 

information reported by the employer, and timeliness of progress reports.

b. The employer’s assessment of the hazards by means of surveys performed by inhouse personnel, consultants, and/or the employer’s insurance agency.

c. Other documentation collected by Area Office personnel including verification of 

progress reports, success and/or failure of abatement efforts, and assessment of 

current exposure levels of employees.

d. Employer and employee interviews.

e. Specific reasons for requesting additional time including specific plans for 

controlling exposures and specific calendar dates.

f. Personal protective equipment.

g. Medical programs.

h. Emergency action plans.

E. Monitoring Corporate-Wide Settlement Agreements.

Corporate-wide Settlement Agreements (CSA) extend abatement requirements to all 

covered locations of the company. These agreements may require baseline, periodic and 

follow-up monitoring. Additional information regarding abatement related to CSA may 

be found in CPL 02-00-152, Guidelines for Administrating of Corporate-Wide Settlement 

Agreements, dated June 22, 2011. 

XIV. Notification of Failure to Abatement.

A. Violation.

A Notification of Failure to Abate Alleged Violation (OSHA-2B) shall be issued in cases 

where violations have not been corrected as required, as verified by an onsite inspection 

or follow-up inspection.

B. Penalties.

Failure to abate penalties shall be applied when an employer has not corrected a 

previously cited violation which is a final order of the Commission.

C. Calculation of Additional Penalties.

1. A Gravity Based Penalty (GBP) for unabated violations is to be calculated for failure 

to abate a serious or other-than-serious violation on the basis of the facts noted upon

re-inspection.

2. Detailed information on calculating failure to abate (FTA) penalties is included in 

Chapter 6, Penalties and Debt Collection.

XV. Case File Management.

A. Closing of Case File Without Abatement Certification.

The closing of a case file without abatement certification(s) must be justified through a 

statement in the case file by the Area Director or his/her designee, addressing the reason 

for accepting each uncertified violation as an abated citation.

B. Review of Employer-Submitted Abatement.
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Area Offices are encouraged to review employer-submitted abatement verification 

materials as soon as possible but no later than 30 days after receipt. If the review will be 

delayed, notify the employer that the material will be reviewed by a certain date, and that 

the case will be closed if appropriate, after that time.

C. Whether to Keep Abatement Documentation.

Abatement documentation (photos, employer programs, etc.) shall be retained in 

accordance with OSHA Instruction ADM 03-01-005, OSHA Compliance Records, dated 

August 3, 1998.

XVI. Abatement Services Available to Employers.

Employers requesting abatement assistance shall be informed that OSHA is willing to work 

with them even after citations have been issued and provide incentives for immediate onsite 

abatement of certain types of violations. For further information see Chapter 6, Section IV, 

Effect on Penalties if Employer Immediately Corrects.
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Chapter 8

SETTLEMENTS

I. Settlement of Cases by Area Directors.

Area Directors are granted settlement authority and shall follow these instructions when 

negotiating settlement agreements.

A. General.

1. Except for egregious cases, or cases that affect other jurisdictions, Area Directors 

may enter into Informal Settlement Agreements with employers prior to the employer 

filing a written notice of contest.

NOTE: After the employer has filed a written notice of contest, the Area Director 

may proceed toward a Formal Settlement Agreement with the concurrence and 

participation of the RSOL.

2. Area Directors may amend abatement dates, reclassify violations (e.g., willful to 

serious, serious to other-than-serious), and modify or withdraw a penalty, a citation, 

or a citation item, where evidence establishes during the informal conference that the 

changes are justified.

3. Area Directors may negotiate the amount of proposed penalties, depending on the 

circumstances of the case and the particular improvements in employee safety and 

health that can be obtained.

4. Employers shall be informed that they are required by §1903.19 to post copies of all 

amendments or changes to citations resulting from informal conferences. Employee 

representatives must also be provided with copies of any agreements.

5. Cases or issues relating to potential Section 17 settlements shall be handled in 

accordance with established agency procedures, including approval by the National 

Office.

B. Pre-Contest Settlement (Informal Settlement Agreement).

Pre-contest settlement discussions will generally occur during or immediately following 

the information conference and prior to the expiration of the 15 working day contest 

period.

1. In the event that an employer is bringing an attorney to an informal conference, Area 

Directors or their designees are encouraged to contact the RSOL and ask for the 

assistance of counsel.

2. If a settlement is reached during the informal conference, an Informal Settlement 

Agreement (ISA) shall be prepared and the employer will be asked to sign it. It will 

be effective upon signature of both the employer and the Area Director (who shall 

sign last), provided the contest period has not expired. Both parties will date the 

documents on the day of actual signature.

3. If the employer is not present to sign the ISA, the Area Director shall send the 

agreement to the employer for signature. After signing, the employer must return the 

agreement to the Area Director by hand delivery or via facsimile within the 15

working day contest period.

a. In every case, Area Directors shall give employers notice in writing that the 

citation will become final and unreviewable at the end of the contest period, 

unless the employer signs the proposed agreement or files a written notice of 

contest.
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b. If an employer wishes to make any changes to the text of the agreement, the Area 

Director must agree to and authorize the proposed changes prior to the expiration 

of the contest period.

 If the changes proposed by the employer are acceptable to the Area 

Director, the exact language written into the agreement shall be mutually 

agreed upon. Employers shall be instructed to incorporate the agreedupon language into the agreement, sign it, and return to the Area Office 

by hand delivery or via facsimile.

 Annotations incorporating the exact language of any changes authorized 

shall be made to the retained copy of the agreement and signed and dated 

by the Area Director.

c. Upon receipt of the ISA signed by the employer, the Area Director will ensure, 

prior to his/her signature that any modifications to the agreement are consistent 

with the notations made in the case file.

 In these cases, the citation record will then be updated in OIS in 

accordance with current procedures.

 If an employer’s changes substantially alter the original terms, the 

agreement signed by the employer will be treated as a notice of contest 

and handled accordingly. The employer will be informed of this as soon 

as possible.

d. A reasonable time will be allowed for return of the agreement from the employer.

 If an agreement is not received within the 15 working day contest period, 

the Area Director will presume the employer did not sign the agreement, 

and the citation will be treated as a final order.

 The employer will be required to certify that the informal settlement 

agreement was signed prior to the expiration of the contest period.

4. If settlement efforts are unsuccessful and the employer contests the citation, the Area 

Director will state the terms of the final settlement offer in the case file.

5. Please see Informal Conference Guidance Memorandum, dated September 18, 2013, 

for more information. The following paragraphs were taken from the Informal 

Conference Guidance Memo:

a. Provide the attendee information regarding the purpose of an informal 

conference. This will include the following:

 Why the inspection was conducted. Explicitly, the difference between a 

programmed and un-programmed inspection. For example, “OSHA 

conducted an un-programmed inspection of your facility because one of 

your employees filed a formal complaint alleging blocked exit routes.”

 The rights of the employer(s). Specifically, the AD will inform the 

employer(s) of their contest rights. The AD will provide the employer(s) 

an overview of OSHA’s contest procedures. Furthermore, the AD 

should indicate that if the employer(s) decide to contest the citation(s), 

any past settlement offer made during the informal conference will no 

longer be available to the employer(s) at the area office level. Once a 

case is contested, the AD’s should explain that the case is transferred to 

the Regional Solicitor’s office.

 The AD should inform the employer that (for settlement purposes) he/she 

has the authority to change the citation’s classification and adjust the 

total proposed penalty. However, the AD should clarify that this can 

only be accomplished if employers show that they have developed or will 
8-3

continue to improve on a safety and health program and have, or are in 

the process of, abating all cited violations. Examples of proactive 

initiatives should include, but are not limited to, hiring a safety and 

health consultant or using OSHA’s consultation services. A reduction in 

classification or penalty can only be given if proof of correct abatement 

has been received or if the employer has committed to correct the 

violations by the abatement due dates.

 Potential for settlement of citation(s). The AD should inform the 

employer that if an agreement is reached, the Informal Settlement 

Agreement (ISA) must be signed by both parties. Additionally, the AD 

will inform the employer(s) that by signing the ISA, the employer(s) 

forfeit their right to contest the citation(s).

b. Once the employers understand why the inspection was conducted and the 

procedures of the informal conference are explained, the AD should start a 

discussion regarding the citations.

c. As the citation(s) are discussed, the AD must thoroughly document what was 

stated by all parties (employers, employee representatives, and AD). 

Furthermore, if the alleged violation was not corrected during the inspection, 

the AD should ask for both the signed abatement certification and abatement 

documentation (if required). For example, the employer(s) should provide 

abatement verification that clearly proves the facilities’ exit routes are 

unobstructed. Abatement verification can include photographs (time/date 

stamped) of the corrected violative condition. This process should be 

followed for any additional items and/or citations arising from the inspection.

d. Once the discussion of the citation(s) is concluded, the AD should determine 

what are the expectations of the employer(s), (if any). Usually, the 

employer(s) will ask for penalty reductions, citation reclassification, both 

penalty reduction and reclassification, or possibly vacating the citation(s). 

Depending upon the extent of safety and health efforts by the employer(s), 

and any other pertinent information established during the course of the 

settlement proceedings, the AD should use his/her professional judgment in 

evaluating a settlement offer.

e. The AD will abide by OSHA policy and procedures and may grant a penalty 

reduction and/or citation reclassification to settle the case.

f. There will be occasions where employers will ask for a payment plan. The 

AD shall follow the guidelines in the FOM, Chapter 6, pertaining to 

collecting payments.

g. Employers may ask for a petition to modify abatement (PMA). The AD will 

follow procedures outlined in the FOM to ensure PMAs do not adversely 

affect the safety and health of employees. The AD may amend abatement 

dates, reclassify violations (e.g., willful to serious, serious to other-thanserious), or modify or withdraw a penalty, a citation, or a citation item, where 

the evidence establishes that the changes are justified.

h. Enforceability of ISA. If settlement negotiations change or in any way amend 

the original citation(s), the agreement shall include language that states: “the 

parties agree that the underlying citations are amended to include as 

abatement the full terms of this agreement.”

i. The AD will advise the employer of OSHA’s Whistleblower protections 

programs, which ensures that workers are free to participate in safety and 
8-4

health activities. Section 11(c) of the OSH Act prohibits any person from 

discharging or in any manner retaliating or discriminating against any worker 

for exercising rights under the Act.

C. Procedures for Preparing the Informal Settlement Agreement.

The ISA shall be prepared and processed in accordance with current OSHA policies and 

practices. For guidance in determining final dates of settlement agreements and Review 

Commission orders, see Chapter 15, Section XIII, Citation Final Order Dates.

D. Post-Contest Settlement (Formal Settlement Agreement).

Post-contest settlements will normally occur before the complaint is filed with the 

Review Commission.

1. Following the filing of a notice of contest, the Area Director shall (unless other 

procedures have been agreed upon) notify the RSOL when it appears that 

negotiations with the employer may produce a settlement. This notification shall 

occur at the time the notice of contest transmittal memorandum is sent to the RSOL.

2. If a settlement is later requested by the employer, the Area Director will communicate 

the proposed terms to the RSOL, who will then draft and execute the agreement.

E. Corporate-Wide Settlement Agreement.

Corporate-wide Settlement Agreements (CSAs) may be entered into under special 

circumstances to obtain formal recognition by the employer of cited hazards and formal 

acceptance of the obligation to seek out and abate those hazards throughout all 

workplaces under its control. See CPL 02-00-152, Guidelines for Administering 

Corporate-Wide Settlement Agreements, dated June 22, 2011, for additional information.
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Chapter 9

COMPLAINT AND REFERRAL PROCESSING

I. Safety and Health Complaints and Referrals.

A. Definitions.

1. Complaint.

Notice of an alleged safety or health hazard (over which OSHA has jurisdiction), or a 

violation of the Act. There are two types; formal and non-formal.

a. Formal Complaint.

Complaint made by a current employee or a representative of employees that 

meets all of the following requirements:

 Asserts that an imminent danger, a violation of the Act, or a violation of 

an OSHA standard exposes employees to a potential physical or health 

harm in the workplace;

 Is reduced to writing or submitted on a Complaint (OSHA-7); and

 Is signed by at least one current employee or employee representative.

b. Non-formal Complaint.

Any complaint alleging a safety or health violation(s) that does not meet all of the 

requirements of a formal complaint identified above and does not come from one 

of the sources identified under the definition of Referral, below.

2. Inspection.

An onsite examination of an employer’s worksite conducted by an OSHA compliance 

officer, initiated as the result of a complaint or referral, and meeting at least one of 

the criteria identified in Section C, Criteria Warranting an Inspection, below.

3. Inquiry.

A process conducted in response to a complaint or a referral that does not meet one of 

the identified inspection criteria as listed in Section C. It does not involve an onsite 

inspection of the workplace, but rather the employer is notified of the alleged 

hazard(s) or violation(s) by telephone, fax, email, or by letter if necessary. The 

employer is then requested to provide a response, and OSHA will notify the 

complainant of that response via appropriate means.

4. Electronic Complaint.

A complaint submitted via OSHA’s public website. All complaints submitted via 

OSHA’s public website are initially considered non-formal. See Chapter 9 Section 

I.E.5., to determine when electronic complaints are to be considered formal. 

5. Permanently Disabling Injury or Illness.

An injury or illness that has resulted in permanent disability or an illness that is 

chronic or irreversible. Permanently disabling injuries or illnesses include, but are 

not limited to: amputation, blindness, a standard threshold shift in hearing, lead or 

mercury poisoning, paralysis or third-degree burns.

6. Referral.

An allegation of a potential workplace hazard or violation received from one of the 

sources listed below.

a. CSHO referral – information based on the direct observation of a CSHO. 
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b. Safety and health agency referral – from sources including, but not limited to: 

NIOSH, state programs, consultation, and state or local health departments, as 

well as safety and/or health professionals in other Federal agencies. 

c. Descrimination complaint referral – made by a whistleblower investigator when 

an employee alleges that he or she was retaliated against for complaining about 

safety or health conditions in the workplace, refusing to do an allegedly 

imminently dangerous task, or engaging in other activities related to occupational 

safety or health.

d. Other government agency referral – made by other Federal, State, or local 

government agencies or their employees, including local police and fire 

departments. 

e. Media report – either news items reported in the media or information reported 

directly to OSHA by a media source. 

f. Employer/Employer Representative report – of accidents other than fatalities and 

catastrophes. 

7. Representative of Employees.

Any of the following:

a. An authorized representative of the employee bargaining unit, such as a certified 

or recognized labor organization.

b. An attorney acting for an employee.

c. Any other person acting in a bona fide representative capacity, including, but not 

limited to, members of the clergy, social workers, spouses and other family 

members, and government officials or nonprofit groups and organizations acting 

upon specific complaints and injuries from individuals who are employees.

NOTE: The representative capacity of the person filing complaints on behalf of 

another should be ascertained unless it is already clear. In general, the affected 

employee should have requested, or at least approved, the filing of the complaint on 

his or her behalf.

B. Classifying as a Complaint or a Referral.

Whether the information received is classified as a complaint or a referral, an inspection 

of a workplace is normally warranted if at least one of the conditions in Section C, 

Criteria Warranting an Inspection is met.

C. Criteria Warranting an Inspection.

An inspection is normally warranted if at least one of the conditions below is met (but 

see also Section I.D., of this chapter, Scheduling an Inspection of an Employer in an 

Exempt Industry):

1. A valid formal complaint is submitted. Specifically, the complaint must be reduced 

to writing or submitted on a Complaint (OSHA-7), be signed by a current employee 

or representative of employees, and state the reason for the inspection request with 

reasonable particularity. Additionally, there must be reasonable grounds to believe 

either that a violation of the Act or OSHA standard that exposes employees to 

physical harm exists, or that an imminent danger of death or serious injury exists, as 

provided in Section 8(f)(1) of the Act.

2. The information received in a signed, written complaint from a current employee or 

employee representative that alleges a recordkeeping deficiency that indicates the 

existence of a potentially serious safety or health violation.

3. The information alleges that a permanently disabling injury or illness has occurred as 

a result of the complained of hazard(s), and there is reason to believe that the hazard 

or related hazards still exist.
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4. The information alleges that an imminent danger situation exists.

5. The information concerns an establishment and an alleged hazard covered by a local, 

regional, or national emphasis program (such as the Site-Specific Targeting Plan).

6. The employer fails to provide an adequate response to an inquiry, or the individual 

who provided the original information provides further evidence that the employer’s 

response is false or does not adequately address the hazard(s). The evidence must be

descriptive of current, on-going or recurring hazardous conditions.

7. The establishment that is the subject of the information has a history of egregious, 

willful, failure-to-abate, or repeated citations within the Area Office’s jurisdiction 

during the past three years, or is an establishment or related establishment in the 

Severe Violator Enforcement Program. However, if the employer has previously 

submitted adequate documentation for these violations demonstrating that they were 

corrected and that programs have been implemented to prevent a recurrence of 

hazards, the Area Director will normally determine that an inspection is not 

necessary.

8. A whistleblower investigator or Regional Supervisory Investigator requests that an 

inspection be conducted in response to an employee’s allegation that the employee 

was discriminated against for complaining about safety or health conditions in the 

workplace, refusing to perform an allegedly dangerous job or task, or engaging in 

other activities related to occupational safety or health.

9. If an inspection is scheduled or has begun at an establishment and a complaint or 

referral that would normally be handled via inquiry is received, that complaint or 

referral may, at the Area Director’s discretion, be incorporated into the scheduled or 

ongoing inspection. If such a complaint is formal, the complainant must receive a 

written response addressing the complaint items.

10. If the information gives reasonable grounds to believe that an employee under 18 

years of age is exposed to a serious violation of a safety or health standard or a 

serious hazard, an onsite inspection will be initiated if the information relates to 

construction, manufacturing, maritime, agriculture, or other industries as determined 

by the Area Director. Limitations placed on OSHA’s activities in agriculture by 

Appropriations Act provisions will be observed. See CPL 02-00-051, Enforcement 

Exemptions and Limitations under the Appropriations Act, dated May 28, 1998. A 

referral to Wage and Hour should also be initiated.

NOTE: The information does not need to allege that a child labor law has been 

violated.

D. Scheduling an Inspection of an Employer in an Exempt Industry.

In order to schedule an inspection of an employer in an exempt industry classification as 

specified by Appropriations Act provisions (See CPL 02-00-051, Enforcement 

Exemptions and Limitations under the Appropriations Act, dated May 28, 1998):

1. The information must come directly from a current employee; OR

2. It must be determined and documented in the case file that the information came from 

a representative of the employee (see Section I.A.7., of this chapter, Representative of 

Employees), with the employee’s knowledge of the representative’s intended action.

E. Electronic Complaints Received via the OSHA Public Website.

1. Electronic complaints submitted via the OSHA public website are automatically 

forwarded via email to a designated Area Office in the appropriate state. That Office 

then forwards the electronic complaints to the appropriate Area Office in the state.

2. Each Area Office manages a “Complaints” mailbox and processes electronic 

complaints according to internal complaint processing procedures. The complaints 
9-4

mailbox is monitored daily and every incoming complaint is reviewed for 

jurisdiction.

a. If the complaint falls within the jurisdiction of the Area Office, the complaint is 

entered into OIS and processed as usual.

b. If the complaint falls within the jurisdiction of another Area Office, the complaint 

is forwarded appropriately.

3. Area Offices will coordinate with State Plan States to establish procedures to process 

electronic complaints. The State establishes its own internal procedures for 

responding to such complaints. These procedures may be the State’s usual 

procedures for handling unsigned complaints or they may include some further 

coordination with the complainant prior to action. In State Plan States, the Federal 

Monitoring office will screen the complaints unless there is another arrangement. If 

the complaint falls within the individual State Plan’s jurisdiction, the Screening 

Office will follow the procedures developed with the State Plan for processing the 

complaint.

4. Complete a Complaint (OSHA-7) for all complaint information received. In order to 

facilitate the tracking of electronic complaints, enter the following code in the 

Optional Information field: 

N-11-LOGXXXXXX

 Where N-11 indicates that the complaint was filed electronically; and

 The digits following LOG are the unique complaint ID/log numbers assigned 

to the electronic complaint when processed by the Salt Lake Technical 

Center. The log number may vary and does not have to be exactly six digits. 

In entering the code, there is no space between the word LOG and the digits 

that follow.

5. Electronic complaints where a current employee has provided their name and

checked the “This constitutes my electronic signature” box shall be considered as a 

formal complaint and processed accordingly.

6. All complaint-related material received electronically should be printed and date 

stamped with the date the material was submitted and received. When these dates are 

not the same, the Area Director will determine the appropriate date for the incoming 

material.

F. Information Received by Telephone.

1. While speaking with the caller, OSHA personnel will attempt to obtain the following 

information:

a. Whether the caller is a current employee or an employee representative.

b. The exact nature of the alleged hazard(s) and the basis of the caller’s knowledge. 

The individual receiving the information must determine, to the extent possible, 

whether the information received describes an apparent violation of OSHA 

standards or the OSH Act.

c. The employer’s name, address, email address, telephone and fax numbers, as well 

as the name of a contact person at the worksite.

d. The name, address, telephone number, and email address of any union and/or 

employee representative at the worksite.

2. As appropriate, OSHA will provide the caller with the following information:

a. Describe the complaint process, and if appropriate, the concepts of “inquiry” and 

“inspection,” as well as the relative advantages of each.
9-5

b. If the caller is a current employee or a representative of employees, explain the 

distinction between a formal complaint and a non-formal complaint, and the 

rights and protections that accompany filing a formal complaint. These rights and 

protections include:

 The right to request an onsite inspection.

 Notification in writing if an inspection is deemed unnecessary because 

there are no reasonable grounds to believe that a violation or danger 

exists.

 The right to obtain review of a decision not to inspect by submitting a 

request for review in writing.

3. Information received by telephone from a current employee is considered a nonformal complaint until that individual provides a signed copy of the information. The 

employee can mail, email or fax a signed copy of the information, request that a 

Complaint (OSHA-7) be sent, or sign the information in person at the Area Office. 

Normally a complainant has five working days to formalize an electronic complaint.

4. If appropriate, inform the complainant of rights to confidentiality in accordance with 

Section 8(f)(1) of the Act for private sector employees, and Executive Order 12196

for Federal employees, and ask whether the complainant wishes to exercise this right. 

When confidentiality is requested, the identity of the complainant is protected 

regardless of the formality of the complaint.

5. Explain Section 11(c) rights to private sector employees and employees of the U.S. 

Postal Service, or reprisal and discrimination protection provided by Executive Order 

12196, §1960.46 and the Whistleblowers Protection Act of 1989 to Federal 

employees. See Chapter 13, Section III.E., for reports of reprisal or discrimination 

from Federal employees.

G. Procedures for Handling Complaints Filed in Multiple Area Offices or Regions.

1. When a Regional Office determines that multiple offices within the Region have 

received the same complaint or, if the Regional Office suspects the same complaint 

has been filed in multiple Regions, the Regional Office should contact the Director or 

Deputy Director of the Directorate of Enforcement Programs (DEP).

2. DEP will query all 10 Regions and coordinate with the Directorate of Cooperative 

and State Programs to query the State Plan States in order to determine whether 

similar complaints were filed in multiple offices.

a. If multiple Regions have received the same complaint, the National Office will 

address the complaint with the employer.

b. Area Offices should indicate in OIS that these complaints have been transferred 

to the National Office. 

H. Procedures for an Inspection.

1. Upon receipt of a complaint or referral, the Area Director (or his or her designee) will 

evaluate all available information to determine whether there are reasonable grounds 

to believe that a violation or hazard exists.

a. If necessary, reasonable attempts will be made to contact the individual who 

provided the information in order to obtain additional details or to clarify issues 

raised in the complaint or referral. See the Complaint Questionnaire beginning 

on page 9-13.

b. The Area Director may determine not to inspect a facility if he/she has a 

substantial reason to believe that the condition complained of is being or has been 

abated.
9-6

2. Despite the existence of a complaint, if the Area Director believes there is no 

reasonable grounds that a violation or hazard exists, no inspection or inquiry will be 

conducted.

a. Where a formal complaint has been submitted, the complainant will be notified in 

writing of OSHA’s intent not to conduct an inspection, the reasoning behind the 

determination, and the right to have the determination reviewed under §1903.12. 

The justification for not inspecting will be noted in the case file.

b. In the event of a non-formal complaint or referral, if possible, the individual 

providing the information will be notified by appropriate means of OSHA’s intent 

not to conduct an inquiry or inspection. The justification for not inspecting or 

conducting an inquiry will be noted in the case file.

3. If the information contained in the complaint or referral meets at least one of the 

inspection criteria listed in Section I.C., of this chapter, Criteria Warranting an

Inspection, and there are reasonable grounds to believe that a violation or hazard 

exists, the Area Office is authorized to conduct an inspection.

a. If appropriate, the Area Office will inform the individual providing the 

information that an inspection will be scheduled and that he or she will be 

advised of the results.

b. After the inspection, the Area Office will send the individual a letter addressing 

each information item, with reference to the citation(s) or a sufficiently detailed 

explanation for why a citation was not issued.

4. If an inspection is warranted, it will be initiated as soon as resources permit. 

Inspections resulting from formal complaints of serious hazards will normally be 

initiated within five working days of formalizing.

I. Procedures for an Inquiry.

1. If the complaint or referral does not meet the criteria for initiating an onsite 

inspection, an inquiry will be conducted. OSHA will promptly contact the employer 

to provide notification of the complaint or referral and its allegation(s), and fax or 

email a confirming letter.

2. If a non-formal complaint is submitted by a current employee or a representative of 

employees that does not meet any of the inspection criteria, the complainant may be 

given five working days to make the complaint formal.

a. The complainant may come into the Area Office and sign the complaint, or mail,

email, or fax a signed complaint letter to OSHA. Additionally, a Complaint 

(OSHA-7) can be mailed or faxed to the complainant, if appropriate.

b. If the complaint is not made formal after five working days, after making a 

reasonable attempt to inform the complainant of the decision, OSHA will proceed 

with the inquiry process.

3. The employer will be advised of what information is needed to answer the inquiry 

and encouraged to respond by fax or email. See Chapter 13, Federal Agency Field 

Activities, for differing Federal Agency procedures. Employers are encouraged to do 

the following:

a. Immediately investigate and determine whether the complaint or referral 

information is valid and make any necessary corrections or modifications.

b. Advise the Area Director either in writing via email or fax within five working 

days of the results of the investigation into the alleged complaint or referral 

information. At the discretion of the Area Director, the response time may be 

longer or shorter than five working days, depending on the circumstances. 

Additionally, although the employer is requested to respond within the above 
9-7

time frame, the employer may not be able to complete abatement action during 

that time, but is encouraged to do so.

c. Provide the Area Director with supporting documentation of the findings, 

including any applicable measurements or monitoring results, and photographs 

and/or videos that the employer believes would be helpful, as well as a 

description of any corrective action the employer has taken or is in the process of 

taking.

d. Post a copy of the letter from OSHA where it is readily accessible for review by 

all employees.

e. Return a copy of the signed Certificate of Posting to the Area Office.

f. If there is a recognized employee union or safety and health committee in the 

facility, provide them with a copy of OSHA’s letter and the employer’s response.

4. As soon as possible after contacting the employer, a notification letter will be faxed 

to the employer, or mailed where no fax is available. Sample letters to complainants 

and employers are provided on the NCR. Note that some of these letters are for 

private sector use and some are for Federal Agency use. If email is an acceptable 

means of responding, this should be indicated in the notification letter and the proper 

email address should be provided.

5. If no employer response or an inadequate employer response is received after the 

allotted five working days, additional contact with the employer may be made before 

an inspection is scheduled. If the employer provides no response or an inadequate 

response, or if OSHA determines from other information that the condition has not 

been or is not being corrected, an inspection will be scheduled.

6. The complainant will be advised of the employer’s response, as well as the 

complainant’s rights to dispute that response, and if the alleged hazard persists, of the 

right to request an inspection. When OSHA receives an adequate response from the 

employer and the complainant does not dispute or object to the response, an onsite 

inspection normally will not be conducted.

7. If the complainant is a current employee or a representative of employees and wishes 

to dispute the employer’s response, the disagreement must be submitted in writing 

and signed, thereby making the complaint formal.

a. If the employee disagreement takes the form of a written and signed formal 

complaint, then see Section I.H., of this chapter, Procedures for an Inspection.

b. If the employee disagreement does not take the form of a written and signed 

formal complaint, some discretion is allowed in situations where the information 

does not justify an onsite inspection. In such situations, the complainant will be 

notified of OSHA’s intent not to conduct an inspection and the reasoning behind 

the determination. This decision should be thoroughly documented in the case 

file.

8. If a signed complaint is received after the complaint inquiry process has begun, the 

Area Director will determine whether the alleged hazard is likely to exist based on the 

employer’s response and by contacting the complainant. The complainant will be 

informed that the inquiry has begun and that the complainant retains the right to 

request an onsite inspection if he/she disputes the results and believes the hazard still 

exists.

9. The complaint must not be closed until OSHA verifies that the hazard has been 

abated.

10. The justification for not conducting an inquiry will be noted in the case file.

J. Complainant Protection.
9-8

1. Identity of the Complainant. 

Upon request of the complainant, his or her identity will be withheld from the 

employer in accordance with Section 8(f)(1) of the Act. No information will be given 

to the employer that would allow the employer to identify the complainant.

2. Whistleblower Protection.

a. Section 11(c) of the Act provides protection for employees who believe that they 

have been the subject of an adverse employment action in retaliation for engaging 

in activities related to workplace safety or health. Any employee who believes 

that he or she has been discharged or otherwise retaliated against by any person 

as a result of engaging in such activities may file a whistleblower complaint. The 

complaint must be filed within thirty days of the discharge or other retaliation.

b. Complainants should always be advised of their Section 11(c) rights and 

protections upon initial contact with OSHA and whenever appropriate in 

subsequent communications.

K. Recording in OIS.

Information about complaint and referral inspections or inquiries must be recorded in OIS

following the current instructions outlined in the FOM. Referrals reported by the 

employer will be recorded in OIS following the guidance provided in the Memorandum 

entitled, “Interim Enforcement Procedures for New Reporting Requirements under 29 

C.F.R. 1904.39”, dated December 24, 2014, or unless superseded by future agencyapproved correspondence.

II. Whistleblower Complaints.

A. OSHA enforces the whistleblower or anti-retaliation provisions of the OSH Act and 

sixteen other federal statutes. A desk reference summarizing these statutes can be found 

in the Whistleblower Investigations Manual on OSHA’s Web site. These statutes 

generally provide that employers may not discharge or otherwise retaliate against an 

employee because the employee has reported an alleged violation related to the statute to 

an employer or a government agency, or otherwise exercised any rights provided to 

employees by the various statutes.

B. When a retaliation complaint is made under any of the sixteen federal whistleblower 

statutes enforced by OSHA other than the OSH Act, the complainant should be referred 

promptly to the Regional Supervisory Investigator or Team Leader because the 

requirements for filing complaints under those statutes vary from those of the OSH Act. 

They should also be advised that there are statutory deadlines for filing these complaints.

C. In the context of an OSHA enforcement action or a consultation activity, the complainant 

will be advised of the protection against retaliation afforded by Section 11(c) of the Act. 

A Section 11(c) complaint may be in any form, including an oral complaint made to a 

CSHO. Thus, if a person alleges that he has suffered an adverse action because of 

activity protected under Section 11(c), CSHOs will record that person’s identifying 

information and the date and time of this initial contact on an OSHA-87 form and 

forward it to the Regional Supervisory Investigator or Team Leader for processing.

D. In State Plan States, employees may file occupational safety and health retaliation 

complaints with Federal OSHA, the State, or both. Federal OSHA normally refers such 

complaints to the State Plan States for investigation. OSHA’s Whistleblower Manual 

outlines the Agency’s referral/deferral policies for such complaints.

III. Decision Trees.
9-9

A. See tree on page 9-10 for OSHA enforcement action or consultation activity when 

information is obtained in writing.

B. See tree on page 9-12 for OSHA enforcement action or consultation activity when 

information is obtained orally.
9-10
9-11
9-12
9-13

Complaint Questionnaire

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

For All Complaints:

1. What is the specific safety or health hazard? 

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

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

conditions; identify the location. 

4. What work is done in the unsafe/unhealthful area? Identify, as well as possible, the type and 

condition of equipment in use, the materials (e.g., chemicals) being used, the process/operation 

involved, and the kinds of work being done near the hazardous area. Have there been any recent 

chemical spills, releases, or accidents? 

5. With what frequency are employees doing the task that leads to the exposure? Continuously? 

Every day? Every week? Rarely? For how long at one time? How long has the condition 

existed (so far as can be determined)? Has it been brought to the employer’s attention? Have 

any attempts been made to correct the condition, and, if so, who took these actions? What were 

the results? 

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

condition exist? 
9-14

7. What personal protective equipment (e.g., hearing protection, gloves or respirators) is required by 

the employer relevant to the alleged exposure? Is it used by employees? Include all PPE and 

describe it as specifically as possible. Include the manufacturer’s name and any identifying 

numbers. 

8. How many people work in the establishment? How many are exposed to the hazardous 

conditions? How near do they get to the hazard? 

9. Is there an employee representative or a union in the establishment? Include the name, address, 

and telephone number of the union and/or the employee representative(s). 

For Health Hazards

10. Has the employer administered any tests to determine employee exposure levels to the hazardous 

conditions or substance? Describe these tests. Can the employees get the results (as required by 

the standard)? What were the results? 

11. What engineering controls are in place in the area(s) in which the exposed employees work? For 

instance, are there any fans or acoustical insulation in the area which may reduce exposure to the 

hazard?

12. What administrative or work practice controls has the employer put in place? 
9-15

13. Do any employees have any symptoms that may have been caused by exposure to hazardous 

substances? Have any employees ever been treated by a physician for a work-related disease or 

condition? What was it? 

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

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

they protecting against?

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

employees? 

17. Do employees receive audiograms on a regular basis? 

For Safety Hazards:

18. Under what adverse or hazardous conditions are employees required to work? This should 

include conditions contributing to stress and “other” probability factors.

19. Have any employees been injured as a result of this hazardous condition? Have there been any 

“near-miss” incidents?
10-1

Chapter 10

INDUSTRY SECTORS

I. Agriculture. 

A. Introduction.

Special situations arising in the agriculture industry, which is regulated under 29 CFR 

Part 1928 and the General Duty Clause, are discussed in this section. Part 1928 covers 

“agricultural operations,” which include, but are not limited to, egg farms, poultry farms, 

livestock grain and feed lot operations, dairy farms, horse farms, hog farms, fish farms, 

and fur-bearing animal farms. OSHA has very few standards that are applicable to this 

industry. Part 1928 sets forth a few standards in full and lists particular Part 1910 

standards which apply to agricultural operations. Part 1910 standards not listed do not 

apply. The General Duty Clause may be used to address hazards not covered by these 

standards.

B. Definitions.

1. Agricultural Operations.

This term is not defined in 29 CFR Part 1928. Generally, agricultural operations 

would include any activities involved in the growing and harvesting of crops, plants, 

vines, fruit trees, nut trees, ornamental plants, egg production, the raising of livestock 

(including poultry and fish), as well as livestock products. The Occupational Safety 

and Health Review Commission has ruled that activities integrally related to these 

core “agricultural operations” are also included within that term. Darragh Company, 

9 BNA OSHC 1205, (Nos. 77-2555, 77-3074, and 77-3075, 1980) (delivery of feed 

to chicken farmer by integrator of poultry products is agricultural operation); Marion 

Stevens dba Chapman & Stephens Company, 5 BNA OSHC 1395 (No.13535, 1977) 

(removal of pipe to maintain irrigation system in citrus grove is agricultural 

operation). Post-harvest activities not on a farm, such as receiving, cleaning, sorting, 

sizing, weighing, inspecting, stacking, packaging and shipping produce, are not 

“agricultural operations.” J. C. Watson Company, 22 BNA OSHC 1235 (Nos. 05-

0175 and 05-0176, 2008) (employer’s onion packing shed was not an agricultural 

operation); J.C. Watson Company v. Solis, DC Cir. 08-1230 (April 17, 2009).

2. Agricultural Employee.

OSHA regulation §1975.4(b)(2) states that members of the immediate family of the 

farm employer are not regarded as employees.

3. Farming Operation. 

This term is used in OSHA’s Appropriations Act, and has been defined in CPL 02-

00-051, Enforcement Exemptions and Limitations under the Appropriations Act, 

dated May 28, 1998, to mean any operation involved in the growing or harvesting of 

crops, the raising of livestock or poultry, or related activities conducted by a farmer 

on-sites such as farms, ranches, orchards, dairy farms or similar farming operations.

These are employers engaged in businesses that have a two digit Standard 

Industrial Classification (SIC) of 01 and three digit North American Industry 

Classification System (NAICS) of 111 (Agricultural Production - Crops); SIC 02 and 

NAICS 112 (Agricultural Production - Livestock and Animal Specialties); four digit 

SIC 0711 and six digit NAICS 115112 (Soil Preparation Services); SIC 0721 and

NAICS 115112 (Crop Planting, Cultivating, and Protecting); SIC 0722 and NAICS 
10-2

115113 (Crop Harvesting, Primarily by Machine); SIC 0761 and NAICS 115115 

(Farm Labor Contractors and Crew Leaders); and SIC 0762 and NAICS 115116 

(Farm Management Services).

4. Post-Harvesting Processing.

This is a term that is used in CPL 02-00-051, Enforcement Exemptions and 

Limitations under the Appropriations Act, dated May 28, 1998, in discussing 

enforcement guidance for small farming operations. Generally, post-harvest 

processing can be thought of as changing the character of the product (canning, 

making cider or sauces, etc.) or a higher degree of packaging versus field sorting in a 

shed for size.

C. Appropriations Act Exemptions for Farming Operations.

1. Exempt Farming Operations.

OSHA is limited by provisions in its Appropriations Act as to which employers it 

may inspect. Some of the Appropriations Act exemptions and limitations apply to 

small farming operations. Specifically, OSHA shall not inspect farming operations 

that have 10 or fewer employees and have had no temporary labor camp (TLC) 

activity within the prior 12 months.

2. Non-Exempt Farming Operations.

A farming operation with 10 or fewer employees that maintains a temporary labor 

camp or has maintained a temporary labor camp within the last twelve months is not

exempt from inspection.

3. State Plans States.

States with OSHA-approved State Plans may enforce on small farms and provide 

consultation or training, provided that 100% state funds are used and the state has an 

accounting system in place to assure that no federal or matching state funds are 

expended on these activities.

4. Enforcement Guidance for Small Farming Operations.

OSHA’s Appropriations Act exempts qualifying small farming operations from 

enforcement or administration of all rules, regulations, standards or orders under the 

Occupational Safety and Health Act, including rules affecting consultation and 

technical assistance or education and training services.

Table 10-1, below, provides an at-a-glance reference to OSHA activities under its 

funding legislation.
10-3

Table 10-1: OSHA’s Appropriation Act Exemptions for Farming Operations

OSHA Activity

Farming operations with 

10 or fewer employees 

(EEs) and no TLC 

activity within 12 

months.

Farming operations with 

more than 10 EEs or a 

farming operation with 

an active TLC within 12 

months.

Programmed Safety Inspections Not Permitted Permitted

Programmed Health Inspections Not Permitted Permitted

Employee Complaint Not Permitted Permitted

Fatality and/or two or more 

Hospitalizations (Reporting Note) Not Permitted Permitted

Imminent Danger Not Permitted Permitted

11(c) (whistleblower investigation) Not Permitted Permitted

Consultation & Technical Assistance Not Permitted Permitted

Education & Training Not Permitted Permitted

Conduct Surveys & Studies Not Permitted Permitted

NOTE: See CPL 02-00-051, Enforcement Exemptions and Limitations under the Appropriations 

Act, May 28, 1998, for additional information.

D. Standards Applicable to Agriculture.

OSHA has very few standards that apply to employers engaged in agricultural operations. 

Activities that take place after harvesting are considered general industry operations and 

are covered by OSHA’s general industry standards.

1. Agricultural Standards (Part 1928).

a. Roll-over Protective Structures (ROPS) for Tractors (§1928.51, 1928.52, and 

1928.53).

b. Guarding of Moving Machinery Parts of Farm Field Equipment, Farmstead 

Equipment, and Cotton Gins (§1928.57).

c. Field Sanitation (§1928.110). See Section I.F., of this chapter, Wage & 

Hour/OSHA Shared Authority under Secretary’s Order, regarding Wage & Hour 

authority. OSHA has no authority to issue any citations under this standard.

2. General Industry Standards (Part 1910).

a. Temporary Labor Camps (§1910.142). See Chapter 12, Section II, Temporary 

Labor Camps.

b. Storage and Handling of Anhydrous Ammonia (§1910.111(a) and (b)).

c. Logging Operations (§1910.266).

d. Specifications for Accident Prevention Signs and Tags – Slow-Moving Vehicle 

Emblem (§1910.145(d)(10)).

e. Hazard Communication (§1910.1200).

f. Cadmium (§1910.1027).
10-4

g. Retention of Department of Transportation Markings, Placards and Labels 

(§1910.1201).

Except to the extent specified above, the standards contained in subparts B 

through T and subpart Z of Part 1910 of Title 29 do not apply to agricultural 

operations.

3. General Duty Clause.

As in any situation where no standard is applicable, Section 5(a)(1) of the OSH Act 

may be used; all the elements for a Section 5(a)(1) citation must be met. See Chapter 

4, Section III, General Duty Clause.

E. Pesticides.

1. Coverage.

a. Pursuant to the Federal Insecticide, Fungicide and Rodenticide Act (FIFRA), the 

Environmental Protection Agency (EPA) has jurisdiction over employee 

protection relating to pesticides (which also includes herbicides, fungicides and 

rodenticides). The EPA Worker Protection Standard (WPS) protects employees 

on farms, forests, nurseries, and greenhouses from occupational exposure to 

agricultural pesticides. The WPS includes provisions for personal protective 

equipment, labeling, employee notification, safety training, safety posters, decontamination supplies, emergency assistance, and restricted field entry. See 40 CFR 

Part 170, Worker Protection Standard.

b. The regulation covers two types of employees:

 Pesticide Handlers. Those who mix, load, or apply agricultural 

pesticides; clean or repair pesticide application equipment; or assist with 

the application of pesticides in any way.

 Agricultural Workers. Those who perform tasks related to the cultivation 

and harvesting of plants on farms or in greenhouses, nurseries, or forests 

– such as carrying nursery stock, repotting plants, or watering – related to 

the production of agricultural plants on an agricultural establishment.

c. For all pesticide use, including uses not covered by 40 CFR Part 170, it is a 

violation of FIFRA to use a registered pesticide in a manner inconsistent with its 

labeling. Thus, OSHA has no authority to issue any citations related to pesticide 

exposures, pursuant to Section 4(b)(1) of the OSH Act. In the event that a CSHO 

should encounter any cases of pesticide exposure or the lack of an appropriate 

pesticide label on containers, a referral shall be made to the local EPA office or to 

state agencies administering pesticide laws.

d. EPA also has jurisdiction in non-agriculture situations where pesticides are being 

applied by pest control companies. This would include, but not be limited to, 

applications in and around factories, warehouses, office buildings, and personal 

residences. OSHA may not cite its Hazard Communication standard in such 

situations.

2. OSHA’s Hazard Communication Standard.

Although OSHA will not cite employers covered under EPA’s WPS with regard to 

hazard communication requirements for pesticides, agricultural employers otherwise 

covered by OSHA are still responsible for having a hazard communication program 

for all hazardous chemicals that are not considered pesticides.

F. Wage & Hour/OSHA Shared Authority under Secretary’s Order.

Since 1997, the Wage & Hour Division (WHD) of the Employment Standards 

Administration (ESA) has had shared authority with OSHA over two standards: the Field 

Sanitation standard (1928.110), and the Temporary Labor Camp standard (1910.142). 
10-5

See Delegation of Authorities and Assignment of Responsibilities to the Assistant 

Secretary for Employment Standards and Other Officials in the Employment Standards 

Administration (Federal Register, January 2, 1997 (62 FR 107)) and Secretary’s Order 5-

2002: Delegation of Authority and Assignment of Responsibility to the Assistant 

Secretary for Occupational Safety and Health, Federal Register, October 22, 2002 (67 FR 

65007).

1. Field Sanitation Standard.

a. The WHD has sole federal enforcement authority for this standard, including the 

issuing of citations.

b. OSHA, therefore, shall not issue citations under this standard.

c. The provisions of the Field Sanitation standard are also applicable to reforestation 

activities involving “hand-labor operations” as defined by the standard. This 

position regarding reforestation activities was developed through extensive intraagency discussions and was intended to provide, in the absence of a clear and 

unambiguous exemption of this activity from the provisions of the standard, the 

broadest possible coverage for these employees.

2. Temporary Labor Camp (TLC) Standard.

Under the Secretary’s Order, enforcement authority for the TLC standard is split 

between the WHD and OSHA. See Chapter 12, Section II, Temporary Labor Camps,

for a detailed discussion on Temporary Labor Camps.

3. Compliance Interpretation Authority.

WHD has sole interpretation authority for both the Field Sanitation and the 

Temporary Labor Camp standards, even over those temporary labor camp areas for 

which OSHA has enforcement authority.

4. Standard Revision and Variance Authority.

OSHA retains all authority for revisions of the Field Sanitation and the Temporary 

Labor Camp standards, as well as the evaluation and granting of temporary and 

permanent variances.

5. State Plan States.

a. Eight of the twenty-two jurisdictions (21 states and Puerto Rico) that have 

OSHA-approved State Plans covering private sector employment elected not to 

enforce the Field Sanitation standard in agriculture and the Temporary Labor 

Camp standard, except with respect to egg, poultry, red meat production, and 

post-harvesting processing of agricultural and horticultural commodities. Thus, 

WHD enforces these standards, except as noted above, in the following states: 

Alaska, Indiana, Iowa, Kentucky, Minnesota, South Carolina, Utah and 

Wyoming.

b. The 14 other jurisdictions with OSHA-approved State Plans covering private 

sector employment have retained enforcement authority for the Field Sanitation 

and Temporary Labor Camp standards in agriculture. They are Arizona, 

California, Hawaii, Maryland, Michigan, Nevada, New Mexico, North Carolina, 

Oregon, Puerto Rico, Tennessee, Vermont, Virginia and Washington.

II. Construction [Reserved].
10-6

III. Maritime.

The maritime industry includes shipyard employment (shipbuilding, ship repair, 

shipbreaking, and related employments), marine cargo handling (longshoring and marine 

terminals), and other marine activities.

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

1. DIRECTIVES........................................................................................ 10-5

2. STANDARDS ....................................................................................... 10-5

3. GUIDANCE PRODUCTS.......................................................................... 10-5

4. OSHA AGREEMENTS WITH OTHER AGENCIES AND ORGANIZATIONS .......... 10-7

5. ETOOLS, EXPERT ADVISORS, EMATRIX .................................................. 10-7

6. PUBLIC MARITIME WEBPAGE................................................................ 10-8

7. CSHO MARITIME WEBPAGE ................................................................ 10-8

B. SHIPYARD EMPLOYMENT (PART 1915) ........................................... 10-9

1. COVERAGE ......................................................................................... 10-9

2. SHIPYARD AUTHORITY ........................................................................ 10-9

3. SHIPYARD INSPECTIONS ......................................................................10-10

4. APPLICABLE STANDARDS ....................................................................10-14

5. SHIPYARD REFERENCES .....................................................................10- 15

C. MARINE CARGO HANDLING INDUSTRY (PARTS 1917 & 1918).....10-16

1. COVERAGE ........................................................................................10-16

2. MARINE CARGO HANDLING AUTHORITY...............................................10-16

3. MARINE CARGO HANDLING INSPECTIONS..............................................10-17

4. APPLICABLE STANDARDS ....................................................................10-21

5. MARINE CARGO HANDLING REFERENCES..............................................10-22

D. OTHER MARINE ACTIVITIES...........................................................10-23

1. COMMERCIAL DIVING – 29 CFR PART 1910, SUBPART T.........................10-23

2. COMMERCIAL FISHING – 29 CFR PART 1910 .........................................10-23

3. MARINE CONSTRUCTION – 29 CFR PART 1926 ......................................10-23

4. TOWBOATS/TUGBOATS – 29 CFR PART 1910.........................................10-23

5. TRAINING MARINE OIL SPILL RESPONSE WORKERS ................................10-24

6. OTHER REGULATORY AGENCIES ..........................................................10-24

E. SECURITY PROCEDURES..................................................................10-24

1. TRANSPORTATION WORKER IDENTIFICATION CARD (TWIC)....................10-24

2. PHOTOGRAPHY AND SECURITY AT U.S. NAVY WORKSITES ......................10-25
10-7

A. Maritime Industry Primary Resources.

1. Directives.

a. CPL 02-00-157, Shipyard Employment “Tool Bag” Directive, April 1, 2014.

b. CPL 02-01-055, Maritime Cargo Gear Standards and 29 CFR 1919 Certification, 

September 30, 2013.

c. CPL 02-00-154, Longshoring and Marine Terminals “Tool Shed” Directive, July 

31, 2012.

d. CPL 02-00-151, 29 CFR Part 1910, Subpart T – Commercial Diving Operations, 

June 13, 2011.

e. CPL 02-01-042, 29 CFR Part 1915, Subpart B, Confined and Enclosed Spaces 

and Other Dangerous Atmospheres in Shipyard Employment, May 20, 2011.

f. CPL 03-00-012, OSHA’s National Emphasis Program (NEP) on Shipbreaking, 

November 4, 2010.

g. CPL 02-01-049, 29 CFR Part 1915, Subpart I, Enforcement Guidance for 

Personal Protective Equipment (PPE) in Shipyard Employment, November 4, 

2010.

h. CPL 02-01-047, OSHA Authority Over Vessels and Facilities on or Adjacent to 

U.S. Navigable Waters and the Outer Continental Shelf (OCS), February 22, 

2010.

2. Standards.

a. 29 CFR Part 1915 – Shipyard Employment. Including the Shipyard Industry 

Standards “Brown Book,” OSHA Publication 2268-03R (2009).

b. 29 CFR Part 1917 – Marine Terminals. Including the Longshoring Industry 

“Green Book,” OSHA Publication 2232 (2001).

c. 29 CFR Part 1918 – Longshoring. Including the Longshoring Industry “Green 

Book,” OSHA Publication 2232 (2001).

d. 29 CFR Part 1919 – Gear Certification. (See also 1915.115(a), 1917.50, 1918.11, 

and 1918.66(a)(1)).

3. Guidance Products.

a. Shipyard Employment Industry.

 Guidance Documents.

o Safe Work Practices for Marine Hanging Staging. OSHA Guidance 

Document (April 2005); also available as a PDF.

o Safe Work Practices for Shipbreaking. OSHA Publication 3375 (March 

2010).

o Abrasive Blasting Hazards in Shipyard Employment. OSHA Guidance 

Document (December 2006).

o Ventilation in Shipyard Employment. OSHA Publication 3639-04 

(2013).

 Safety and Health Injury Prevention Sheets (SHIPS)

o Control of Hazardous Energy Lockout/Tags-Plus. (April 2014)

o Shipboard Electrical. (December 2013).

o Rigging. (April 2011).

o Shipfitting. (August 2008).

o Hot Work – Welding, Cutting and Brazing. OSHA Safety and Health 

Injury Prevention Sheets.
10-8

 Fact Sheets.

o Safe Lighting Practices in the Shipyard Industry. OSHA Publication FS 

3677 (November 2013).

o Shipbreaking. OSHA Fact Sheet (2001). English PDF. Spanish PDF.

o Guidelines for Safely Entering and Cleaning Vessel Sewage Tanks. 

OSHA Publication FS 3587 (March 2013).

o Safely Performing Hot Work on Hollow or Enclosed Structures in 

Shipyards. OSHA Publication FS 3586 (March 2013).

o General Working Conditions in Shipyard Employment: Motor-Vehicle 

Safety Equipment, Operation and Maintenance.

o General Working Conditions in Shipyard Employment: Sanitation.

o General Working Conditions in Shipyard Employment: Lockout/Tagsplus Coordination.

o Spud Barge Safety. OSHA Publication FS 3358 (January 2009).

o Eye Protection against Radiant Energy during Welding and Cutting in 

Shipyard Employment. OSHA Publication FS 3499 (January 2012). 

English PDF. Spanish PDF.

o Safety While Working Alone in Shipyards. OSHA Publication FS 3591 

(March 2013).

 Quick Cards.

o Fire Watch Safety during Hot Work in Shipyards. OSHA Publication 

3494.

o Hot Work Safety on Hollow or Enclosed Structures in Shipyards. OSHA 

Publication 3585 (March 2013).

o Aerial Lift Fall Protection Over Water. OSHA Publication 3452 

(September 2011). English PDF. Spanish PDF.

 Additional Guidance.

o Deck Barge Safety. OSHA Publication 3358 (January 2009).

o Ergonomics for the Prevention of Musculoskeletal Disorders: Guidelines 

for Shipyards. OSHA Publication 3341 (March 2008).

o Shipyard Fire Protection Frequently Asked Questions (FAQs). OSHA 

(March 2006); also available as a PDF.

o Hanging Staging (Marine). OSHA eTool.

o Fire Protection in Shipyard Employment. OSHA Slide Presentation 

(March 2005).

b. Marine Cargo Handling Industry.

 Fact Sheets.

o Working Safely While Repairing Intermodal Containers in Marine 

Terminals. OSHA Publication FS 3626 (April 2013).

o Freeing Inoperable Semi-Automatic Twist Locks (SATLs) in 

Longshoring. OSHA Publication FS 3583 (December 2012).

o Traffic Lanes and Personnel Safety Zones. OSHA Publication FS 3540 

(May 2012).

o Radio Communication Can Assist Container Gantry Crane Operators in 

Marine Terminals. OSHA Publication FS 3267 (June 2007); also 

available as a PDF.

o Marine Terminal Fall Protection for Personnel Platforms. OSHA Fact 

Sheet (June 2006); also available as a PDF.
10-9

 Quick Cards.

o First Aid in Marine Cargo Handling, OSHA Publication 3368 (December 

2009). English and Spanish PDF.

o Lifesaving Facilities in Marine Cargo Handling, OSHA Publication 3367 

(December 2009). English and Spanish PDF.

o Safe Plugging and Unplugging Reefer Units in Longshoring and Marine 

Terminals. OSHA Publication 3652 (June 2013).

o Top/Side Handler Safety in Marine Terminals. OSHA Publication 3621 

(April 2013).

o Servicing Multi-Piece and Single-Piece Rim Wheels. OSHA Publication 

3584 (March 2013).

o Safe Operation of Semi-tractors in Marine Terminals. OSHA Publication 

3653 (May 2013).

o Safely Operating and Working Around Cargo Handling Equipment in 

Marine Terminals. OSHA Publication 3640 (May 2013).

o Mechanics Working in “the Yard” on Powered Equipment during Marine 

Terminal Operations. OSHA Publication 3562 (July 2012).

o Working Safely on the Apron or Highline during Marine Terminal 

Operations. OSHA Publication 3539 (May 2012).

o Gangway Safety in Marine Cargo Handling, OSHA Publication 3369 

(December 2009). English and Spanish PDF.

 Additional Guidance.

o Roll-On Roll-Off (RO-RO) Ship and Dock Safety. OSHA Publication 

3396 (June 2010).

o Traffic Safety in Marine Terminals. OSHA Publication 3337 (July 2007).

o OSHA Guidance Update on Protecting Employees from Avian Flu 

(Avian Influenza) Viruses. OSHA Publication 3323 (October 2006); also 

available as a PDF.

4. OSHA Agreements with other Agencies and Organizations.

a. Settlement Agreement concerning Powered Industrial Truck Operator Training 

Standard between the National Maritime Safety Association (NMSA) and the 

Occupational Safety and Health Administration, U.S. Department of Labor, July 

14, 2000.

b. Memorandum of Agreement on Interagency Coordination for Ship Scrapping 

(i.e., shipbreaking) between DOD/DOT/EPA/DOL-OSHA, November 16, 1999. 

c. Memoranda of Understanding between the U.S. Coast Guard and OSHA located 

in CPL 02-01-047 – OSHA Authority over Vessels and Facilities on or Adjacent 

to U.S. Navigable Waters and the Outer Continental Shelf (OCS), February 22, 

2010, concerning:

 The Health and Safety of Seamen on Inspected Vessels (see Appendix D 

of the Instruction); and

 Occupational Safety and Health on the Outer Continental Shelf (OCS) 

(see Appendix E of the Instruction).

5. eTools, Expert Advisors, eMatrix.

a. eTools are “stand-alone,” interactive, web-based training tools that provide highly 

illustrated information and guidance on occupational safety and health topics. 

Some also use expert system modules, which enable users to answer questions 

and receive reliable advice on how OSHA standards apply to their worksite(s).
10-10

b. Shipyard Employment eTools were developed by OSHA in conjunction with the 

shipyard employment industry for ship repair, shipbuilding, shipbreaking, and 

barge cleaning activities. The eTools provide comprehensive information, in an 

electronic format with photos and illustrations, regarding the applicability of 

safety and health standards. They are excellent overall training tools and good 

for safety briefs of specific standards.

6. Public Maritime Webpage.

OSHA’s public maritime webpage (Maritime Internet) provides access to maritime 

directives, standards, guidance documents and eTools, as well as:

a. Shipyard employment fatality videos – presents 16 computer-generated animated 

scenarios based on actual shipyard fatalities. Each scenario includes a review of 

the factors that contributed to the accident and how to avoid them;

b. Longshoring and Marine Terminals: Fatal Facts – presents 42 written scenarios 

based on actual marine cargo handling fatalities;

c. Maritime Outreach Training Programs – includes OSHA’s Maritime “Train-thetrainer“ (course #5400), and OSHA’s 10-hour and 30-hour Maritime Industry 

courses;

d. MACOSH (Maritime Advisory Committee for OSH) – includes upcoming/recent 

events, background and history, current membership, meeting minutes, and 

MACOSH Federal Register notices;

e. Federal Registers pertaining to the maritime industry;

f. SHIPS – Safety and Health Injury Prevention Sheets developed by OSHA in 

conjunction with the shipyard industry to provide specific guidance and “Do’s 

and Don’ts” with accompanying photographs for various shipyard processes;

g. Maritime crane accreditation and certification program information including: an 

explanation of the program, instructions for the use of the OSHA-71 and -72 

forms, and a list of agencies accredited under the 29 CFR Part 1919 program;

h. Shipyard Employment Industry “Flyer.” OSHA Products, Information and 

Guidance (November 2007); also available as a PDF;

i. Longshoring and Marine Terminal Industries “Flyer.” OSHA Products, 

Information and Guidance (November 2007); also available as a PDF; and

j. Office of Maritime Enforcement (OME). One of five offices within the 

Directorate of Enforcement Programs (DEP). OME provides support for 

maritime employment through the development of standards interpretations, 

management and administration of the 29 CFR Part 1919 maritime gear 

certification program (including the web-based Maritime Crane database for 

OSHA-71 and -72 forms) and coordination of the activities of the Agency’s 

Maritime Steering Committee. CSHOs who need standards interpretations, have 

questions or require access to the 1919 Maritime Crane database (requires 

training and a password) should contact OME at 202-693-2399.

7. CSHO Maritime Webpage.

OSHA’s maritime (Intranet) webpage provides CSHOs with the following 

information:

a. Shipyard Listing – a list of all shipyards by OSHA Region and State (Excel 

format);

b. Boatyard Listing – a list of all boatyards by OSHA Region and State (Excel 

format);
10-11

c. Sea Bag – Provides an all-inclusive list of enforcement resources and tools for 

Compliance Officers to effectively use when conducting safety and health 

inspections within the Maritime Industry; and

d. SAVEs (Standard Alleged Violation Elements) for the maritime industry 

standards. SAVEs and associated AVDs (Alleged Violation Elements) are 

available on the Intranet for all enforceable Part 1915, Part 1917 and Part 1918 

standards. The Office of Maritime Enforcement is responsible for maintaining 

the maritime SAVEs.

B. Shipyard Employment (Part 1915).

1. Coverage.

a. Shipyard employment includes the building, repairing, and breaking (scrapping, 

disposal, recycling) of vessels, or a section of a vessel, without regard to 

geographical location, and is covered by 29 CFR Part 1915 for Shipyard 

Employment (see 29 CFR 1910.11(b)). Examples of vessels include, but are not 

limited to: ships, barges, fishing boats, work boats, cruise liners, and floating oil 

drilling rigs (i.e., mobile offshore drilling units). The Area Office should consult 

with the Regional Solicitor’s Office with respect to citing violations involving 

shipyard employment not on U.S. navigable waters in the Third, Fifth, Ninth, and 

Eleventh Circuits. However, the Area Office need not do so for violations of 

Subpart B (confined spaces), Subpart F (General Working Conditions), Subpart I 

(PPE), and Subpart P (fire protection) since these subparts have provisions 

expressly applying these subparts regardless of geographical location.

b. Shipyard employment involves work activities aboard floating vessels as well as 

vessel-related work activities on the land, docks, piers, etc., of a shipyard. 

Although 29 CFR Part 1915 covers many hazards in shipyard employment, it 

does not cover all such hazards. Therefore, some of the 29 CFR Part 1910

General Industry Standards are also applicable in shipyard employment. (See 

Appendix A of CPL 02-00-157, Shipyard Employment “Tool Bag” Directive, 

April 1, 2014).

NOTE: Not all activities within a shipyard are considered shipyard 

employment covered by 29 CFR Part 1915. For example, erection of a new 

building, roadway construction, demolition activities (including the dismantling 

of cranes), and the installation of water pipes are covered by Construction 

Standards, 29 CFR Part 1926.

2. Shipyard Authority.

a. U.S. Coast Guard.

 OSHA and the U.S. Coast Guard each have authority over shipyard 

employment activities. The U.S. Coast Guard regulates working conditions 

for seamen (crew members) on inspected vessels through 46 CFR 90.05-1. 

OSHA has authority to cite shipyard employment activities on inspected 

vessels if the work is performed by shipyard employees (non-crew members).

NOTE: An inspected vessel is any ship, boat, barge, etc., that has or is 

required to have a Certificate of Inspection (COI) issued by the U.S. Coast 

Guard.

 On uninspected vessels, OSHA has authority to cite shipyard employers for 

all working conditions. OSHA also can cite the owners or operators of 

uninspected vessels for violations involving shipbuilding, shipbreaking, and 

ship repair operations regardless of whether the work is performed by seamen 

(crew members) or by non-crew members unless the hazards are covered by 
10-12

U.S. Coast Guard regulations. (See Section XIV.B.1. in CPL 02-01-047 –

OSHA Authority over Vessels and Facilities on or Adjacent to U.S. Navigable 

Waters and the Outer Continental Shelf (OCS), February 22, 2010.)

 CHSOs should contact the vessel owner, master or captain to obtain the 

vessel identification or official number (VIN or ON) and contact the nearest 

U.S. Coast Guard Sector (http://homeport.uscg.mil or USCG 2013 

Phonebook) to determine whether the vessel is inspected or uninspected.

b. U.S. Navy.

OSHA has authority under the OSH Act over shipyard employment aboard U.S. 

Navy vessels and within a U.S. Navy shipyard when the work is performed by a 

contractor. U.S. Navy civilian personnel are covered under Presidential 

Executive Order 12196, implemented by 29 CFR Part 1960. There are no 

geographic limitations of OSHA’s coverage for Executive Branch federal civilian 

employees who are not performing uniquely military operations as defined in 29 

CFR 1960.2(i). Therefore, OSHA’s authority extends to all federal civil service 

mariners (CIVMARs) in the U.S. Navy’s Military Sealift Command (MSC).

However, OSHA does not have coverage over any Armed Forces personnel 

(uniformed military) such as: U.S. Navy (including MSC military department 

(MILDEPT)), U.S. Army, U.S. Air Force, U.S. Marine Corps, and U.S. Coast 

Guard, both active duty and reserve.

c. State Plans.

 Private Sector Employees.

States that operate their own OSHA-approved State Plans may elect to 

exercise authority over private sector maritime employees. States that have 

authority to exercise safety and health standards over private sector, land-side 

shipyard employment activities are: California, Minnesota, Vermont, and 

Washington. (See the State Plan standards in 29 CFR Part 1952 of these 

States for specific areas of authority.) However, OSHA retains authority in 

these four States on U.S. navigable waters. In the remaining States, OSHA 

has authority over all shipyard employees whether working land-side or on 

U.S. navigable waters.

NOTE: U.S. navigable waters include graving-docks, dry-docks, liftingdocks, and marine railways (i.e., federal jurisdiction).

 Public Sector Employees.

State Plan States have authority over employees of State and local 

governments, (e.g., port authorities, cities, counties, etc.), on both the landside areas and aboard vessels. OSHA has no authority over “...any State or 

political subdivisions of a State.” Section 3(5) of the OSH Act, 29 U.S.C. 

625(5).

3. Shipyard Inspections.

a. Inspection Scheduling.

The shipyard employment industry is made up of several industrial activities. 

Due to the unique differences among these activities, and differing yard locations, 

sizes, and number of employers, several scheduling methods are necessary. 

Consequently, shipyard employment inspections may be scheduled under 

National Emphasis Programs (NEPs), Regional Emphasis Programs (REPs), 

Special Emphasis Programs (SEPs), Local Emphasis Programs (LEPs), the 

Severe Violator Enforcement Program (SVEP), or from lists developed in 

accordance with CPL 02-00-025, Scheduling System for Programmed 
10-13

Inspections, January 4, 1995. However, this Instruction will take precedence over 

CPL 02-00-025 when there is a divergence between the two instructions.

 National Emphasis Programs (NEPs).

Guidance for conducting NEP inspections in the shipyard employment 

industry includes:

o CPL 03-00-012, OSHA’s National Emphasis Program (NEP) on 

Shipbreaking, November 4, 2010, describes policies and 

procedures to reduce or eliminate workplace hazards associated 

with shipbreaking operations. This NEP supports a Memorandum 

of Agreement on Interagency Coordination for Ship Scrapping 

(i.e., shipbreaking) between DOD/DOT/EPA/DOL-OSHA, 

November 16, 1999;

o CPL 03-00-009, National Emphasis Program-Lead, August 14, 

2008; and

o CPL 03-00-007, National Emphasis Program: Crystalline Silica, 

January 24, 2008. (See also Safety and Health Topics: Silica, 

Crystalline.)

NOTE: All other scheduled shipyard employment inspections can 

be conducted under LEPs that support DOL’s Strategic Plan and 

OSHA’s Strategic Management Plan Goals.

 Local Emphasis Programs (LEPs).

LEPs are a type of Special Emphasis Program in which one or more area

offices in a region participate. LEPs may be originated at the area or 

regional office level and should follow CPL 04-00-001, Procedures for 

Approval of Local Emphasis Programs (LEPs), November 10, 1999. 

Also, see Memorandum on Procedures for Local and Regional Emphasis 

Programs, dated December 3, 2014.

LEPs are generally based on knowledge and experience of local 

industry hazards, injuries, and illnesses. LEPs may include targeting of 

employers with 10 or fewer employees, as long as they do not conflict 

with restrictions under Congressional appropriations act riders described 

in OSHA Instruction CPL 02-00-051 or successor guidance.

The most recent list of OSHA Local Emphasis Programs (LEPs) in 

effect is available at the Directorate of Enforcement Program’s (DEP’s) 

Intranet.

 Severe Violator Enforcement Program (SVEP).

This program is intended as a means to focus on employers who have 

demonstrated indifference to their OSH Act obligations by committing 

willful, repeated, or failure-to-abate violations. Cases identified by the 

SVEP are those in which at least one of the following criteria is met as 

defined in the Severe Violator Enforcement Program (SVEP) directive, 

CPL 02-00-149, June 18, 2010:

o Fatality/Catastrophe Criterion;

o Non-Fatality/Catastrophe Criterion Related to High-Emphasis 

Hazards;

o Non-Fatality/Catastrophe Criterion for Hazards Due to the 

Potential Release of a Highly Hazardous Chemical (Process 

Safety Management); or

o Egregious Criterion.
10-14

Enforcement actions for severe violator cases include mandatory 

follow-up inspections, increased company/corporate awareness of 

OSHA enforcement, corporate-wide agreements, enhanced settlement 

provisions, and federal court enforcement under Section 11(b) of the 

OSH Act.

If an unprogrammed inspection arises for an establishment that is to 

receive a follow-up inspection or additional targeted inspection as a 

result of the SVEP, the two inspections may be conducted either 

concurrently or separately. The SVEP does not affect in any way the 

conduct of unprogrammed inspections.

Some establishments may be selected for inspection under the 

SVEP and also under other OSHA initiatives such as National 

Emphasis Programs (NEPs), Regional Emphasis Programs (REPs), or 

Local Emphasis Programs (LEPs). These other programs may be run 

concurrently with the SVEP.

 Inspection Lists.

All fixed maritime (shipyard) establishments shall be scheduled and 

inspected by either using an industry rank report or establishment lists as 

detailed in CPL 02-00-025.

The Area Director shall compile a complete list of active establishments 

(worksites) considering all establishments within the coverage of the 

office and using the best available information (internet and local listings, 

local knowledge, shipyard and boatyard lists provided by OME, etc.). 

Inspection lists may be compiled in various ways. Two ways that have 

been used successfully in scheduling shipyard inspections are:

o List by Port Area; or

A list of shipyard sites by port areas may be prepared at the 

beginning of the fiscal year by the Area Office, using LEP 

inspection lists, local knowledge, and experience.

o List by Employer. 

A list of all shipyard industry employers within the Area Office’s 

jurisdiction may be prepared, using LEP inspection lists, local 

knowledge, and experience.

b. CSHO Training.

Supervisors or team leaders are responsible for ensuring that CSHOs are qualified 

to inspect/intervene in shipyard employment establishments. CSHOs should have 

completed the OTI Course #2090, Shipyard Employment, or have received 

equivalent training and/or experience prior to conducting shipyard inspections.

c. CSHO Preparation.

In addition to normal inspection preparation procedures, CSHOs must be properly 

equipped and attired. All necessary personal protective equipment (PPE) must be 

available for use and in proper operating condition. CSHOs must be trained in 

the uses and limitations of PPE before beginning the inspection. At the opening 

conference, the CSHO will request a copy of the employer’s certification of 

hazard assessment prepared in accordance with 29 CFR 1915.152(b) in order to 

be aware of the necessary PPE. The suggested minimum PPE for a CSHO is: a 

hard hat, safety shoes, gloves, eye protection, hearing protection, a personal 

flotation device (PFD), and a high-visibility/retro-reflective vest. Additional PPE 

may be required, such as a respirator, if conditions warrant. All testing and 
10-15

monitoring equipment must be calibrated (if necessary) and in good condition. It 

may be advisable for a CSHO to carry a multi-gas meter when conducting a 

vessel inspection to test for O2, H2S, CO, and/or LEL.

d. Safety and Health Rules at Shipyards.

29 CFR 1903.7(c) requires CSHOs to comply with all site safety and health rules 

and practices at a shipyard or on a vessel, and to wear or use the safety clothing 

or protective equipment required by OSHA standards or by the employer for the 

protection of employees.

e. Inspection Data.

Inspection data is accessible through OSHA’s web page. This “Statistics & Data”

page will allow the user to conduct searches by establishment, Standard 

Identification Classification (SIC) code, North American Industry Classification 

System (NAICS) code, OSHA inspection number, accidents, and frequently cited 

standards. The page also contains links to the Bureau of Labor Statistics (BLS) 

for injury and illness statistics. The NAICS codes that correspond to shipyard 

employment include, but are not limited to:

 336611 Ship Building and Repairing: This U.S. industry comprises 

establishments primarily engaged in operating a shipyard. Shipyards are 

fixed facilities with drydocks and fabrication equipment capable of 

building a ship, defined as watercraft typically suitable or intended for 

other than personal or recreational use. Activities of shipyards include 

the construction of ships, their repair, conversion and alteration, the 

production of prefabricated ship and barge sections, and specialized 

services, such as ship scaling (Shipbreaking and dismantling at 

shipyards);

 336612 Boat Building: This U.S. industry comprises establishments 

primarily engaged in building boats. Boats are defined as watercraft not 

built in shipyards and typically of the type suitable or intended for 

personal use. Included in this industry are establishments that 

manufacture heavy-duty inflatable rubber or inflatable plastic boats 

(RIBs);

NOTE: Boats are defined by NAICS code 336612 as watercraft not 

built in shipyards and typically of the type suitable or intended for 

recreational or personal use (such as dinghy manufacturing, motorboat 

building, rowboat manufacturing, and sailboat/yacht building that is not 

done in shipyards). Boat building, repair, and breaking, including 

recreational boat building and manufacturing facilities, that are not

located on or adjacent to U.S. navigable waters of the United States are 

covered by 29 CFR Part 1910 General Industry Standards. 

 423930 Shipbreaking and Dismantling Merchant Wholesalers (except at 

floating drydocks and shipyards);

 488390 Other Support Activities for Water Transportation: This industry 

comprises establishments primarily engaged in providing services to 

water transportation (includes ship dismantling, maintenance, and routine 

repairs for ships at floating drydocks);

 713930 Marinas: This industry comprises establishments, commonly 

known as marinas, engaged in operating docking and/or storage facilities 

for pleasure craft owners, with or without one or more related activities, 
10-16

such as retailing fuel and marine supplies; and repairing, maintaining, or 

renting pleasure boats; and

 811490 Other Personal and Household Goods Repair and Maintenance. 

This industry comprises establishments primarily engaged in repairing 

motorboats, canoes, sailboats, and other recreational boats (includes 

inboard and outboard repair and maintenance services).

NOTE: Operating marinas and providing a range of other services 

including boat cleaning and repair are classified in Industry 713930, 

Marinas;

NOTE: The repair of recreational boats is covered by the 29 CFR Part 

1915 Shipyard Employment Standards if performed on or adjacent to U.S. 

navigable waters;

NOTE: A complete list of NAICS codes is available on the U.S. 

Census Bureau website. 

f. Leased Employees and Employer Responsibilities.

Many shipyards use contract or temporary leased employees. The company on 

whose payroll the employee is listed, as well as the company that supervises and 

controls the employee’s activities, may be regarded as the employer. However, 

only the company that supervises the employee’s daily work activities is 

responsible for injury and illness recordkeeping for that employee. (See LOI, 04-

30-1996.)

g. Multi-employer Worksites.

More than one employer may be liable for a hazardous condition that violates an 

OSHA standard. The process which must be followed in determining whether 

more than one employer is liable for employee safety and health conditions can 

be found in OSHA Instruction CPL 02-00-124, Multi-Employer Citation Policy, 

December 10, 1999. See also the multi-employer worksite provisions in 29 CFR 

1915.12(f) and 29 CFR 1915.501. The Regional Solicitor’s Office is available to 

address issues concerning the application of the multi-employer worksite doctrine 

after approval from the respective Regional Administrator.

4. Applicable Standards.

a. 29 CFR Part 1915 – Shipyard Employment Standards.

Apply to all ship repairing, shipbuilding, shipbreaking and related employments.

b. 29 CFR Part 1910 – General Industry Standards.

For a list of general industry standards that do or do not apply in shipyard 

employment, refer to Appendix A: Application of 29 CFR Part 1910 Standards to 

29 CFR Part 1915 Shipyard Employment, in the Shipyard “Tool Bag” Directive.

c. 29 CFR Part 1926 – Construction Standards.

Apply when:

 Construction activities occur on shipyards; or

 Construction materials, equipment and supplies in support of a 

construction project are unloaded, moved, or handled into, in, on, or out 

of any vessel, from shore-to-vessel, from vessel-to-shore, or from vesselto-vessel. (See STD 03-13-002, 29 CFR 1926.605(a)(1) as Applied to 

Maritime Construction; July 15, 1982.)

NOTE: Incidental maintenance or normal upkeep performed on 

floating equipment during actual construction operations is not covered 

by 29 CFR 1915.115(a), but major overhauls of floating equipment when 
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equipment is taken out of service and is not being used for construction 

operations are covered by 29 CFR 1915.115(a). (See STD 03-13-002, 29 

CFR 1926.605(a)(1) as Applied to Maritime Construction; July 15, 1982.)

d. 29 CFR Part 1919 – Gear Certification.

i. Provides guidance for the approval of OSHA-accredited agencies and criteria for

Part 1919 agencies to evaluate and issue a certificate (OSHA Form-71 and -72) 

for certain cranes in shipyards. The 29 CFR Part 1919 standards may not be cited 

by CSHOs. They shall use the appropriate 29 CFR Part 1915 standards to cite 

hazards. (See 1915.115(a) and CPL 02-01-055, Maritime Cargo Gear Standards 

and 29 CFR 1919 Certification, September 30, 2013.)

5. Shipyard References.

There are a number of resources available to assist CSHOs in conducting shipyard 

employment inspections; however, there are three principle references.

a. Shipyard Employment “Tool Bag” Directive.

The Shipyard “Tool Bag” Directive is the primary source of information for all 

aspects of shipyard employment inspections. All maritime industry primary 

resources that have relevance in the shipyard employment industry can be 

accessed through the “Tool Bag” directive via e-Links. The “Tool Bag” directive 

“One Stop Shopping” concept is designed to provide comprehensive information 

about inspection scheduling, conduct of shipyard inspections, shipyard alliances, 

training sources, etc. Appendix A of the directive is very useful because it 

contains guidance about which General Industry Standards (29 CFR Part 1910) 

can be used in shipyard employment, and equally important, which general 

industry standards are applicable aboard a vessel. The “Tool Bag” directive also 

consolidates all OSHA interpretations related to shipyard employment into a 

question-and-answer appendix.

b. Public Maritime Webpage.

OSHA’s public maritime webpage (Maritime Internet) provides access to 

shipyard employment directives, standards, guidance documents and eTools, as 

well as:

 Shipyard employment fatality videos – presents 16 computer-generated 

animated scenarios based on actual shipyard fatalities. Each scenario 

includes a review of the factors that contributed to the accident and how 

to avoid them;

 Maritime Outreach Training Programs – includes OSHA’s Maritime 

“Train-the-trainer“ (course #5400), and OSHA’s 10-hour and 30-hour 

Maritime Industry courses;

 MACOSH (Maritime Advisory Committee for OSH) – includes 

upcoming/recent events, background and history, current membership, 

meeting minutes, and MACOSH Federal Register notices; 

 Federal Registers pertaining to the maritime industry;

 SHIPS – Safety and Health Injury Prevention Sheets developed by OSHA 

in conjunction with the shipyard industry to provide specific guidance and 

“Do’s and Don’ts” with accompanying photographs for various shipyard 

processes; 

 Maritime crane accreditation and certification program information 

including: an explanation of the program, instructions for the use of the 

OSHA-71 and -72 forms, and a list of agencies accredited under the 29 

CFR Part 1919 program; and
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 Shipyard Employment Industry “Flyer.” OSHA Products, Information 

and Guidance (November 2007); also available as a PDF.

c. CSHO Maritime Webpage.

OSHA’s maritime (Intranet) webpage provides CSHOs with the following 

relevant information:

 Shipyard Listing – a list of all shipyards by OSHA Region and State 

(Excel format);

 Boatyard Listing – a list of all boatyards by OSHA Region and State 

(Excel format); 

 Sea Bag – Provides an all-inclusive list of enforcement resources and 

tools for Compliance Officers to effectively use when conducting safety 

and health inspections within the Maritime Industry; and

 SAVEs (Standard Alleged Violation Elements) for the maritime industry 

standards. SAVEs and associated AVDs (Alleged Violation 

Descriptions) are available on the Intranet for all enforceable Part 1915, 

Part 1917 and Part 1918 standards. The Office of Maritime Enforcement

is responsible for maintaining the maritime SAVEs.

C. Marine Cargo Handling Industry (Parts 1917 & 1918).

1. Coverage.

The marine cargo handling industry includes:

a. Longshoring and related employment aboard a vessel. Longshoring is the 

loading, unloading, moving or handling of cargo, ship’s stores, gear, or any other 

materials into, in, on, or out of any vessel. Related employment is any 

employment performed incidental to or in conjunction with longshoring, 

including securing cargo, rigging, and employment as a porter, clerk, checker, or 

security officer (see 29 CFR 1918.2); and

b. Marine terminal (on shore) employment, as defined in 29 CFR 1917.1, includes 

the loading, unloading, movement or other handling of cargo, ship’s stores, or 

gear within the terminal or into or out of any land carrier, holding or 

consolidation area, and any other activity within and associated with the overall 

operations and functions of the terminal, except as noted in the standards. It 

includes all cargo transfers using shore-based material handling devices. (See 

CPL 02-00-154, Longshoring and Marine Terminals “Tool Shed” Directive, July 

31, 2012.)

2. Marine Cargo Handling Authority.

a. U.S. Coast Guard.

OSHA has authority to cite employers engaged in longshoring and marine 

terminal operations; U.S. Coast Guard regulations do not preempt OSHA from 

citing such employers. On inspected vessels, OSHA has no authority to cite the 

owner or operator of the vessel with respect to any working conditions of seamen 

(crew members) regardless of the work they are performing. On uninspected 

vessels OSHA may cite the owner or operator of the vessel for any violation of 

working conditions affecting seamen or non-seamen, unless the hazards are 

covered by U.S. Coast Guard regulations. (See CPL 02-01-047, OSHA Authority 

over Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the 

Outer Continental Shelf (OCS), February 22, 2010.)

b. U.S. Navy.
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OSHA has authority under the OSH Act over longshoring operations aboard U.S. 

Navy vessels and within a marine terminal at a U.S. Navy facility when the work 

is performed by a contractor. U.S. Navy civilian personnel are covered under 

Presidential Executive Order 12196, implemented by 29 CFR Part 1960. There 

are no geographic limitations of OSHA’s coverage for Executive Branch federal 

civilian employees who are not performing uniquely military operations as 

defined in 29 CFR 1960.2(i). Therefore, OSHA’s authority extends to all federal 

civil service mariners (CIVMARs) in the U.S. Navy’s Military Sealift Command 

(MSC).

However, OSHA does not have coverage over any Armed Forces personnel 

(uniformed military) such as: U.S. Navy (including MSC military department 

(MILDEPT)), U.S. Army, U.S. Air Force, U.S. Marine Corps, and U.S. Coast 

Guard, both active duty and reserve.

c. State Plans.

 Private Sector Employees.

States that operate their own OSHA-approved State Plans may elect to 

exercise authority over private sector maritime employees. States that have 

authority to exercise safety and health standards over private sector, land-side 

marine terminal employment activities are: California, Minnesota, Vermont, 

and Washington. (See the State Plan standards in 29 CFR Part 1952, of these 

States for specific areas of authority.) However, OSHA retains authority in 

these four States on U.S. navigable waters (i.e., longshoring employment). In 

the remaining States, OSHA has authority over all marine cargo handling 

employees whether working land-side or on U.S. navigable waters.

 Public Sector Employees.

State Plan States have authority over employees of State and local 

governments, e.g., port authorities, cities, counties, etc., on both the land-side 

areas and aboard vessels. OSHA has no authority over “...any State or 

political subdivisions of a State.” Section 3(5) of the OSH Act, 29 U.S.C. 

625(5).

3. Marine Cargo Handling Inspections.

a. Inspection Scheduling.

The marine cargo handling industry is made up of longshoring activities (i.e., 

cargo handing aboard vessels) and activities within marine terminals (i.e., cargo 

handling ashore). Due to the unique differences among these activities and 

differing port locations, sizes, and number of employers (i.e., stevedores), several 

scheduling methods are necessary. Consequently, marine cargo handling industry 

inspections may be scheduled as National Emphasis Programs (NEPs), Special 

Emphasis Programs (SEPs), Regional Emphasis Programs (REPs), Local 

Emphasis Programs (LEPs), the Severe Violator Enforcement Program (SVEP), 

or from lists developed in accordance with CPL 02-00-025, Scheduling System 

for Programmed Inspections, January 4, 1995. However, this Instruction will 

take precedence over CPL 02-00-025 when there is a divergence between the two 

instructions.

 National Emphasis Programs (NEPs).

Guidance for conducting NEP inspections in the marine cargo handling 

industry includes:

o CPL 03-00-009, National Emphasis Program-Lead, August 14, 

2008; and
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o CPL 03-00-007, National Emphasis Program: Crystalline Silica, 

January 24, 2008. (See also Safety and Health Topics: Silica, 

Crystalline.)

NOTE: All other scheduled marine cargo handling inspections can 

be conducted under LEPs that support DOL’s Strategic Plan and 

OSHA’s Strategic Management Plan Goals.

 Local Emphasis Programs (LEPs).

LEPs are a type of Special Emphasis Program in which one or more area 

offices in a region participate. LEPs may be originated at the area or 

regional office level and should follow CPL 04-00-001, Procedures for 

Approval of Local Emphasis Programs (LEPs), November 10, 1999.

Also, see Memorandum on Procedures for Local and Regional Emphasis 

Programs, dated December 3, 2014.

LEPs are generally based on knowledge and experience of local 

industry hazards, injuries, and illnesses. LEPs may include targeting of 

employers with 10 or fewer employees, as long as they do not conflict 

with restrictions under Congressional appropriations act riders described 

in OSHA Instruction CPL 02-00-051 or successor guidance. 

The most recent list of OSHA Local Emphasis Programs (LEPs) in 

effect is available at the Directorate of Enforcement Program’s (DEP’s) 

Intranet. 

 Severe Violator Enforcement Program (SVEP).

This program is intended as a means to focus on employers who have 

demonstrated indifference to their OSH Act obligations by committing 

willful, repeated, or failure-to-abate violations. Cases identified by the 

SVEP are those in which at least one of the following criteria is met as 

defined in the Severe Violator Enforcement Program (SVEP) directive, 

CPL 02-00-149, June 18, 2010:

o Fatality/Catastrophe Criterion;

o Non-Fatality/Catastrophe Criterion Related to High-Emphasis 

Hazards;

o Non-Fatality/Catastrophe Criterion for Hazards Due to the 

Potential Release of a Highly Hazardous Chemical (Process 

Safety Management); or

o Egregious Criterion.

Enforcement actions for severe violator cases include mandatory 

follow-up inspections, increased company/corporate awareness of OSHA 

enforcement, corporate-wide agreements, enhanced settlement provisions, 

and federal court enforcement under Section 11(b) of the OSH Act.

If an unprogrammed inspection arises for an establishment that is to 

receive a follow-up inspection or additional targeted inspection as a result 

of the SVEP, the two inspections may be conducted either concurrently or 

separately. The SVEP does not affect in any way the conduct of 

unprogrammed inspections.

Some establishments may be selected for inspection under the SVEP 

and also under other OSHA initiatives such as National Emphasis 

Programs (NEPs), Regional Emphasis Programs (REPs), or Local 
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Emphasis Programs (LEPs). These other programs may be run 

concurrently with the SVEP. 

 Inspection Lists.

Water transportation services inspection lists may be developed either by 

port area or by employer.

o List by Port Area.

A list of port areas may be prepared at the beginning of the fiscal 

year by the Area Director, using OSHA inspection history, local 

knowledge and experience, company schedules, and information 

from other sources. For example, the Port of Savannah might be 

subdivided into three port areas; the Port of Houston might be 

subdivided into eight or more port areas. Other large ports may 

be subdivided in the same manner.

o List by Employer.

A list of all water transportation services employers within the 

Area Office’s jurisdiction may be prepared, based on OSHA 

inspection history, local knowledge and experience, company 

schedules, and other sources.

NOTE: Due to differing locations, loading/unloading equipment, 

products, site conditions, or any other reasons determined by the CSHO, 

he/she may inspect multiple worksites (i.e., vessels) being worked by the 

same employer. Each vessel shall be considered a separate inspection for 

recording purposes.

b. CSHO Training.

Supervisors or team leaders are responsible for ensuring that CSHOs are qualified 

to inspect/intervene in marine cargo handling establishments. CSHOs should 

have completed the OTI Course #2060, Longshoring and Marine Terminal 

Processes and Standards, or have received equivalent training and/or experience 

prior to conducting marine cargo handling industry inspections.

c. CSHO Preparation.

In addition to normal inspection preparation procedures, CSHOs must be properly 

equipped and attired. All necessary personal protective equipment (PPE) must be 

available for use and in proper operating condition. CSHOs must be trained in 

the uses and limitations of PPE before beginning the inspection. The suggested 

minimum PPE for a CSHO is: a hard hat, safety shoes, gloves, eye protection, 

hearing protection, a personal flotation device (PFD), and a high-visibility/retroreflective vest. Additional PPE may be required, such as a respirator, if 

conditions warrant. All testing and monitoring equipment must be calibrated (if 

necessary) and in good condition. It may be advisable for a CSHO to carry a 

multi-gas meter when conducting a vessel inspection to test for O2, H2S, CO, 

and/or LEL.

d. Safety and Health Rules at a Marine Cargo Handling Facility.

29 CFR 1903.7(c) requires CSHOs to comply with all site safety and health rules 

and practices at marine cargo handling facility or vessel, and to wear or use the 

safety clothing or protective equipment required by OSHA standards or by the 

employer for the protection of employees.

e. Inspection Procedures.
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 A CSHO shall gain access to a marine terminal by following local security 

measures (see also Section III.E., of this chapter, Security Procedures, for 

more information). When a longshoring operation inspection only involves a 

stevedoring company (i.e., a company that hires longshoring employees) and 

does not involve the marine terminal operator, the CSHO shall go directly to 

the vessel to initiate the inspection. The employer’s representative (such as a 

superintendent, crew leader, supervisor or hatch boss) and a union 

representative (if applicable) will be contacted, and the opening conference 

held. The inspection will usually be limited to the vessel being worked by the 

stevedore. When the stevedore and the terminal operator are the same, an 

inspection of both the terminal and vessel will typically be conducted when 

Federal OSHA has authority.

 A CSHO shall always notify the master of the vessel (i.e., captain) or have the 

stevedore’s representative notify the master prior to performing the walkaround portion of the inspection on a vessel.

f. Inspection Data.

Inspection data is accessible through OSHA’s web page. This “Statistics & Data”

page will allow the user to conduct searches by establishment, Standard 

Identification Classification (SIC) code, North American Industry Classification 

System (NAICS) code, OSHA inspection number, accidents, and frequently cited 

standards. The page also contains links to the Bureau of Labor Statistics (BLS) 

for injury and illness statistics. The NAICS codes that correspond to the marine 

cargo handling industry include, but are not limited to:

 488310 Port and Harbor Operations: This industry comprises 

establishments primarily engaged in operating ports, harbors (including 

docking and pier facilities), or canals;

 488320 Marine Cargo Handling: This industry comprises establishments 

primarily engaged in providing stevedoring and other marine cargo 

handling services (except warehousing);

 483211 Inland Water Freight Transportation: This U.S. industry 

comprises establishments primarily engaged in providing inland water 

transportation of cargo on lakes, rivers, or intracoastal waterways (except 

on the Great Lakes System);

 483111 Deep Sea Freight Transportation: This U.S. industry comprises 

establishments primarily engaged in providing deep sea transportation of 

cargo to or from foreign ports; and

 483113 Coastal and Great Lakes Freight Transportation: Establishments 

primarily engaged in providing coastal and/or Great Lakes barge 

transportation services are included in this industry.

NOTE: A complete list of NAICS codes is available on the U.S. Census 

Bureau website.

g. Multi-employer Worksites.

More than one employer may be liable for a hazardous condition that violates an 

OSHA standard. The process which must be followed in determining whether 

more than one employer is liable for employee safety and health conditions can 

be found in OSHA Instruction CPL 02-00-124, Multi-Employer Citation Policy, 

December 10, 1999. The Regional Solicitor’s Office is available to address 
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issues concerning the application of the multi-employer worksite doctrine after 

approval from the respective Regional Administrator.

4. Applicable Standards.

a. There are separate standards for the two components of marine cargo handling.

 Marine Terminal Standards.

Material handling activities that occur on piers, docks, wharves, and other 

shore-side locations are covered by 29 CFR Part 1917, Marine Terminals 

Standards. (See also the Longshoring Industry “Green Book,” OSHA 

Publication 2232 (2001)).

 Longshoring Standards.

Material handling activities occurring on a vessel are covered by 29 CFR Part 

1918, Longshoring Standards. (See also the Longshoring Industry “Green 

Book,” OSHA Publication 2232 (2001)).

b. General Criteria for Standard Application.

There are often uncertainties as to which part applies. The following are some 

basic “rule-of-thumb” criteria for making a determination concerning standard 

applicability.

 Lifting Devices.

o Use 29 CFR Part 1917 for cranes, derricks, hoists, spouts, etc., 

located on the marine terminal.

o Use 29 CFR Part 1918 for cranes, derricks, hoists, etc., located on the 

vessel.

NOTE: See CPL 02-01-055, Maritime Cargo Gear Standards and 29 

CFR Part 1919 Certification, September 30, 2013.

NOTE: See the third bullet under III.C.4.c, below, if cranes, derricks, 

or hoists are involved in construction activities.

 Work Location.

o 29 CFR Part 1917 applies if the work occurs within a marine terminal

(i.e., on the land-side), including all piers, docks and wharves.

o 29 CFR Part 1918 applies if the work occurs on a vessel (i.e., on the 

water), including the gangway.

NOTE: See in this chapter, Section III.C.4.c. under the third bullet 

below, if cranes, derricks, or hoists are involved in construction activities.

c. Other Applicable Standards.

 Gear Certification – 29 CFR Part 1919.

j. Provides guidance for the approval of OSHA-accredited agencies and criteria for 

Part 1919 agencies to evaluate and issue a certificate (OSHA Form-71 and -72) 

for cargo handling gear onboard vessels and at marine terminals. The 29 CFR 

Part 1919 standards may not be cited by CSHOs. They shall use the appropriate 

29 CFR Part 1917 or 1918 standards to cite hazards. (See 1917.50, 1918.11, and 

1918.66.) (Also see, CPL 02-01-055, Maritime Cargo Gear Standards and 29 

CFR 1919 Certification, September 30, 2013.)

 General Industry Standards – 29 CFR Part 1910.

The only 29 CFR Part 1910 General Industry Standards that are 

applicable to marine terminals and longshoring operations are identified 

in the Scope and Applicability sections of each part. (See 1917.1(a)(2)

and 1918.1(b)).

 Construction Standards – 29 CFR Part 1926.

Apply when:
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o Construction activities occur on marine terminals; or

o Construction materials, equipment and supplies in support of a 

construction project are unloaded, moved, or handled into, in, on, 

or out of any vessel, from shore-to-vessel, from vessel-to-shore, 

or from vessel-to-vessel. (See STD 03-13-002, 29 CFR 

1926.605(a)(1) as Applied to Maritime Construction; July 15, 

1982.)

 Shipyard Employment Standards – 29 CFR Part 1915.

When vessels located at marine terminals are repaired, 29 CFR Part 1915 

Shipyard Employment Standards apply.

5. Marine Cargo Handling References.

There are a number of resources available to assist CSHOs in conducting marine 

cargo handling industry inspections; however, there are three principle references.

a. Longshoring and Marine Terminal “Tool Shed” Directive.

The Longshoring and Marine Terminal “Tool Shed” Directive is the primary 

source of information for all aspects of marine cargo handling industry 

inspections. All maritime industry primary resources that have relevance in the 

marine cargo handling industry can be accessed through the “Tool Shed”

directive via e-Links. The “Tool Shed” directive “One Stop Shopping” concept is 

designed to provide comprehensive information about inspection scheduling, 

conduct of marine cargo handling inspections, alliances, training sources, etc. 

Appendices are provided which cross-reference similar 29 CFR Part 1917 and 

Part 1918 standards and include a question-and-answer section about the 

longshoring and marine terminal standards.

b. Public Maritime Webpage.

OSHA’s public maritime webpage (Maritime Internet) provides access to marine 

cargo handling directives, standards, guidance documents and eTools, as well as:

 Longshoring and Marine Terminals: Fatal Facts – presents 42 written 

scenarios based on actual marine cargo handling fatalities;

 Maritime Outreach Training Programs – includes OSHA’s Maritime 

“Train-the-trainer“ (course #5400), and OSHA’s 10-hour and 30-hour 

Maritime Industry courses;

 MACOSH (Maritime Advisory Committee for OSH) –includes 

upcoming/recent events, background and history, current membership, 

meeting minutes, and MACOSH Federal Register notices;

 Federal Registers pertaining to the maritime industry;

 Maritime crane accreditation and certification program information 

including: an explanation of the program, instructions for the use of the 

OSHA-71 and -72 forms, and a list of agencies accredited under the 29 

CFR Part 1919 program; and 

 Longshoring and Marine Terminal Industries “Flyer.” OSHA Products, 

Information and Guidance (November 2007); also available as a PDF.

c. CSHO Maritime Webpage.

OSHA’s maritime (Intranet) webpage provides CSHOs with the following 

relevant information:

 Marine Cargo Handling Listing – a list of all marine terminals by OSHA 

Region and State (Excel format);

 Marina Listing – a list of all marinas by OSHA Region and State (Excel 

format); 
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 Sea Bag – Provides an all-inclusive list of enforcement resources and 

tools for Compliance Officers to effectively use when conducting safety 

and health inspections within the Maritime Industry; and

 SAVEs (Standard Alleged Violation Elements) for the maritime industry 

standards. SAVEs and associated AVDs (Alleged Violation 

Descriptions) are available on the Intranet for all enforceable Part 1915, 

Part 1917 and Part 1918 standards. The Office of Maritime Enforcement

is responsible for maintaining the maritime SAVEs.

D. Other Marine Activities.

There are a number of other activities that occur on, above, or in water. Although these 

other activities involve water, there are no separate 29 CFR parts that specifically deal 

with them. Rather, the activities are covered by either general industry or construction 

standards.

1. Commercial Diving – 29 CFR Part 1910, Subpart T. (See CPL 02-00-151, 29 CFR 

Part 1910, Subpart T – Commercial Diving Operations, June 13, 2011.)

Diving activities related to shipyard employment are covered by 29 CFR 1915.6

and diving activities related to construction activities are covered by 29 CFR Part 

1926, Subpart Y. Both standards reference 29 CFR Part 1910, Subpart T. 

NOTE: Diving is classified as NAICS code 561990.

2. Commercial Fishing – 29 CFR Part 1910. (See CPL 02-01-047, OSHA Authority 

over Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the Outer 

Continental Shelf (OCS), February 22, 2010.)

Shipyard employment activities for fishing vessels are covered by 29 CFR Part 

1915; marine cargo handling activities for fishing vessels are covered by 29 CFR 

Parts 1917 and 1918.

 Commercial fishing is classified as NAICS codes:

o 114111 Finfish Fishing;

o 114112 Shellfish Fishing; and

o 114119 Other Marine Fishing (Except finfish and shellfish).

3. Marine Construction – 29 CFR Part 1926. (See in particular 29 CFR 1926.605 and 

29 CFR 1926.106.)

Construction activities (e.g., bridge and pier construction, bulkhead construction, 

installation of sewage outfalls) occurring from a vessel are considered marine 

construction and are covered under the 29 CFR Part 1926 Construction Standards.

4. Towboats/Tugboats – 29 CFR Part 1910. (See CPL 02-01-047, OSHA Authority over 

Vessels and Facilities on or Adjacent to U.S. Navigable Waters and the Outer 

Continental Shelf (OCS), February 22, 2010.)

Unless a ship repair or cargo transfer activity is involved with work in the above 

industries, the Shipyard Standards (29 CFR Part 1915), Marine Terminals Standards 

(29 CFR Part 1917), and Longshoring Standards (29 CFR Part 1918) do not apply. 

Normal towboat and tugboat operations are covered by the 29 CFR Part 1910 General 

Industry Standards.

On August 9, 2004, Congress gave the U.S. Coast Guard authority to regulate all 

towing vessels as inspected vessels under 46 U.S.C. 3301; as a general rule, such 

vessels were previously classified as uninspected vessels. The U.S. Coast Guard has 

not yet exercised this authority; thus, towing vessels, remain uninspected vessels. 

Therefore, OSHA will continue to provide safety and health coverage of employees 
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on uninspected towing vessels until the U.S. Coast Guard issues inspected vessel 

regulations for these vessels. 

NOTE: The U.S. Coast Guard is required by 46 CFR 4.07-1 to conduct an 

investigation of all marine casualties or accidents, as defined in 46 CFR 4.03-1, to 

ascertain the cause of the casualty or accident. The mere fact that the U.S. Coast 

Guard is authorized to investigate a marine casualty or accident, or investigates one, 

does not mean that OSHA is preempted from exercising its authority pertaining to 

occupational safety and health.

5. Training Marine Oil Spill Response Workers Under OSHA’s Hazardous Waste 

Operations and Emergency Response Standard, OSHA Publication 3172 (2010).

Training needed for marine oil spill response employees is covered under 29 CFR 

1910.120 – Hazardous waste operations and emergency response (HAZWOPER) and 

explained in OSHA Publication 3172.

OSHA’s website, Keeping Workers Safe During Oil Spill Response and Cleanup 

Operations, compiles safety and health information for workers conducting such 

operations including: multi-lingual fact sheets and guidance documents, oil spill 

training materials, national response system information, and many other additional 

resources relating to oil spills and cleanup operations.

6. Other Regulatory Agencies.

During a maritime inspection, CSHOs may encounter other regulatory agencies such 

as, but not limited to, the: Department of Homeland Security (DHS), including the 

U.S. Coast Guard (USCG) and the Transportation Security Administration (TSA); 

U.S. Army Corps of Engineers (USACE); Department of Transportation (DOT); 

Environmental Protection Agency (EPA); Bureau of Ocean Energy Management, 

Regulation and Enforcement (BOEMRE); Nuclear Regulatory Commission (NRC); 

and Federal Grain Inspection Service (FGIS). CSHOs should contact the Office of 

Maritime Enforcement for any questions regarding coordination and/or jurisdiction 

with other agencies.

E. Security Procedures.

1. Transportation Worker Identification Card (TWIC).

The TWIC program is a Transportation Security Administration (TSA) and U.S. 

Coast Guard initiative. The TWIC program provides a tamper-resistant biometric 

credential to: maritime workers requiring unescorted access to secure areas of port 

facilities, outer continental shelf facilities, and vessels regulated under the Maritime 

Transportation Security Act (MTSA); and all U.S. Coast Guard credentialed 

merchant mariners. An estimated 750,000 individuals require TWICs. 

Question: Do OSHA compliance officers (federal and State) require a TWIC to gain 

access to maritime facilities?

Answer: No, a CSHOs credentials and government identification card are 

equivalent to a TWIC for the purposes of access to and escorting non-TWIC holders 

on maritime facilities (see Redefining Secure Areas and Acceptable Access Control, 

January 7, 2008 and TWIC & Law Enforcement Officials & Other Regulatory 

Agencies, November 21, 2007). Should problems arise, the CSHO should contact the 

local U.S. Coast Guard office (http://homeport.uscg.mil or USCG 2013 Phonebook) 

to obtain resolution and access. Difficulties in obtaining access to maritime facilities 

using CSHO credentials and a government identification card should be reported via 

the Regional Administrator to the Directorate of Enforcement Programs, Office of 

Maritime Enforcement at 202-693-2399.
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2. Photography and Security at U.S. Navy Worksites.

Area Directors should establish a photography and security policy agreement with an 

installation prior to conducting inspections.

The U.S. Navy has advised its shore and afloat (ship) activities that permission is 

granted for Federal OSHA compliance officials to conduct safety and health 

inspections and investigations of U.S. Navy civilian and contractor workplaces. 

CSHOs will be required to present appropriate identifying credentials and a 

government identification card; also, for entry into nuclear, explosive and other 

security sensitive areas, a security clearance may be required. CSHOs shall be 

required to possess appropriate security clearances for entry into areas where the 

workplace is located.

The current U.S. Navy policy prohibits OSHA compliance officials from taking 

photographs. CSHOs may request that photographs of safety and health conditions to 

be taken by U.S. Navy personnel. Any photographs taken by the U.S. Navy will 

initially be classified CONFIDENTIAL, and shall not be delivered to OSHA 

compliance officials until all film, negatives, and photographs have been fully 

screened and censored, as appropriate, in the interest of national security. Also, any 

design or system performance data (e.g., recordings of noise sound level profiles and 

light level readings) shall be screened by the U.S. Navy prior to release to OSHA. 

This process is normally completed within a period of 15 working days from the 

receipt of material by the Naval Sea Systems Command (NAVSEASYSCOM). If 

photos and/or data are not received by the Area Office within 30 working days of 

submission, the Area Office should contact the Office of Maritime Enforcement via 

their Regional Administrator.

Representatives of the U.S. Navy will normally accompany CSHOs at all times 

during the physical inspection of U.S. Navy civilian or contractor workplaces. A 

representative of the contractor(s) and a representative of the employee(s) also may 

accompany the CSHO during the inspection. If there is no authorized employee 

representative, CSHOs may consult with a reasonable number of employees 

(contractors or U.S. Navy civilians) concerning matters of safety and health in the 

pertinent workplace. CSHOs may privately question the contractor(s), contractor 

employee(s), U.S. Navy civilian employee(s), or their authorized representative(s). 

(See chapter 11 in OPNAVINST 5100.23G – Navy Safety and Occupational Health 

(SOH) Program Manual, July 21, 2011.)
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Chapter 11

IMMINENT DANGER, FATALITY, CATASTROPHE, AND 

EMERGENCY RESPONSE

I. Imminent Danger Situations.

A. General.

1. Definition of Imminent Danger. 

Section 13(a) of the OSH Act defines imminent danger as “...any conditions or 

practices in any place of employment which are such that a danger exists which could 

reasonably be expected to cause death or serious physical harm immediately or before 

the imminence of such danger can be eliminated through the enforcement procedures 

otherwise provided by this Act.”

2. Conditions of Imminent Danger. 

The following conditions must be present for a hazard to be considered an imminent 

danger:

a. Death or serious harm must be threatened; AND

b. It must be reasonably likely that a serious accident could occur immediately OR, 

if not immediately, then before abatement would otherwise be implemented.

NOTE: For a health hazard, exposure to the toxic substance or other hazard must 

cause harm to such a degree as to shorten life or be immediately dangerous to life and 

health (IDLH) or cause substantial reduction in physical or mental efficiency or 

health, though the resulting harm may not manifest itself immediately.

B. Pre-Inspection Procedures.

1. Imminent Danger Report Received by the Field. 

a. After the Area Director or designee receives a report of imminent danger, he or 

she will evaluate the inspection requirements and assign a CSHO to conduct the 

inspection.

b. Every effort will be made to conduct the imminent danger inspection on the same 

day that the report is received. In any case, the inspection will be conducted no 

later than the day after the report is received.

c. When an immediate inspection cannot be made, the Area Director or designee 

will contact the employer and obtain as many pertinent details as possible about 

the situation, and attempt to have any employee(s) affected by the imminent 

danger voluntarily removed.

 A record of what steps, if any, that the employer intends to take, to 

eliminate the danger will be included in the case file.

 This notification is considered an advance notice of inspection to be 

handled in accordance with the advance notice procedures described 

below.

2. Advance Notice.

a. §1903.6 authorizes advance notice of an inspection of potential imminent danger 

situations in order to encourage employers to eliminate dangerous conditions as 

quickly as possible.

b. Where an immediate inspection cannot be made after the Area Office is alerted to 

an imminent danger condition and advance notice will speed the elimination of
11-2

the hazard, the Team Leader or CSHO, at the direction of the Area Director, will 

give notice of an impending inspection to the employer.

c. Where advance notice of an inspection is given to an employer, it shall also be 

given to the authorized employee representative, if present. If the inspection is in 

response to a formal Section 8(f)(1) complaint, the complainant will be informed 

of the inspection unless this will cause a delay in speeding the elimination of the 

hazard.

C. Imminent Danger Inspection Procedures.

All alleged imminent danger situations brought to the attention of or discovered by 

CSHOs while conducting any inspection will be inspected immediately. Additional 

inspection activity will take place only after the imminent danger condition has been 

resolved.

1. Scope of Inspection.

CSHOs may consider expanding the scope of an imminent danger inspection based 

on additional hazards discovered or brought to their attention during the inspection.

2. Procedures for Inspection.

a. Every imminent danger inspection will be conducted as expeditiously as possible.

b. CSHOs will offer the employer and employee representatives the opportunity to 

participate in the worksite inspection, unless the immediacy of the hazard makes 

it impractical to delay the inspection in order to afford time to reach the area of 

the alleged imminent danger.

c. As soon as reasonably practicable after discovery of existing conditions or 

practices constituting an imminent danger, the employer shall be informed of 

such hazards. The employer shall be asked to notify affected employees and to 

remove them from exposure to the imminent danger hazard. The employer 

should be encouraged to voluntarily take appropriate abatement measures to 

promptly eliminate the danger.

D. Elimination of the Imminent Danger. 

1. Voluntary Elimination of the Imminent Danger. 

a. How to Voluntarily Eliminate a Hazard.

 Voluntary elimination of the hazard has been accomplished when the 

employer:

o Immediately removes affected employees from the danger area;

o Immediately removes or abates the hazardous condition; and 

o Gives satisfactory assurance that the dangerous condition will remain 

abated before permitting employees to work in the area.

 Satisfactory assurance can be evidenced by:

o After removing the affected employees, immediate corrective action 

is initiated, designed to bring the dangerous condition, practice, 

means or method of operation, or process into compliance, which, 

when completed, would permanently eliminate the dangerous 

condition; or

o A good faith representation by the employer that permanent 

corrective action will be taken as soon as possible, and that affected 

employees will not be permitted to work in the area of the imminent 

danger until the condition is permanently corrected; or

o A good faith representation by the employer that permanent 

corrective action will be instituted as soon as possible. Where 

personal protective equipment can eliminate the imminent danger,
11-3

such equipment will be issued and its use strictly enforced until the 

condition is permanently corrected.

NOTE: Through on-site observations, CSHOs shall ensure that any/all 

representations from the employer that an imminent danger has been 

abated are accurate.

b. Where a Hazard is Voluntarily Eliminated.

If an employer voluntarily and completely eliminates the imminent danger 

without unreasonable delay:

 No imminent danger legal proceeding shall be instituted;

 The Notice of an Alleged Imminent Danger (OSHA-8), does not need to 

be completed;

 An appropriate citation(s) and notice(s) of penalty will be proposed for 

issuance with an appropriate notation on the Violation (OSHA-1B) to 

document corrective actions; and

 CSHOs will inform the affected employees or their authorized 

representative(s) that, although an imminent danger had existed, the 

danger has been eliminated. They will also be informed of any steps 

taken by the employer to eliminate the hazardous condition.

2. Refusal to Eliminate an Imminent Danger.

a. If the employer does not or cannot voluntarily eliminate the hazard or remove 

affected employees from the exposure and the danger is immediate, CSHOs will 

immediately consult with the Area Director or designee and obtain permission to 

post a Notice of an Alleged Imminent Danger (OSHA-8).

b. Area Directors or designees will then contact the Regional Administrator and 

determine whether to consult with the RSOL to obtain a Temporary Restraining 

Order (TRO).

c. The employer will be advised that Section 13 of the OSH Act gives United States 

district courts the authority to restrain any condition or practice that poses an 

imminent danger to employees.

NOTE: The Agency has no authority to order the closing of a worksite or to 

order affected employees to leave the area of the imminent danger or the 

workplace.

d. CSHOs will notify affected employees and the employee representative that a

Notice of an Alleged Imminent Danger (OSHA-8) has been posted and will advise 

them of the Section 11(c) discrimination protections under the OSH Act. 

Employees will be advised that they have the right to refuse to perform work in 

the area where the imminent danger exists.

e. The Area Director or designee and the Regional Administrator, in consultation 

with the RSOL, will assess the situation and, if warranted, make arrangements for 

the expedited initiation of court action, or instruct the CSHO to remove the 

Notice of an Alleged Imminent Danger (OSHA-8). 

3. When Harm Will Occur Before Abatement is Required.

a. If CSHOs have clear evidence that harm will occur before abatement is required 

(i.e., before a final order of the Commission in a contested case or before a TRO 

can be obtained), they will confer with the Area Director or designee to determine 

a course of action.

NOTE: In some cases, the evidence may not support the finding of an 

imminent danger at the time of the physical inspection, but rather after further 

evaluation of the case file or presence of additional evidence.
11-4

b. As appropriate, an imminent danger notice may be posted at the time citations are 

delivered or even after the notice of contest is filed.

II. Fatality and Catastrophe Investigations.

A. Definitions.

1. Fatality.

Fatality is an employee death resulting from a work-related incident or exposure; in 

general, from an injury or an illness caused by or related to a workplace hazard.

2. Catastrophe.

Catastrophe is the hospitalization of three or more employees resulting from a workrelated incident or exposure; in general, from an injury or an illness caused by a 

workplace hazard.

NOTE: OSHA Area Offices will determine the inspection priority of a 

catastrophe using the Memorandum entitled, “Interim Enforcement Procedures for 

New Reporting Requirements under 29 C.F.R. 1904.39”, dated December 24, 2014, 

or unless superseded by future agency-approved correspondence.

3. Hospitalization.

In-patient hospitalization is the formal admission to the inpatient service of a hospital 

or clinic for care or treatment. It excludes admission for diagnostic testing or 

observation only.

4. Incident Requiring a Coordinated Federal Response.

An incident involving multiple fatalities, extensive injuries, massive toxic exposures, 

extensive property damage, or one that presents potential employee injury and 

generates widespread media interest.

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related fatalities, 

hospitalizations, amputations or losses of an eye. The new rule, which also updates the 

list of employers partially exempt from OSHA record-keeping requirements, went into 

effect on January 1, 2015, for workplaces under federal OSHA jurisdiction. (See 79 FR 

56129, Occupational Injury and Illness Recording and Reporting Requirements – NAICS 

Update and Reporting Revisions, September 18, 2014.)

B. Initial Report.

1. The Fatality/Catastrophe Form (FAT/CAT) is a pre-inspection form that must be 

completed for all fatalities or catastrophes unless knowledge of the event occurs 

during the course of an inspection at the establishment involved. The purpose of the 

FAT/CAT (OSHA-36) is to provide OSHA with enough information to determine 

whether or not to investigate the event. It is also used as a research tool by OSHA 

and other agencies.

2. If, after the initial report, the Area Office becomes aware of information that affects 

the decision to investigate, the FAT/CAT (OSHA-36) should be updated. If the 

additional information does not affect the decision to investigate, or the investigation 

has been initiated or completed, the FAT/CAT (OSHA-36) need not be updated. After 

updating the FAT/CAT (OSHA-36), it should be resubmitted to the National Office.

3. See additional details on completing the FAT/CAT (OSHA-36) in Section II.I., of this 

chapter, Recording and Tracking for Fatality/Catastrophe Inspections.

C. Investigation Procedures.

1. All fatalities and catastrophes will be thoroughly investigated in an attempt to 

determine the cause of the event, whether a violation of OSHA safety and health 

standards, regulations, or the general duty clause occurred, and any effect the 

violation had on the incident. Each Regional Administrator will establish a procedure 
11-5

to ensure that each fatality or catastrophe is thoroughly investigated and processed in 

accordance with established policy.

2. The investigation should be initiated as soon as possible after receiving an initial 

report of the incident, ideally within one working day, by an appropriately trained and 

experienced compliance officer assigned by the Area Director or designee. The Area 

Director or designee determines the scope of the fatality/ catastrophe investigation. 

All investigations must be completed in an expeditious manner.

3. Inspections following fatalities or catastrophes should include video recording as a 

method of documentation and gathering evidence when appropriate. The use of 

photography is also encouraged in documenting and gathering evidence.

4. As in all inspections, under no circumstances should OSHA personnel conducting 

fatality/catastrophe investigations be unprotected against a hazard encountered during 

the course of an investigation. OSHA personnel must use appropriate personal 

protective equipment and take all necessary precautions to avoid and/or prevent 

occupational exposure to potential hazards that may be encountered.

D. Interview Procedures.

1. Identify and Interview Persons.

a. Identify and interview all persons with firsthand knowledge of the incident, 

including first responders, police officers, medical responders, and management, 

as early as possible in the investigation. The sooner a witness is interviewed, the 

more accurate and candid the witness statement will be.

b. If an employee representative is actively involved in the inspection, he or she can 

serve as a valuable resource by assisting in identifying employees who might 

have information relevant to the investigation.

c. Conduct employee interviews privately, outside the presence of the employer. 

Employees are not required to inform their employer that they provided a 

statement to OSHA.

d. When interviewing:

 Properly document the contact information of all parties because follow-up 

interviews with a witness are sometimes necessary.

 When appropriate, reduce interviews to writing and have the witness sign the 

document. Transcribe video and audio recorded interviews and have the 

witness sign the transcription.

 Read the statement to the witness and attempt to obtain agreement. Note any 

witnesses’ refusal to sign or initial his/her statement.

 Ask the interviewee to initial any changes or corrections made to his/her 

statement.

 Advise interviewee of OSHA whistleblower protections.

e. See Chapter 3, Inspection Procedures, for additional information on conducting 

interviews.

2. Informer’s Privilege.

a. The informer’s privilege allows the government to withhold the identity of 

individuals who provide information about the violation of laws, including OSHA 

rules and regulations. The identity of witnesses will remain confidential to the 

extent possible. However, inform each witness that disclosure of his/her identity 

may be necessary in connection with enforcement or court actions.

b. The informer’s privilege also protects the contents of statements to the extent that 

disclosure would reveal the witness’ identity. When the contents of a statement 

will not disclose the identity of the informant (i.e., statements that do not reveal 
11-6

the witness’ job title, work area, job duties, or other information that would tend 

to reveal the individual’s identity), the privilege does not apply and such 

statements may be released.

c. Inform each witness that his/her interview statements may be released if he or she 

authorizes such a release or if he or she voluntarily discloses the statement to 

others, resulting in a waiver of the privilege.

d. Inform witnesses in a tactful and nonthreatening manner that making a false 

statement to a CSHO during the course of an investigation could be a criminal 

offense. Making a false statement, upon conviction, is punishable by a fine of up 

to $10,000 or six months in jail, or both.

E. Investigation Documentation.

Document all fatality and catastrophe investigations thoroughly.

1. Personal Data – Victim.

Potential items to be documented include: Name; Address; Email address; 

Telephone; Age; Sex; Nationality; Job Title; Date of Employment; Time in Position; 

Job being done at the time of the incident; Training for job being performed at the 

time of the incident; Employee deceased/injured; Nature of injury – fracture, amputation, etc.; and Prognosis of injured employee.

2. Incident Data.

Potential items to be documented include: How and why did the incident occur; the 

physical layout of the worksite; sketches/ drawings; measurements; 

video/audio/photos to identify sources, and whether the accident was work-related.

3. Equipment or Process Involved.

Potential items to be documented include: Equipment type; Manufacturer; Model; 

Manufacturer’s instructions; Kind of process; Condition; Misuse; Maintenance 

program; Equipment inspection (logs, reports); Warning devices (detectors); Tasks 

performed; How often equipment is used; Energy sources and disconnecting means 

identified; and Supervision or instruction provided to employees involved in the 

incident.

4. Witness Statements.

Potential witnesses include: the Public; Fellow employees; Management; Emergency 

responders (e.g., police department, fire department); and Medical personnel (e.g., 

medical examiner).

5. Safety and Health Program.

Potential questions include: 

 Does the employer have a safety and/or health program? 

 Does the program address the type of hazard that resulted in the 

fatality/catastrophe? 

 How are the elements of the program specifically implemented at the 

worksite?

6. Multi-Employer Worksite.

Describe the contractual and in practice relationships of the employer with the other 

employers involved with the work being performed at the worksite.

7. Records Request.

Potential records include: Disciplinary Records; Training Records; and Next of Kin 

information.

NOTE: Next of kin information should be gathered as soon as possible to ensure 

that condolence letters can be sent in a timely manner.

F. Potential Criminal Penalties in Fatality and Catastrophe Cases.
11-7

1. Criminal Penalties.

a. Section 17(e) of the OSH Act provides criminal penalties for an employer who is 

convicted of having willfully violated an OSHA standard, rule or order when the 

violation results in the death of an employee. However, Section 17(e) does not 

apply to violations of the general duty clause. When there are violations of an 

OSHA standard, rule or order, or a violation of the general duty clause, criminal 

provisions relating to false statements and obstruction of justice may also be 

relevant.

b. The circumstances surrounding all occupationally-related fatalities will be 

evaluated to determine whether the fatality was caused by a willful violation of a 

standard, thus creating the basis for a possible criminal referral. The evidence 

obtained during a fatality investigation is of paramount importance and must be 

carefully gathered and considered.

c. Early in the investigation, the Area Director or designee, in consultation with the 

investigator, should make an initial determination as to whether there is potential 

for a criminal violation. The decision will be based on consideration of the 

following:

 A fatality has occurred.

 There is evidence that an OSHA standard has been violated and that the 

violation contributed to the death.

 There is reason to believe that the employer was aware of the 

requirements of the standard and knew it was in violation of the standard, 

or that the employer was plainly indifferent to employee safety.

 If the Regional Administrator agrees with the Area Director or designee’s 

assessment of the case, the Regional Administrator will notify the RSOL 

at the discretion of the Regional Administrator and the Area Director or 

designee, and dependent upon Regional procedures in place, a Regional 

team or trained criminal investigator may assist in or perform portions of 

an investigation.

 When there is a potential criminal referral in a case, it is essential that the 

Regional Administrator and/or the Area Director involve the RSOL’s 

Office in the early stages of the investigation particularly during the 

evidence-gathering process.

2. Additional Prosecution.

In addition to criminal prosecution under Section 17(e) of the OSH Act, employers 

may face prosecution under a number of other sections of the United States Code, 

including, but not limited to:

a. Crimes and Criminal Procedures, for actions such as conspiracy, making false 

statements, fraud, obstruction of justice, and destruction, alteration or 

falsification of records during a federal investigation.

b. The Clean Water Act.

c. The Clean Air Act.

d. The Resource Recovery and Conservation Act (RCRA).

e. The Comprehensive Environmental Response, Compensation, and Liability 

Act (CERCLA).

3. Procedures for Criminal Referral.

When a case is forwarded from the Regional Office to the RSOL for criminal review,

advise the Director of Enforcement Programs (or, when appropriate, the Director of 
11-8

Construction Programs). Provide follow-up reports to indicate any subsequent 

actions.

G. Families of Victims.

1. Contacting Family Members.

Family members of employees involved in fatal or catastrophic occupational injuries 

or illnesses shall be contacted early in the investigation and given the opportunity to 

discuss the circumstances of the injury or illness. OSHA staff contacting family 

members must exercise tact and good judgment in their discussions.

See CPL 02-00-153, Communicating OSHA Fatality Inspection Procedures to a 

Victim’s Family, dated April 17, 2012, for additional information.

2. Information Letter.

The standard information letter will normally be sent to the individual(s) listed as the 

emergency contact on the victim’s employment records (if available) and/or the 

otherwise determined next of kin within 5 working days of determining the victim’s 

identity and verifying the proper address where communications should be sent.

NOTE: In some circumstances, it may not be appropriate to follow these exact 

procedures; i.e., in the case of a small business, the owner or supervisor may be a 

relative of the victim. Modify the form letter to take into account any special 

circumstances or do not send the letter, as appropriate. 

3. Letter to Victim’s Emergency Contact.

In addition to the standard information letter sent by the Area Director or designee, 

the Assistant Secretary also sends a letter to the victim’s emergency contact or 

otherwise verifiable next of kin.

Effectively immediately, all Area Offices must send a brief two to three sentence 

description of the incident that resulted in the fatality. This description should be sent 

via email and accompany the Assistant Secretary next of kin letter when it is 

transmitted to the national office.

In cases presenting language concerns, the Area Office should inquire as to the 

primary language of the next of kin. If it has been verified that the primary language 

of the next of kin is Spanish and not English, the Area Office will advise the national 

office concerning this and specify that a Spanish language letter should also be sent.

Additionally, in situations where it is not immediately possible to determine the 

primary language of the next of kin recipient of the fatality letter, or in instances 

where it has been determined that a primary language other than English or Spanish is 

spoken by the next of kin this should also be communicated to the national office. 

Unofficial translation of the fatality letter into other languages may be available.

The national office will send a Spanish language letter in addition to the English 

letter for Spanish-speaking next of kin recipients. All foregoing information relative 

to language concerns should be sent via email and accompany the Assistant Secretary 

next of kin letter when it is transmitted to the national office.

4. Interviewing the Family.

a. When taking a statement from families of the victim(s), explain that the interview 

will be handled following the same procedures as those in effect for witness 

interviews. Sensitivity and professionalism are required during these interviews. 

Carefully evaluate the information received and attempt to corroborate it during 

the investigation.

b. Maintain follow-up contact with key family members or other contact persons so 

that these parties can be kept up-to-date on the status of the investigation. 

Provide family members or their legal representatives with a copy of all citations, 
11-9

subsequent settlement agreements or Review Commission decisions as these are 

issued, or as soon thereafter as possible. However, such information will only be 

provided to family members after it has been provided to the employer.

c. The releasable portions of the case file will not be made available to family 

members until after the contest period has passed and no contest has been filed. 

If a contest is filed, the case file will not be made available until after the 

litigation is completed. Additionally, if a criminal referral is under consideration 

or has been made, the case file may not be released to the family. Notify the 

family of these policies and inform them that this is necessary so that any 

potential litigation is not compromised.

5. Post-Inspection Communications [With Next of Kin].

After the inspection, OSHA will make every effort to contact the next of kin via 

telephone to explain findings, address any questions and give the family an 

opportunity to provide input. Depending on the case, OSHA may issue a press 

release. If a press release is planned, OSHA will make every attempt to notify the 

family by telephone before the information is released to the public. OSHA will also 

provide a copy of the press release to the family.

H. Public Information Policy.

OSHA’s public information policy regarding response to fatalities and catastrophes is to 

explain the Federal presence to the news media; not to issue periodic updates on the 

progress of the investigation. The Area Director and his or her designee normally will 

handle response to media inquiries.

I. Recording and Tracking for Fatality/Catastrophe Investigations.

1. Fatality/Catastrophe Form (FAT/CAT).

The FAT/CAT (OSHA-36) is a pre-inspection form that must be completed for all 

fatalities and catastrophes unless knowledge of the event occurs during the course of 

an inspection at the establishment involved. Processing of the FAT/CAT (OSHA-36)

shall be as follows:

a. The Area Office will complete and enter into OIS a FAT/CAT (OSHA-36) for all 

fatalities and catastrophes as soon as possible after learning of the event. As 

much information as is known at the time of the initial report should be provided; 

however, all items on the FAT/CAT (OSHA-36) need not be completed at the time 

of this initial report. Wherever possible, the age of the victim(s) should be 

provided, because this information is used for research by OSHA and other 

agencies.

b. If additional information relating to the event becomes available that affects the 

decision to investigate, the FAT/CAT (OSHA-36) should be updated.

c. In addition, the Regional Administrator will contact the Deputy Director of 

Enforcement Programs (or Construction, as appropriate) to ensure prompt 

notification of the National Office of major events, such as those likely to 

generate significant public or congressional interest.

2. Investigation (OSHA-170).

a. The Investigation (OSHA-170) is used to summarize the results of investigations 

of all events that involve fatalities, catastrophes, amputations, hospitalizations of 

two or more days, have generated significant publicity, and/or have resulted in 

significant property damage. An Investigation (OSHA-170) must be opened, 

logged into OIS, and saved as final as soon as the agency becomes aware of a 

workplace fatality and determines that it is within its jurisdiction, even if most of 
11-10

the data fields are left blank. The information on this form enables the Agency to 

track fatalities and summarizes circumstances surrounding the event.

NOTE: The two-day hospitalization criterion is a cutoff to preclude completing 

an Investigation (OSHA-170) for events that may not be serious. There is no 

relationship between this criterion and the definition of hospitalization in Section 

II.A., of this chapter, Definitions.

b. For fatality/catastrophe investigations, the Investigation (OSHA-170) will be:

 Opened in OIS at the beginning of the investigation and saved as final, even if 

most of the data fields are left blank, so that the Agency can track 

fatality/catastrophe investigations in a close to “real time” fashion.

 Modified as needed during the investigation to account for updated 

information.

 Updated with all data fields completely and accurately completed at the 

conclusion of the investigation, including a thorough narrative description of 

the incident.

c. The Investigation (OSHA-170) narrative should not be a copy of the summary 

provided on the FAT/CAT (OSHA-36) pre-inspection form. The narrative must 

comprehensively describe the characteristics of the worksite; the employer and its 

relationship with other employers, if relevant; the employee task/activity being 

performed; the related equipment used; and other pertinent information in enough 

detail to provide a third party reader of the narrative with a mental picture of the 

fatal incident and the factual circumstances surrounding the event.

d. In addition, a single fatality or catastrophe event shall normally result in only one 

fatality [catastrophe] inspection of the employer of the deceased employee(s) 

[injured employees], but one event at a multi-employer work site may possibly 

lead to one or more unprogrammed- related inspection(s) of other involved 

employers. The exception to this would occur if an event involves multiple 

fatalities of workers of two or more employers, resulting in more than one fatality 

inspection.

EXAMPLE 11-1: A fatality occurs in employer’s facility in August. Both a 

safety and health inspection are initiated. One Investigation (OSHA-170) should 

be filed to summarize the results of the inspections that resulted from the August 

fatality. However, in September, while the employer’s facility is still undergoing 

the inspections, a second fatality occurs. In this case, a second Investigation 

(OSHA-170) should be submitted for the second fatality and an additional 

inspection should be opened. 

3. Immigrant Language Questionnaire (IMMLANG).

a. The IMMLANG Questionnaire is designed to allow the Agency to track fatalities 

among Spanish-speaking and other immigrant employees and to assess the impact 

of potential language barriers and training deficiencies on fatal incidents. 

Information for this questionnaire should be collected as early in the investigation 

as possible, as the availability of immigrant workers for questioning later in the 

process is often uncertain.

b. The IMMLANG Questionnaire shall be completed before the conclusion of a 

fatality investigation according to the procedures outlined in the Memorandum on 

Change to the Interim Procedure for Fatality Investigations (IMMLANG), for 

Regional Administrators from R. Davis Layne, Deputy Assistant Secretary, dated 

December 16, 2003. It should be completed only if “IMMLANG-Y” is indicated 
11-11

on the Inspection (OSHA-1) (N-10 Additional Codes). The Questionnaire is not 

to be completed if “IMMLANG-N” is indicated on the Inspection (OSHA-1).

c. The IMMLANG Questionnaire shall be submitted via OIS. A copy of the 

completed questionnaire should be printed and placed in the case file.

4. Related Event Code (REC).

The Violation (OSHA-1B) provides specific supplemental information documenting 

hazards and violations. If any item cited is directly related to the occurrence of the 

fatality or catastrophe, select FAT/CAT/Accident. If multiple related event codes 

apply, the only code that has priority over relation to a fatality/catastrophe is 

imminent danger.

J. Pre-Citation Review.

1. Because cases involving a fatality may result in civil or criminal enforcement actions, 

the Area Director is responsible for reviewing all fatality and catastrophe 

investigation case files to ensure that the case has been properly developed and 

documented in accordance with the procedures outlined here.

2. The Area Director is responsible for ensuring that an Investigation (OSHA-170) is 

reported to OIS for each incident (see Section II.I.2., of this chapter, Investigation 

(OSHA-170)).

3. Review all proposed violation-by-violation penalties in accordance with CPL 02-00-

080, Handling of Cases to be Proposed for Violation-by-Violation Penalties, dated 

October 21, 1990.

4. Review citations covered by Regional OSHA/SOL workload agreements in 

accordance with those agreements.

5. Each Regional Administrator should establish a procedure to ensure that each fatality 

or catastrophe is thoroughly investigated and processed in accordance with 

established policy.

K. Post-Citation Procedures/Abatement Verification.

The regulation governing abatement verification is found at §1903.19, and OSHA’s 

enforcement policies and procedures for this regulation are outlined in Chapter 7, PostCitation Procedures and Abatement Verification.

1. Due to the transient nature of many of the worksites where fatalities occur and 

because the worksite may be destroyed by the catastrophic event, it is frequently 

impossible to conduct follow-up inspections. In such cases, the Area Director should 

obtain abatement verification from the employer, along with an assurance that 

appropriate safety and health programs have been implemented to prevent the 

hazard(s) from recurring.

2. While site closure due to the completion of the cited project is an acceptable method 

of abatement, it can only be accepted as abatement without certification where a 

CSHO directly verifies that closure; otherwise, certification by the employer is 

required. Follow-up inspections need not be conducted if the CSHO has verified 

abatement during the inspection or if the employer has provided other proof of 

abatement.

3. Where the worksite continues to exist, OSHA will normally conduct a follow-up 

inspection if serious citations have been issued.

4. Include abatement language and safety and health system implementation language in 

any subsequent settlement agreement.

5. If there is a violation that requires abatement verification, field 22 on the Violation 

(OSHA-1B) must be completed with the date of abatement verified.
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6. If the case is a Severe Violator Enforcement Program (SVEP) case, follow-up 

inspections will be conducted in accordance with OSHA Instruction CPL 02-00-149,

Severe Violator Enforcement Program (SVEP), June 18, 2010. Follow-up 

inspections will normally be conducted even if abatement of cited violations has been 

verified through abatement verification.

L. Audit Procedures.

The following procedures will be implemented to evaluate compliance with, and the 

effectiveness of, fatality/catastrophe investigation procedures:

1. Regional Offices will incorporate the review and analysis of fatality/catastrophe files 

into their audit functions and include their findings in the regular audit reports to the 

National Office. The review and analysis will use random case files to address the 

following:

a. Inspection Findings.

Ensure that hazards have been appropriately addressed and violations have been 

properly classified. Also ensure that criminal referrals are made when 

appropriate.

b. Documentation.

Ensure that the Investigation (OSHA-170) narrative and data fields and the 

Violation (OSHA-1B) narrative have been completed accurately and detailed 

enough to allow for analysis at the national level of the circumstances of fatal 

incidents. Ensure that the IMMLANG Questionnaire is completed, if relevant.

c. Construction Fatalities.

Ensure that the case file has been copied and forwarded to the University of 

Tennessee in accordance with the Memoranda on Construction Fatality Case 

Study, Reasons and Methodology, for Regional Administrators from H. Berrien 

Zettler, Deputy Director, D.O.C. (via email), regarding transmittal of information 

on construction fatalities to the University of Tennessee, dated September 12 &

13, 2000 and a Memorandum on Construction Fatality Investigation Case Files, 

for Regional Administrators from R. Davis Layne, Deputy Assistant Secretary, 

regarding transmittal of information on construction fatalities to the University of 

Tennessee, dated May 14, 2003 and February 18, 2004.

d. Settlement Terms.

Ensure that settlement terms are appropriate, including violation reclassification, 

penalty reductions, and additional abatement language.

e. Abatement Verification.

Ensure that abatement verification has been obtained.

f. OIS Reports.

Review OIS reports to identify any trends or cases that may indicate that a further 

review of those cases may be necessary.

M. Relationship of Fatality and Catastrophe Investigations to Other Programs and Activities.

1. Homeland Security.

OSHA’s National Emergency Management Plan (NEMP), as contained in HSO 01-

00-001, dated December 18, 2003, clarifies the procedures and policies for OSHA’s 

National Office and Regional Offices during responses to incidents of national 

significance. Generally, OSHA will provide technical assistance and consultation in 

coordinating the protection of response worker and recovery worker safety and 

health. When the President makes an emergency declaration under the Stafford Act, 

the National Response Framework (NRF) is activated. The NEMP can then be 

activated by the Assistant Secretary, the Deputy Assistant Secretary, or by request 
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from a Regional Administrator. Whether OSHA will conduct a formal fatality or 

catastrophe investigation in such a situation will be determined on a case-by-case 

basis.

2. Severe Violator Enforcement Program.

a. Inspections that result in citations being issued for at least one of the following 

are considered Severe Violator Enforcement Program (SVEP) cases:

 A fatality/catastrophe inspection in which OSHA finds one or more willful or 

repeated violations or failure-to-abate notices based on a serious violation 

related to a death of an employee or three or more hospitalizations;

 An inspection in which OSHA finds two or more willful or repeated 

violations or failure-to-abate notices (or any combination of these 

violations/notices), based on high gravity serious violations related to a HighEmphasis Hazard as defined in Section XII., of OSHA Instruction CPL 02-

00-149, Severe Violator Enforcement Program (SVEP), June 18, 2010;

 An inspection in which OSHA finds three or more willful or repeated 

violations or failure-to-abate notices (or any combination of these 

violations/notices), based on high gravity serious violations related to hazards 

due to the potential release of a highly hazardous chemical, as defined in the 

PSM standard; or 

 All egregious (e.g., per-instance citations) enforcement actions. 

b. In such cases, the instructions outlined in OSHA Instruction CPL 02-00-149, 

Severe Violator Enforcement Program (SVEP), June 18, 2010, shall be followed 

to ensure that the proper measures are taken regarding classification, coding and 

treatment of the case.

NOTE: See Memorandum entitled, “Inclusion of Upstream Oil and Gas 

Hazards to the High-Emphasis Hazards in the Severe Violator Enforcement 

Program (SVEP)”, dated February 11, 2015, for policy relating to the addition of 

upstream oil and gas hazards to the list of High-Emphasis Hazards in the Severe 

Violator Enforcement Program (SVEP).

3. Significant Enforcement Cases.

Significant enforcement cases are defined as inspection cases with initial proposed 

penalties over $100,000 or which involve novel enforcement issues, including federal 

agency cases, regardless of penalty. An inspection resulting from an employee 

fatality or a workplace catastrophe may well be a significant enforcement case and, 

therefore, particularly thorough documentation is necessary to sustain legal 

sufficiency. (See Memorandum entitled, “Clarification of September 27, 2012 Memo 

on Significant Case Procedures.”) 

4. Special Emphasis Programs.

If a fatality or catastrophe investigation arises at an establishment that is also in the 

current inspection cycle to receive a programmed inspection under any Site-Specific 

Targeting program, the investigation and the inspection may be conducted either 

concurrently or separately.

5. Cooperative Programs. 

If a fatality or catastrophe occurs at a worksite operating under OSHA’s Voluntary 

Protection Program (VPP), the OSHA Strategic Partnership Program (OSPP) site, or 

OSHA’s Safety and Health Achievement Recognition Program (SHARP), the 

Regional VPP Manager, OSPP Coordinator, or Consultation Project Manager, as well 

as the Director of the Directorate of Cooperative and State Programs, should be 

notified. When enforcement activity has concluded, the Regional VPP Manager, 
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OSPP Coordinator, or Consultation Project Manager should be informed so that the 

site can be reviewed for program issues.

N. Special Issues Related to Workplace Fatalities.

1. Death by Natural Causes.

Workplace fatalities that are attributed to natural causes, including heart attacks, must 

be reported by the employer. The Area Director will then decide whether to 

investigate the incident.

2. Workplace Violence.

As with heart attacks, fatalities caused by incidents of workplace violence must be 

reported to OSHA by the employer. The Area Director or designee will determine 

whether or not the incident will be investigated.

3. Motor Vehicle Incidents.

a. OSHA does not require reporting injuries including motor vehicles that occur on 

public roads or highways, unless the incident occurs in a construction work zone.

b. Although employers who are required to keep records must record such vehicle 

incidents in their OSHA-300 Log of Work-Related Injuries and Illnesses, OSHA 

does not investigate such events. (See §1904.39(b)(3).)

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related 

fatalities, hospitalizations, amputations or losses of an eye. The new rule, which 

also updates the list of employers partially exempt from OSHA record-keeping 

requirements, went into effect on January 1, 2015, for workplaces under federal 

OSHA jurisdiction. (See 79 FR 56129, Occupational Injury and Illness 

Recording and Reporting Requirements – NAICS Update and Reporting 

Revisions, September 18, 2014.)

III. Rescue Operations and Emergency Response.

A. OSHA’s Authority to Direct Rescue Operations.

1. Direction of Rescue Operations.

OSHA has no authority to direct rescue operations. These are the responsibility of 

the employer and/or local political subdivisions or state agencies.

2. Monitoring and Inspecting Working Conditions of Rescue Operations.

OSHA may monitor and inspect working conditions of covered employees engaged

in rescue operations to ensure compliance with standards that protect rescuers, and to 

provide technical assistance where appropriate.

B. Voluntary Rescue Operations Performed by Employees.

OSHA recognizes that an employee may choose to place himself/herself at risk to save 

the life of another person. The following provides guidance on OSHA citation policy 

toward employers whose employees perform, or attempt to perform, rescues of 

individuals in life-threatening danger.

1. Imminent Danger.

§1903.14(f) provides that no citation may be issued to an employer because of a 

rescue activity undertaken by an employee of that employer when an individual is in 

imminent danger [i.e., the existence of any condition or practice that could reasonably 

be expected to cause death or serious physical harm before such condition or practice 

can be abated] unless:

a. Such employee is designated or assigned by the employer to have responsibility 

to perform or assist in rescue operations,

AND
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the employer fails to provide protection of the safety and health of such 

employee, including failing to provide appropriate training and rescue equipment;

or

b. Such employee is directed by the employer to perform rescue activities in the 

course of carrying out the employee’s job duties, 

AND

the employer fails to provide protection of the safety and health of such 

employee, including failing to provide appropriate training and rescue equipment; 

or

c. Such employee is employed in a workplace that requires the employee to carry 

out duties that are directly related to a workplace operation where the likelihood 

of life-threatening events is foreseeable, such as operations where employees are 

located in confined spaces or trenches, handle hazardous waste, respond to 

emergency situations, perform excavations, or perform construction over water;

AND

such employee has not been designated or assigned to perform or assist in rescue 

operations and voluntarily elects to rescue such an individual;

AND

the employer has failed to instruct employees not designated or assigned to 

perform or assist in rescue operations of the arrangements for rescue, not to 

attempt rescue, and of the hazards of attempting rescue without adequate training 

or equipment.

2. Citation for Voluntary Actions.

If an employer has trained his or her employees in accordance with §1903.14, no 

citation will be issued for an employee’s voluntary rescue actions, regardless of 

whether they are successful.

C. Emergency Response.

1. Role in Emergency Operations.

While it is OSHA’s policy to respond as quickly as possible to significant events that 

may affect the health or safety of employees, the agency does not have authority to 

direct emergency operations.

2. Response to Catastrophic Events (Note: these are not OSH Act requirements).

OSHA responds to catastrophic events promptly and acts as an active and forceful 

protector of employee safety and health during the response, cleanup, removal, 

storage, and investigation phases of these incidents, while maintaining a visible but 

limited role during the initial response phase.

3. OSHA’s Role.

a. For inspections of an ongoing emergency response or post-emergency response 

operation where there has been a catastrophic event, or where OSHA is acting 

under the National Emergency Management Plan (NEMP), Regional 

Administrators will determine the overall role that OSHA will play. See CPL 02-

02-073, Inspection Procedures for 29 CFR 1910.120 and 1926.65, Paragraph 

(q): Emergency Response to Hazardous Substance Releases, dated August 27, 

2007.

b. During an event that is covered by the NEMP, OSHA has a responsibility and 

authority to both enforce its regulations and provide technical advice and 

assistance to the federal on-scene coordinator. If such an event occurs in a State 
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Plan State, OSHA will coordinate with the State Plan agency to ensure agency’s 

involvement in the response.

c. For details on OSHA’s response to occupationally-related incidents involving 

multiple fatalities, extensive injuries, massive toxic exposures, extensive property 

damage, or potential worker injury that generates widespread media interest. See 

CPL 02-00-094, OSHA Response to Significant Events of Potentially 

Catastrophic Consequences, dated July 22, 1991.

4. Incidents of National Significance.

For detailed instructions on how to proceed during incidents of national significance 

when OSHA has been designated as the primary federal agency for the coordination 

of technical assistance and consultation for emergency response and recovery worker 

health and safety, and the Assistant Secretary has activated the National Emergency 

Response Plan, see HSO 01-00-001 National Emergency Management Plan, dated 

December 18, 2003, and the National Response Framework (Worker Safety and 

Health Support Annex). 

NOTE: These documents apply when activated.
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Chapter 12

SPECIALIZED INSPECTION PROCEDURES

I. Multi-Employer Workplace/Worksite [Reserved].

See CPL 02-00-124, Multi-Employer Citation Policy, dated December 10, 1999.

II. Temporary Labor Camps.

A. Introduction.

29 CFR 1910.142, the Temporary Labor Camp standard, is applicable to both agricultural 

and non-agricultural workplaces. 

B. Definitions.

NOTE: §1910.142 does not contain a definition section. The following definitions 

reflect OSHA’s interpretation of the standard.

1. Temporary.

The term temporary in §1910.142 refers to employees who enter into an employment 

relationship for a discrete or defined time period. As a result, the term temporary

refers to the length of employment, and not to the physical structures housing 

employees.

2. Temporary Labor Camp Housing.

Temporary labor camp housing is required employer-provided housing that, due to 

company policy or practice, necessarily renders such housing a term or condition of 

employment. See Frank Diehl Farms v. Secretary of Labor, 696 F.2d 1325 (11th Cir. 

1983).

3. New Construction.

All agriculture housing construction started on or after April 3, 1980, including 

totally new structures and additions to existing structures, will be considered new 

construction. Cosmetic remodeling work on pre-1980 structures will not be 

considered new construction and should be treated as existing housing. 

C. Wage & Hour/OSHA Shared Authority Under Secretary’s Order.

Pursuant to a Secretary’s Order, the Wage & Hour Division (WHD) of the Employment 

Standards Administration (ESA) has shared authority with OSHA over the Temporary 

Labor Camp standard (§1910.142). See Delegation of Authorities and Assignment of 

Responsibilities to the Assistant Secretary for Employment Standards and Other Officials 

in the Employment Standards Administration (Federal Register, January 2, 1997 (62 FR 

107)) and Secretary’s Order 5-2002: Delegation of Authority and Assignment of 

Responsibility to the Assistant Secretary for Occupational Safety and Health, Federal 

Register, October 22, 2002 (67 FR 65007).

1. Enforcement Authority.

a. WHD Responsibility.

WHD has enforcement authority with respect to any agricultural establishment 

where employees are engaged in “agricultural employment” within the meaning 

of the Migrant and Seasonal Agricultural Worker Protection Act, 29 U.S.C. 

1802(3), regardless of the number of employees, including employees engaged in 

hand packing of produce into containers, whether done on the ground, on a 

moving machine, or in a temporary packing shed. See Appendix A, Section
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4.a.2., of ADM 01-00-003, Redelegation of Authority and Responsibility of the 

Assistant Secretary for Occupational Safety and Health, dated March 6, 2003.

b. OSHA Responsibility.

OSHA retains enforcement authority over temporary labor camps for egg, 

poultry, red meat production, post-harvesting processing of agricultural and 

horticultural commodities, and any non-agricultural TLCs. See Appendix A, 

Section 4.a.2.b., of ADM 01-00-003, Redelegation of Authority and 

Responsibility of the Assistant Secretary for Occupational Safety and Health,

dated March 6, 2003.

2. Compliance Interpretation Authority.

WHD has sole interpretation authority for the Temporary Labor Camp standard, even 

over those temporary labor camp areas for which OSHA has enforcement authority.

3. Standard Revision and Variance Authority.

OSHA retains all authority for revisions of the Temporary Labor Camp standard, as 

well as the evaluation and granting of temporary and permanent variances.

4. State Plan States.

a. Eight of the twenty-two jurisdictions (21 states and Puerto Rico) that have 

OSHA-approved State Plans covering private sector employment elected not to 

enforce the Temporary Labor Camp standards, except with respect to egg, 

poultry, red meat production, post-harvesting processing of agricultural and 

horticultural commodities, and any non-agricultural TLCs. Thus, WHD enforces 

these standards, except as noted above, in the following states: Alaska, Indiana, 

Iowa, Kentucky, Minnesota, South Carolina, Utah and Wyoming.

b. The 14 other jurisdictions with OSHA-approved State Plans covering private 

sector employment have retained enforcement authority for the Temporary Labor 

Camp standards in agriculture. They are Arizona, California, Hawaii, Maryland, 

Michigan, Nevada, New Mexico, North Carolina, Oregon, Puerto Rico, 

Tennessee, Vermont, Virginia and Washington.

D. Enforcement of Temporary Labor Camp Standards for Agriculture.

1. Choice of Standards on Construction Prior to April 3, 1980.

Prior to walkaround inspections of temporary labor camps built before April 3, 1980, 

employers providing the housing will be asked to specify their preference of 

applicable departmental standards. Choices shall be limited to Subpart E of 29 CFR 

Part 654, or §1910.142 , or provisions contained in variances from these standards. If 

an employer has been issued a variance, it shall produce copies upon request. See 

Housing for Agricultural Employees, 29 CFR 500.132.

a. In instances where Subpart E of Part 654 is specified as the governing standard 

for existing housing, hazardous conditions violating both the Employment and 

Training Administration (ETA) and OSHA requirements shall be cited under the 

OSHA standard. Hazardous conditions found in violation of ETA standards, but 

in compliance with §1910.142 shall not be cited.

b. In instances where conditions are deemed in violation of the ETA standard and 

not covered by the OSHA standard, either Section 5(a)(1) shall be cited (only 

serious violations) or such deficiencies shall be brought to the employer’s 

attention and correction shall be encouraged.

c. In instances where §1910.142 is selected by the employer as the governing 

standard for the existing facility or is applicable in the case of “new 

construction,” all requirements of that standard shall apply and shall be cited 

when violations are found.
12-3

d. Under no circumstances shall Subpart E of Part 654 be cited by CSHOs, since no 

authority exists within the Act to cite standards not adopted under the Act.

2. Informing Employers.

Prior to the inspection of an agriculture housing facility, employers shall be made 

aware of the foregoing policy and procedures during the opening conference. This 

policy applies to all employment-related agriculture housing covered by OSHA, 

regardless of whether or not employees housed in the facility are recruited through 

the U.S. Employment Service’s inter-intrastate clearance system. 

3. Agriculture Worksites Under OSHA Responsibility.

For agriculture worksites that OSHA has responsibility for, §1928.21 lists which Part 

1910 standards apply.

E. OSHA Enforcement for Non-Agriculture Worksites.

1. For non-agriculture worksites other Part 1910 standards may be cited for hazards 

which are not covered under §1910.142. For non-agriculture worksites, the TLC 

standard has no provisions that specifically apply to fire protection, so those 

standards are not explicitly pre-empted by the TLC standard. The same is true for 

§1910.36 and §1910.37 (exit routes). However, §1910.38 (emergency action plans) 

applies only where an emergency action plan is required by a particular OSHA 

standard, so it cannot be used with TLCs.

2. Examples of temporary labor camp housing for non-agriculture worksites would be 

for the construction industry, oil and gas industry, and garment industry in the Pacific 

territories. Such housing for these industries may also be found in large cities and 

rural areas in various parts of the United States.

3. The choice of standards issue, discussed in Section D.1., of Choice of Standards on 

Construction Prior to April 3, 1980, does not apply to non-agriculture temporary 

housing.

F. Employee Occupied Housing.

Generally, inspections shall be conducted when housing facilities are occupied and as 

soon as feasible so that any hazards identified may be corrected early in the work season.

1. Since employees may not speak English, or may only speak English as a second 

language, every effort shall be made to send a bilingual CSHO on the inspection or 

have a bi-lingual person accompany the CSHO to translate conversations with 

employees.

2. CSHOs shall conduct inspections in a way that minimizes disruptions to those living 

in the housing facilities. If an occupant of a dwelling unit refuses entry for inspection 

purposes, CSHOs shall not insist on entry and shall continue the rest of the inspection

unless the lack of access to the dwelling unit involved would substantially reduce the 

effectiveness of the inspection. In that case, valid consent should be obtained from 

the owner of the unit. If the owner also refuses entry, the procedures for refusal of 

entry shall be followed. See Chapter 15, Legal Issues. The same shall apply in cases 

where employers refuse entry to the housing facility and/or to the entire worksite.

3. During inspections, CSHOs shall encourage employers to correct hazards as quickly 

as possible. Particular attention shall be paid to identifying instances of failure to 

abate and repeated violations from season to season or past occupancy. These 

violations shall be cited in accordance with normal procedures.

G. Primary Concerns.

When conducting a housing inspection, CSHOs shall be primarily concerned with those 

facilities or conditions that most directly relate to employee safety and health. 

Accordingly, all housing inspections shall address at least the following:
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1. Site.

a. Review the location of the site for adequate drainage in relation to periodic 

flooding, swamps, pools, sinkholes, and other surfaces where water may collect 

and remain for extended periods.

b. Determine whether the site is adequate in size to prevent overcrowding and 

whether it is located near (within 500 feet of) livestock.

c. Evaluate the site for cleanliness and sanitation; i.e., free from rubbish, debris, 

wastepaper, garbage, and other refuse.

2. Shelter.

a. Determine whether the shelter provides protection against the elements; has the 

proper floor elevation and floor space; whether rooms are used for combined 

purposes of sleeping, cooking and eating; and whether all rooms have proper 

ventilation and screening.

b. Determine which rooms are used for sleeping purposes, the number of occupants, 

size of the rooms, and whether beds, cots, or bunks and lockers are provided.

c. Determine what kind of cooking arrangements or facilities are provided, and 

whether all heating, cooking and water heating equipment are installed in 

accordance with state and local codes.

3. Water Supply.

Determine whether the water supply for drinking, cooking, bathing and laundry is 

adequate and convenient, and has been approved by the appropriate local health 

authority.

4. Toilet Facilities.

Determine the type, number, location, lighting, and sanitary conditions of toilet 

facilities.

5. Sewage Disposal.

Determine, in camps where public sewers are available, whether all sewer lines and 

floor drains are connected.

6. Laundry, Handwashing and Bathing Facilities.

a. Determine the number, kind, locations and conditions of these facilities, and 

whether there is an adequate supply of hot and cold running water.

b. Determine also whether such facilities have appropriate floors, walls, partitions 

and drains.

7. Lighting.

a. Determine whether electric service is available, and if so, if appropriate light 

levels, number of ceiling-type light fixtures, and separate floor- or wall-type 

convenience outlets are provided.

b. Determine also whether the light fixtures, floor and wall outlets are properly 

grounded and covered.

8. Refuse Disposal and Insect and Rodent Control.

Determine the type, number, locations and conditions of refuse disposal containers, 

and whether there are any infestations of animal or insect vectors or pests.

9. First-Aid Facilities.

Determine whether adequate first-aid facilities are available and maintained for 

emergency treatment. 

H. Dimensions.

The relevant dimensions and ratios specified in §1910.142 are mandatory; however, 

CSHOs may exercise discretion to not cite minor variations from specific dimensions and 

ratios when such violations do not have an immediate or direct effect on safety and
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health. In those cases in which the standard itself does not make reference to specific 

dimensions or ratios but instead uses adequacy as the test for the cited conditions and 

facilities, the Area Director shall make the determination as to whether a violation exists 

on a case-by-case basis considering all relevant factors.

I. Documentation for Housing Inspections.

The following facts shall be carefully documented: 

1. The age of the dwelling unit, including any additions. For recently built housing, 

date the construction was started.

2. Number of dwelling units, number of occupants in each unit.

3. Approximate size of area in which the housing is located and the distance between 

dwelling units and water supply, toilets, livestock and service building.

J. Condition of Employment.

The Act covers only housing that is a term and condition of employment. Factors in 

determining whether housing is a term and condition of employment include situations 

where:

1. Employers require employees to live in the housing.

2. The housing is in an isolated location or the lack of economically comparable 

alternative housing makes it a practical necessity to live there.

3. Additional factors to consider in determining whether the housing is a term and 

condition of employment include, but are not limited to:

a. Cost of the housing to the employee – is it provided free or at a low rent?

b. Ownership or control of the housing – is the housing owned or controlled or 

provided by the employer?

c. Distance to the worksite from the camp, distance to the worksite from other noncamp residences – is alternative housing reasonably accessible (distance, travel, 

cost, etc.) to the worksite?

d. Benefit to the employer – does the employer make the camp available in order to 

ensure that the business is provided with an adequate supply of labor?

e. Relationship of the camp occupants to the employer – are those living in the 

camp required to work for the employer upon demand?
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Chapter 13

FEDERAL AGENCY FIELD ACTIVITIES

I. Introduction.

A. Scope.

The purpose of this chapter is to highlight policies that are unique to federal agency 

occupational safety and health programs. Policies and procedures for federal agencies 

are generally the same as those followed in the private sector, except as specified in this 

chapter.

The United States Postal Service (USPS) is considered a private sector employer 

for purposes of OSHA’s enforcement oversight, 1 although Federal OSHA retains 

full jurisdiction over all USPS facilities and employees and contract employees 

engaged in USPS mail operations. See FOM 2-7 for more information on the USPS.

B. Overview.

The Occupational Safety and Health Act (the Act), Executive Order 12196, and 29 CFR 

Part 1960 all shape OSHA’s responsibilities for federal agencies. This chapter, with 

eight sections, outlines OSHA’s safety and health program requirements for federal 

agencies and highlights certain differences between OSHA’s program for the private and 

federal sectors. Below is a summary of each of the sections.

1. Section I: Introduction.

This section provides a broad review of OSHA’s safety and health requirements for 

federal agencies. In addition, it identifies definition differences between the private 

and federal sectors, and the offices within OSHA where inspectors can seek more 

detailed information.

2. Section II: OSHA’s Jurisdiction over Federal Agencies.

This section provides an overview of how OSHA’s jurisdiction varies for federal 

agencies. For example, while OSHA’s authority to establish requirements and 

oversee safety and health program implementation only applies to Executive Branch 

federal agencies, it can offer compliance assistance to all branches of the federal 

government in the form of Agency Technical Assistance Requests (ATARs), See 

Section VII.

3. Section III: Federal Agency Inspection Procedures.

This section reviews how OSHA requirements applied during federal agency 

inspections differ from those for the private sector. For example, while the standards 

promulgated by Section 6 of the Act generally apply to the federal sector, only 

specific regulations in Section 8 of the Act apply to federal agencies. Also, for 

Executive Branch agencies §1960.8(a), not Section 5(a)(1) of the Act, is the “general 

duty clause”.

 1 On September 28, 1998, Congress amended the Occupational Safety and Health Act (the Act) to make it applicable 

to the U.S. Postal Service in the same manner as any other employer subject to the Act.
13-2

4. Section IV: Federal Agency Recordkeeping and Reporting Requirements.

This section addresses the similarities and differences between private sector and 

federal agency recordkeeping requirements.

5. Section V: Access to Federal Employee Records.

This section explains OSHA’s access to federal agencies’ employee injury and illness 

records, as well as exposure and medical records.

6. Section VI: Evaluations of Federal Agency Programs.

This section explains OSHA’s authority and procedures for evaluating federal 

agencies.

7. Section VII: Agency Technical Assistance Requests.

This Section discusses Agency Technical Assistance Requests (ATARs), a 

compliance assistance alternative available only to federal agencies, since they are 

not eligible for OSHA on-site consultation services.

8. Section VIII: Notices of Unsafe or Unhealthful Working Conditions.

This section discusses how Notices, rather than citations, are issued to federal 

agencies and explains that financial penalties cannot be applied for OSHA violations.

C. Important Definitions.

1. Establishment.

When OSHA adopted the applicable §1904 recordkeeping requirements for federal 

agencies, it maintained the definition of “establishment” under §1960.2(h), as this 

definition better describes the application of the term in the federal sector. Unlike in 

the private sector, it is common for federal agencies to have an organizational 

structure that consists of agencies, bureaus, or other components that come under the 

line authority of an Assistant Secretary, Under Secretary, or another official at a 

comparable level.

Specifically, a federal establishment is a single physical location where business is 

conducted or services or operations are performed. Where distinctly separate 

activities are performed at a single physical location, each activity will be treated as a 

separate “establishment.” Typically, an “establishment” refers to a field activity, 

Regional Office, Area Office, installation, or facility. Examples are as follows:

 Major organizational units with distinct lines of authority are considered as 

separate establishments.

 Agencies or bureaus in an agency are considered separate establishments 

even if they occupy the same building.

 Each component of the Department of Defense (Army, Navy, etc.) and each 

major command located at an installation are separate establishments.

 Lower organizational units such as offices or divisions within a bureau or 

shops within a command are not considered separate establishments.

2. Employee, Including Volunteers and Working Federal Inmates.

§1960.2(g) defines federal employees as, “any person, other than members of the 

Armed Forces, employed or otherwise suffered, permitted, or required to work by an 

agency”.

a. Volunteers (uncompensated staff working under the supervision of an agency) in 

the federal sector are considered employees and covered by §1960, including the 
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injury and illness recordkeeping requirements under Subpart I. This differs from 

the private sector where volunteers are not covered by the §1904 recordkeeping 

regulation.

b. Federal inmates are protected under §1960 when they are “suffered, 

permitted, or required to work” at tasks similar to those found in the private 

sector, and the sites at which they work must comply with applicable OSHA 

regulations, including the applicable recordkeeping provisions of §1904. 

Given that federal inmates are prisoners and wards of the Bureau of Prisons, 

they are not afforded all the rights that accrue to other federal employees, 

including volunteers. However, only complaints related to workplace safety 

and health issues (not domiciliary issues) received in writing should be 

treated as formal complaints and investigated as appropriate.

Federal inmates who are employed in a “work-release” status are generally 

considered to be “employees” of the entity for which they work, with all the 

rights and responsibilities that apply to that entity’s other workers. However, 

their specific status is based upon specific factual circumstances. Questions 

concerning federal work-release inmates should be referred to the Office of 

Federal Agency Programs (OFAP).

D. Laws and Regulations Affecting Federal Agencies.

1. Federal Agencies and the Occupational Safety and Health Act.

a. Section 19 of the Act is the section of the OSH Act that applies specifically to 

federal agencies; some other sections apply to both the private and federal 

sectors. Section 19(a) requires each federal agency to “establish and maintain an 

effective and comprehensive occupational safety and health program which is 

consistent with the standards promulgated under Section 6”.

b. In contrast, OSHA regulations promulgated under Section 8 of the Act generally 

do not apply to federal agencies unless 29 CFR Part 1960 – Basic Program 

Elements for Federal Employee Occupational Safety and Health Programs and 

Related Matters, includes them by reference. 

c. Two regulations specifically applicable to federal agencies are:

 §1904 – Recordkeeping and reporting occupational injuries and illnesses (see 

Section IV., in this chapter).

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related 

fatalities, hospitalizations, amputations or losses of an eye. The new rule, 

which also updates the list of employers partially exempt from OSHA recordkeeping requirements, went into effect on January 1, 2015, for workplaces 

under federal OSHA jurisdiction. (See 79 FR 56129, Occupational Injury and 

Illness Recording and Reporting Requirements – NAICS Update and 

Reporting Revisions, September 18, 2014.)

 §1910.1020 – Access to employee exposure and medical records (see Section 

V., in this chapter).

d. OSHA’s oversight authority to prescribe requirements and provide safety and 

health oversight is limited to Executive Branch agencies (see Section II.A., of this 

chapter for limitations). The U.S. Postal Service is covered under OSHA’s 

private sector procedures.
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e. Despite lack of formal oversight authority, OSHA cooperates and consults with 

the heads of agencies in the Federal Legislative and Judicial branches to help 

them implement safety and health programs upon request.

2. Executive Order 12196 – Occupational Safety and Health Programs for Federal 

Employees.

Issued February 26, 1980, Executive Order 12196 prescribes additional 

responsibilities for the heads of Federal Executive Branch agencies, the Secretary of 

Labor, and the General Services Administration.

 Executive Branch agencies must operate workplace safety and health 

programs in accordance with requirements of the Executive Order and the 

basic elements promulgated by the Secretary.

 OSHA responsibilities include issuing basic program elements that the heads 

of agencies must use as a basis for their safety and health programs. These 

basic program elements are set forth in 29 CFR Part 1960.

 GSA responsibilities include prompt attention to reports from agencies of 

unsafe or unhealthy conditions at GSA owned or operated facilities.

3. 29 CFR Part 1960 – Basic Program Elements for Federal Employee Occupational 

Safety and Health Programs and Related Matters.

a. §1960.16 requires federal agencies to comply with all occupational safety and 

health standards issued under section 6 of the Act.

b. §1960 applies exclusively to Executive Branch agencies (with limitations 

discussed in Section II., of this chapter), and requires them to implement and 

manage their own internal safety and health programs.

c. The §1960 regulations have a broad range of requirements. Some of the 

highlights include requirements for agencies to:

 Conduct self-inspections;

 Issue Notices of Unsafe and Unhealthy Working Conditions as a result of 

those inspections; and

 Abate the violations within set time frames.

d. Agency staff must have the requisite training to conduct these self-inspections. 

Covered federal agencies must also investigate employee safety and health 

complaints and provide responses to complainants. Accidents and fatalities 

require self-inspections.

e. Citable Program Elements in 29 CFR Part 1960.

OSHA’s Compliance Safety and Health Officers (CSHOs) should evaluate 

compliance with the §1960 regulations during enforcement activities at covered 

worksites. Although agencies must comply with all §1960 regulations, only some 

sections are designated as citable (to be cited in any issued Notices). Refer to 

Table 13-1 at the end of this chapter for a listing of citable paragraphs.

E. OSHA Contacts for Information Regarding Federal Agencies.

1. Regional Federal Agency Program Officers (FAPOs).

Each OSHA region has at least one person who is designated as a Federal Agency 

Program Officer (FAPO) and is responsible for responding to questions from the field 
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on federal agencies. Please contact the National Office of Federal Agency Programs 

for a current list of FAPOs ((202) 693-2122 or ofap@dol.gov).

2. National Office of Federal Agency Programs (OFAP).

OFAP, located in OSHA’s Directorate of Enforcement Programs, has a range of 

responsibilities, including:

a. Tracking federal agencies’ occupational safety and health statistics;

b. Reviewing federal agencies’ requests for alternate and supplementary standards;

c. Providing directives and guidance having to do with federal agencies; and

d. Reporting to the President on the status of federal agencies’ occupational safety 

and health programs.

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

A. Enforcement.

1. The Occupational Safety and Health Administration’s enforcement jurisdiction over 

federal entities (departments, agencies, museums, corporations, etc.) is limited to the 

Executive Branch. OSHA may, upon request, provide assistance or consultation to 

the Legislative and Judicial branches of government, but has no oversight authority 

over those branches.

2. OSHA’s coverage under §1960 of Executive Branch federal civilian employees who 

are not performing strictly military operations has no geographic limitation and 

includes federal civilian employees, working in private sector establishments. Given 

that many private sector employees are working overseas, alongside federal 

employees, any complaints, referrals and reports of fatalities or catastrophic events 

occurring at federal worksites should be forwarded to OFAP for review.

3. Table 13-2 lists some of the federal entities that are excluded from OSHA coverage. 

For further clarification regarding the status of a particular federal organization, 

please contact the Office of Federal Agency Programs.

B. Military Personnel, Equipment and Operations.

Within the Executive Branch, uniformed military personnel and uniquely military 

equipment, systems and operations are completely excluded from OSHA’s coverage 

under §1960.

1. “Uniquely military equipment” includes equipment and systems designed by the 

Department of Defense that are unique to the national defense mission.

2. Examples of excluded military equipment, systems and operations:

a. Military aircraft, ships and submarines;

b. Artillery, tanks and tactical vehicles;

c. Naval operations and military flight operations and associated research test and 

development activities;

d. Missiles and missile sites;

e. Military space systems; and

f. Field maneuvers. 

3. OSHA retains jurisdiction over workplaces and operations comparable to those of 

private sector industries, such as:
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a. Vessel, aircraft, and vehicle repair, overhaul, or modification (except for 

equipment trials);

b. Construction;

c. Medical services;

d. Civil engineering or public works;

e. Supply services; and

f. Office work.

C. Federal Agencies Exempt from Unannounced Inspections.

OSHA is authorized to conduct unannounced inspections in Executive Branch federal 

agency establishments unless:

1. The inspection site is a federal prison.

OSHA may conduct announced inspections at federal prisons following guidelines 

found in FAP 01-00-002, Federal Agency Safety and Health Programs with the 

Bureau of Prisons, U.S. Department of Justice, dated April 10, 1995.

CSHOs should review the definition of a federal employee (Section I.C., of this 

chapter) prior to conducting inspections at federal prisons.

2. The Agency has a Certified Safety and Health Committee (CSHC) as defined by 29 

CFR Part 1960, Subpart F.

Certified Safety and Health Committees are organized and maintained to monitor and 

assist an agency’s safety and health program. 29 CFR Part 1960, Subpart F provides 

a list of items necessary for the certification of the Committee, including the 

requirement of the head of the agency to certify to the Secretary of Labor that all the 

requirements of Subpart F are met. The Secretary of Labor can evaluate the 

operations of the committee and require remedying any deficiencies within 90 days.

a. OSHA can conduct announced inspections at agencies with CSHCs.

b. For more information on CSHCs, see Section III.D., in this chapter, Complaint 

Handling.

c. See Table 13-3 for a current list of agencies with a CSHC.

D. Federal Agencies with Private Sector Employees On-Site.

1. Employees of private contractors performing work under federal government 

contracts are covered by standards, regulations, and other OSH Act requirements 

applicable to private sector employees.

a. State Program Jurisdiction on Federal Property.

State Plans do not have jurisdiction over federal employees. However, the state 

programs may choose to exercise jurisdiction over private sector contractors 

working at federal facilities and on federal enclaves with the exception of 

Government Owned Contractor Operated (GOCO) facilities and land ceded by a 

State to the federal government (“federal enclaves”). Such coverage is set out in 

various documents including operational status agreements and final approval 

decisions which are codified at 29 CFR Part 1952. The Regional Administrator 

must refer to the appropriate state subject to 29 CFR Part 1952 and supporting 

documents to determine jurisdiction.

b. Government-Owned Contractor-Operated Facilities (GOCOs).
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OSHA compliance policies concerning GOCO operations are described in 

separate Memoranda of Understandings (MOUs) applicable to specific agencies. 

CSHOs should follow private sector procedures for GOCOs with no 

corresponding MOUs.

c. Department of Energy (DOE) Sites.

OSHA has jurisdiction over some DOE sites not covered by the Atomic Energy 

Act (AEA). These sites are primarily involved in fossil fuel energy research and 

power marketing administration. See Occupational Safety and Health of 

Contractor Employees at Certain Energy Department Sites; Jurisdiction and 

Enforcement Responsibilities; Clarification Regarding State Plans (Federal 

Register, June 29, 2006 (71 FR 36988)) for further clarification as to the

jurisdiction and enforcement responsibilities of OSHA and 14 of its approved 

State Plans at various Department of Energy (DOE) sites that are not subject to 

the AEA. OSHA’s regulations in §1952 have been amended to reflect this 

jurisdiction, as appropriate.

2. Private Sector Employees and Other Agencies’ Jurisdictions.

If there are private sector employees for which another federal agency has 

occupational safety and health standards under Section 4(b)(1) of the Act, then 

OSHA does not have jurisdiction over the working conditions addressed by the 

requirements of the other federal agency. The working conditions of federal 

employees at the worksite would still be subject to OSHA jurisdiction as specified in 

§1960.19. Where OSHA requirements and those of another federal agency apply to 

working conditions, the agency must comply with both requirements. If a standard 

from one agency conflicts with an OSHA standard, agencies should comply with the 

more protective of the conflicting standards until the conflict is resolved.

E. United States Postal Service.

Inspections at USPS facilities will be conducted by Federal OSHA using private sector 

procedures.

III. Federal Agency Inspection Scheduling.

A. Targeted Inspections.

Targeted inspections at federal agencies are equivalent to targeted inspections at private 

sector worksites. Area Directors are to schedule all targeted federal agency inspections 

within the timeframe outlined in the applicable inspection directive. Federal targeted 

inspections may result in Notices for violations of OSHA standards as well as applicable 

citable program elements under §1960.

B. Special Emphasis Inspections.

Special Emphasis programs may be developed at the National, Regional, or Area Office 

level to address hazardous working conditions causing significant injuries and illnesses in 

the workplace. Federal agency worksites may be included in Special Emphasis programs 

developed primarily for the private sector, or may be covered under special programs 

developed specifically for federal agencies. Federal inspection programs may be based 

on OSHA-300-series data when available, workers’ compensation claim injury and 

illness data, or other suitable data.

1. National Emphasis Inspections.
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When the inspection programs are developed at the National Office level, the Office 

of Federal Agency Programs will provide the information used to initiate the 

inspection activity.

2. Local Emphasis Inspections.

Area Directors, in conjunction with the Regional Administrators may develop federal 

agency local emphasis programs following CPL 04-00-001, Approval of Local 

Emphasis Programs, dated November 10, 1999. The Office of Federal Agency 

Programs must obtain concurrence from the OFAP Director before implementing any 

local emphasis inspection programs.

C. Incident Inspections.

When an Area Office is informed by a federal agency about a fatality or catastrophic 

incident (defined as an event resulting in hospitalization of three or more employees), the 

Area Director will determine if an inspection will be conducted. When an inspection is 

conducted, the Area Office must ensure the following: 

1. Agency Investigative Report.

CSHOs must obtain a copy of the agency’s investigative report, required by 

§1960.29. If the agency has not completed the report, the agency must send a copy to 

the Area Office when it is finished.

2. Agency Incident Summary Report.

CSHOs must request that the federal agency submit a summary report of any fatal or 

catastrophic events accidents to OFAP, as required by §1960.70.

3. Excluded Agencies.

If an incident report is received concerning a federal agency not under OSHA’s 

jurisdiction (see Table 13-2), the person reporting the incident should be referred to 

an OFAP staff member, who will provide him/her with the agency’s safety and health 

staff contact information.

D. Complaint Handling.

1. OSHA may decide to investigate complaints of unsafe or unhealthful working 

conditions at federal workplaces (both in the United States and overseas) if the 

agency is covered by §1960 (see Table 13-2). §1960.28(e) specifies procedures for 

referring employee complaints to the subject agency for investigation and Section I of 

the OIS, or successor system, provides complaint form letters for transmitting the 

complaint to the agency. See Table 13-4 for a list of relevant form letters in OIS.

2. If a complaint is received from a private contractor working overseas at a federal

worksite, forward it to OFAP for review.

3. OSHA investigations of complaints from federal employees will follow the same 

procedures as for private sector complaints except for the following:

a. Agencies’ reports of complaints.

CSHOs should ensure that agencies are tracking complaints as required by 

§1960.28(d).

b. Federal Agencies with Certified Safety and Health Committees (CSHCs).

 If OSHA receives a complaint about an agency with a CSHC, and OSHA 

decides not to conduct an announced inspection, OSHA will forward the 

complaint to the employing agency’s Designated Agency Safety and Health 
13-9

Official (DASHO) in accordance with §1960.28(e)(2). Once the agency 

receives the complaint, it must follow the procedures outlined in §1960.28(d). 

A copy of the employing agency’s response to the originator is to be sent to 

the Secretary of Labor.

 If half the members of record of an agency’s CSHC are dissatisfied with the 

agency’s response to a complaint, the members can ask OSHA to evaluate or 

inspect the condition. If OSHA determines that an inspection is necessary, it 

will notify the establishment official at least one day in advance of the 

scheduled inspection. OSHA will provide inspection results to the 

establishment official and ask that the official share the results with the 

CSHC. OSHA will also forward a copy of the inspection results to the 

agency DASHO.

c. Reports of Safety and Health Program Violations.

When complaints allege violations of program elements of §1960, the Area 

Director may either schedule an inspection or respond by letter. Any program 

deficiencies trends identified in a federal agency must be reported to the OFAP 

and forwarded to OFAP for review. OFAP will determine if an evaluation of the 

agency’s program is necessary.

d. Federal Bureau of Prisons.

OSHA may investigate allegations of unsafe and unhealthful working conditions 

of federal inmates at Federal Bureau of Prisons facilities if the work the inmates 

perform is similar to work performed at private sector industries, such as 

manufacturing. See Section I.C.2, in this chapter for a more complete definition 

of federal inmates.

NOTE: For further guidance, refer to the Federal Prisons inspection guidelines 

found in FAP 01-00-002, Federal Agency Safety and Health Programs with the 

Bureau of Prisons, U.S. Department of Justice, dated April 10, 1995.

e. Federal Agencies Excluded from OSHA Enforcement.

If a complainant’s agency or program is excluded from coverage under §1960

(see Table 13-2), the complainant should be referred to OFAP, which will 

provide him/her with the agency’s safety and health staff contact information. 

E. Reports of Reprisal or Discrimination.

Section 11(c) of the Act does not apply to federal employees, except for employees of the 

U.S. Postal Service. However, Executive Order 12196, §1960.68, and the Whistleblower 

Protection Act (WPA) of 1989 require agency heads to assure that no employee is subject 

to restraint, interference, coercion, discrimination or reprisal for exercising any right 

under these laws. In addition, specific segments of the federal workforce may be covered 

by the “whistleblower” provisions of other legislation (see Section III.E.4., of this 

chapter).

Federal employees can report allegations of fraud, waste and abuse to their agencies’

Office of the Inspector General without fear of reprisal. Offices of the Inspector General 

have responsibilities to the American public to detect and prevent fraud, waste, abuse and 

violations of law, and to promote economy, efficiency and effectiveness in the operations 

of the Federal Government.

1. Covered Employees.
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The Office of Special Counsel (OSC) enforces the Whistleblower Protection Act of 

1989. Whenever a covered federal employee believes that actions have been taken 

against him/her in reprisal for reporting a violation of a law, rule or regulation, or for 

gross mismanagement, gross waste of funds, abuse of authority, or a substantial and 

specific danger to public health or safety, OSHA will refer these employees or former 

employees directly to the:

Office of Special Counsel

Complaints Examining Unit (Suite 201)

1730 M St., NW

Washington, DC 20036-4505

(800) 872-9855

There is no time limitation for filing a reprisal complaint with the Office of Special 

Counsel.

The OSC will not usually consider anonymous complaints. If a complaint is filed 

by an anonymous source the complaint will be referred to the Office of Inspector 

General in the appropriate agency. OSC will take no further action on the complaint. 

2. Non-Covered Employees.

Reports of reprisal or discrimination from federal employees who are not covered by 

the WPA should be referred to the agency DASHO. Contact OFAP for further 

assistance, if needed. Non-covered employees include employees of the:

a. Postal Rate Commission;

b. Federal Bureau of Investigation;

c. Central Intelligence Agency;

d. Defense Intelligence Agency;

e. National Geospatial-Intelligence Agency;

f. National Security Agency;

g. Other Executive Branch intelligence agencies excluded by the President; and

h. Government Accountability Office.

3. Federal Prisoners.

Inmates at federal prisons have their own reprisal program through the Bureau of 

Prisons and are not covered by the Whistleblower Protection Act or 1960.68. (See 

FAP 01-00-002, Federal Agency Safety and Health Programs with the Bureau of 

Prisons, U.S. Department of Justice, dated April 10, 1995.)

4. Other Whistleblower Protections.

Although OSHA does not have authority to enforce Section 11(c) of the Act for 

federal employees outside the U.S. Postal Service, federal agencies are required by 

§1960.68 to set up procedures to protect employees from discrimination or reprisals 

for reporting unsafe or unhealthful working conditions. CSHOs can issue 

notifications to agencies for failing to have such procedures. In addition, OSHA 

investigates whistleblower complaints filed by federal employees under the 

whistleblower provisions of a number of other statutes. Federal employees may be 

covered by the following statutes:

a. Asbestos Hazard Emergency Response Act – 15 USC § 2651;

b. Clean Air Act – 42 USC §7622;
13-11

c. Comprehensive Environmental Response Compensation and Liability Act – 42 

USC §9610;

d. Consumer Product Safety Improvement Act of 2008 – 15 USC §2087;

e. Corporate and Criminal Fraud Accountability Act of 2002 – 18 USC §1514A;

f. Energy Reorganization Act – 42 USC §5851;

g. Federal Rail Safety Act as Amended by Sec.1521 of the 9/11 Act of 2007 – 49 

USC §21109;

h. Federal Water Pollution Control Act, Amendments of 1972 – 33 USC §1367;

i. International Safe Container Act of 1977 – 46 USC §1506;

j. National Transit Security Systems Act of 2007 – 6 USC §1142;

k. Pipeline Safety Improvement Act of 2002 – 49 USC §60129;

l. Safe Drinking Water Act of 1974 – 42 USC § 300f-300j;

m. Solid Waste Disposal Act of 1976 – 42 USC §2622;

n. Surface Transportation Assistance Act of 1982 – 49 USC §31105;

o. Toxic Substances Control Act – 15 USC §2622;

p. Wendell H. Ford Aviation Investment and Reform Act for the 21st Century – 49 

USC §42121;

q. Consumer Financial Protection Act of 2010 (CFPA), Section 1057 of the DoddFrank Wall Street Reform and Consumer Protection Act of 201 – 12 USCA 

§5567;

r. Moving Ahead for Progress in the 21st Century Act (MAP-21) – 49 USC §30171;

s. Seaman’s Protection Act, 46 U.S.C. §2114 (SPA), as amended by Section 611 of 

the Coast Guard Authorization Act of 2010, (P.L. 111-281) – 46 USC §2114; and

t. Section 402 of the FDA Food Safety Modernization Act (FSMA) – 21 USC 399d.

The time limits for filing complaints and the specific filing methods vary by statute. 

For further information, contact the Directorate of Whistleblower Protection 

Programs:

Directorate of Whistleblower Programs

U.S. Department of Labor, OSHA 

200 Constitution Avenue, NW

Room N-4624

Washington, DC 20210

Phone: (202) 693-2199

Fax: (202) 693-2403

F. Alternate and Supplementary Standards.

1. The head of each agency must comply with all occupational safety and health 

standards issued under Section 6 of the Act (such as 29 CFR 1910, 1915, 1917, 1918, 

1926, and 1911, etc.), or with alternate standards approved for that agency by the 

Secretary of Labor. 

a. An alternate standard is the federal agency equivalent of a private sector variance 

from OSHA standards.

b. An agency may apply for an alternate and/or supplementary standard using 

application procedures found at §1960.17, Alternate Standards and §1960.18

Supplementary Standards.
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c. Federal agencies must follow FAP 00-00-001, Procedures for Handling 

“Alternate” and “Supplementary” Standards Submitted by Federal Agencies, 

dated July 1, 1981, when applying for approval of alternate standards.

d. A list of federal agency alternate standards can be found on the Federal Agency 

Programs page of the OSHA website at: 

http://intranet.osha.gov/compliance/dep_fap.html. 

2. If an agency has been approved for an alternate standard, the CSHO will determine if 

the agency is in compliance with the alternate standard. If the CSHO observes that 

the agency is not in compliance with the terms and conditions of the alternate 

standard, OSHA will issue a Notice in accordance with Section VIII., of this Chapter, 

“Notice of Unsafe and Unhealthful Working Conditions”.

3. A supplementary standard as defined by §1960.18 should be implemented by an 

agency if there is no OSHA standard that applies to a given workplace condition. 

The agency may implement an emergency temporary supplementary standard first 

and then work with OSHA to implement a permanent standard.

G. Refusal of Entry.

1. If a federal agency scheduled for an inspection refuses entry, the Area Director, in 

consultation with the Regional Administrator, will attempt to resolve the issue with 

the establishment official. If they cannot agree on a resolution, the Area Director will 

contact the FAPO who will contact an official at the subject agency who is at the 

FAPO’s equivalent agency organizational level, with responsibility and authority for 

the establishment’s working conditions to discuss the refusal. Issues unresolved at 

the Area or Regional Office level will be transferred to the OFAP Director for 

resolution with the DASHO.

NOTE: OSHA will not use administrative subpoenas or warrants for federal 

agencies. As stated above, unresolved issues shall be elevated to the next level until 

resolved.

2. A written record of all action taken to resolve the issue must be kept in the case file.

IV. Federal Agency Recordkeeping and Reporting Requirements.

A. General Background.

Section 19(a)(3) of the Act requires the head of each federal agency to “...keep adequate 

records of all occupational accidents and illnesses for proper evaluation and necessary 

corrective action.” Executive Order 12196 further requires federal agency heads to 

“operate an occupational safety and health management information system, which shall 

include the maintenance of such records as the Secretary may require.” These 

requirements are set forth in §1960, Subpart I.

B. Recording and Reporting Injuries and Illnesses at Federal Agencies.

Since January 1, 2005, federal agencies have been required to keep their injury and 

illness records in essentially the same manner as private sector employers under §1904, 

Subparts C, D, E, and portions of Subpart G. The revised recordkeeping requirements for 

federal agencies are separate and apart from responsibilities for completing workers’

compensation documentation, and do not diminish or modify in any way a federal 

agency’s responsibility to report or record injuries and illnesses in accordance with the 

Federal Employees’ Compensation Act (FECA).
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NOTE: On September 28, 1998, Congress amended the Occupational Safety and 

Health Act to make the U.S. Postal Service subject to private sector injury and illness 

recordkeeping under §1904.

1. Exemptions from §1904, Subparts A and B.

NOTE: §1904, Subparts A and B do NOT apply to federal agencies.

a. Purpose of Recordkeeping for Federal Establishments.

§1904, Subpart A, specifies the “Purpose” of the recordkeeping regulation for 

private sector employers. The “Purpose” statement for federal agencies is 

outlined in §1960.66.

b. All Federal Establishments Must Keep Injury and Illness Records.

§1904, Subpart B, is the exemption for private sector employers with ten or fewer 

employees and those in certain industries. There is no equivalent provision in the 

federal sector. All federal Executive Branch agencies regardless of size or 

industry classification, must keep injury and illness records; the USPS falls under 

OSHA’s private sector procedures for maintaining injury and illness records.

2. Sources of Additional Information.

a. Basic Program Elements.

For further background information, see Basic Program Elements for Federal 

Employee Occupational Safety and Health Programs and Related Matters; 

Subpart I for Recordkeeping and Reporting Requirements (Federal Register,

November 26, 2004 (69 FR 68793). 

b. Frequently Asked Questions.

OSHA has also developed a document that answers common questions 

concerning federal agencies’ recordkeeping. (See Frequently Asked Questions 

for OSHA’s Injury and Illness Recordkeeping Rule for Federal Agencies).

C. Summary of Major Federal Recordkeeping Requirements Differences Compared to 

Private Sector.

1. Different Definitions.

CSHOs should review the different definitions for “establishment” and “employees”

that are provided in Section I.C., of this chapter to ensure that they review federal 

agencies’ records correctly.

2. Certifying the Records.

Under §1904 for the private sector, a company executive must certify that he or she 

has examined the OSHA Form 300 log, and reasonably believes that the OSHA Form 

300A summary is correct and complete. For federal establishments, the person who 

certifies the records must be the senior establishment management official, the head 

of the agency for whom the senior establishment management official works, or any 

management official in the direct chain of command between the senior 

establishment management official and the agency head.

D. Reports and Investigations of Fatalities/Catastrophes.

1. As with the private sector, in accordance with §1904.39, agencies must notify OSHA 

within 8 hours of each work-related fatality or inpatient hospitalization of three or 

more employees. This applies to each fatality or multiple hospitalizations that occurs 

within thirty (30) days of an incident. Notification can be made by telephone or in 
13-14

person at the OSHA area office nearest to the site of the incident, or by contacting the 

OSHA toll-free telephone number at 1-800-321-OSHA (6742).

2. In addition, as required by §1960.70, federal agencies must provide OFAP with a 

summary report of each fatal and catastrophic incident investigation. 

E. Federal Agency Recordkeeping Forms.

1. OSHA Forms.

Federal establishments are required to maintain the same injury and illness 

recordkeeping forms as the private sector, either by using the OSHA forms or 

equivalent forms.

2. Use of Equivalent Forms.

a. As in the private sector, federal agencies are permitted to use an equivalent form, 

provided that the replacement form contains all the OSHA-required information. 

The substitute form must be readable and understandable, and completed using 

the same instructions as the OSHA form it replaces.

b. Some federal agencies may elect to use the Office of Workers’ Compensation 

(OWCP) claim forms in lieu of the OSHA-301 Incident Report. While this is 

permissible, in their standard format the OWCP claim forms do not contain all 

the OSHA-required information, and must be supplemented to include the 

questions contained on the right-hand side of the OSHA Form 301. Also, the 

OWCP claim forms usually contain information that is protected under the 

Privacy Act of 1974.

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

A. Access to Federal Employee Injury and Illness Records.

1. Access to the §1904 records by employees, former employees, personal 

representatives, or authorized employee representatives is the same in the federal 

sector as in the private sector as specified under §1904.35.

2. If a federal establishment chooses to use an OWCP claim form as a substitute for the 

OSHA-301 Incident Report, any personal identifiers or other privacy-protected 

information must be redacted before providing the forms to employees or former 

employees other than the injured parties or their personal representatives.

3. Access to these records by authorized employee representatives is limited to only that 

information detailing specific information about the case, which is equivalent to 

information contained on the right-hand side of the OSHA-301 Incident Report

entitled “Tell us about the case”.

B. Federal Employee Access to Exposure and Medical Records.

1. Employees or their designated representatives must have access to their personal 

exposure and medical records kept under §1910.1020. [See Basic Program Elements 

for Federal Employee Occupational Safety and Health Programs, Federal Register, 

July 5, 1995 (60 FR 34851)].

2. Section 19 of the OSH Act, Executive Order 12196, and 29 CFR Part 1960 require 

agency heads to implement occupational safety and health programs consistent with 

standards promulgated under Section 6 of the OSH Act. Because §1910.1020, which 

regulates employee access to exposure and medical records, was promulgated 

pursuant to Section 8 of the OSH Act, under existing regulations it would not be a 
13-15

required element of an agency program. Therefore, OSHA amended §1960.66 by 

adding a new paragraph (f) to make §1910.1020 a required element of federal agency 

safety and health programs.

VI. Evaluations of Federal Agency Programs.

A. Purpose.

Executive Order 12196 section 1-401(h) directs the Secretary of Labor to evaluate the 

occupational safety and health programs of agencies and promptly submit reports to the 

agency heads. The Act requires federal agency heads to operate effective occupational 

safety and health programs; OSHA is required to evaluate the effectiveness of those

programs and does so by conducting on-site field reviews and special studies at agency 

establishments.

1. Determining Effectiveness of Federal Agency OSH Programs.

OSHA determines the effectiveness of an agency’s OSH program established by

§1960.

2. Scope of Evaluations.

Evaluations may be classified by scope as follows:

a. Full-Scale Evaluations.

Full-scale evaluations include headquarters, intermediate organizational levels 

and worksite reviews of the entire occupational safety and health program.

b. Special Study Evaluations.

Special Study evaluations include headquarters, intermediate organizational 

levels, and worksite reviews but focus only on specific issues.

c. Headquarters-Only Evaluations.

Headquarters-only evaluations do not include worksite reviews.

d. Agency Self-Evaluations.

Agency self-evaluations may be substituted for an OSHA evaluation when 

recommended by the OFAP Director and approved by the Secretary.

B. Time Frames.

While some special studies and scheduled inspections may be completed relatively 

quickly, comprehensive reviews are likely to involve a substantial time investment and 

require careful coordination and full cooperation from the evaluation team. According to 

§1960.80 (e), (f) and (g), an agency evaluation should be completed within 90 calendar 

days of the date of the opening conference, the evaluation report should be submitted to 

the agency head within 90 calendar days from the date of the closing conference, and the 

agency head then has 60 calendar days to respond to the report.

C. Office Responsibilities.

1. OFAP, in coordination with the FAPO(s), is responsible for organizing and managing 

evaluations. Evaluations will be conducted by a team comprised of OFAP staff, 

FAPOs, and compliance officers.

2. The scope of the evaluation will determine the size and composition of the team, as 

well as the participation level of each team member.

3. FAPOs will work with Area Directors to determine the availability of compliance 

officers to participate in the field evaluation/inspection element of the agency 
13-16

evaluation. A compliance officer’s role in and time commitment to evaluations will 

depend on the type of evaluation.

4. Please contact OFAP for further information.

VII. Agency Technical Assistance Request (ATAR).

A. Definition.

An ATAR is a request by a federal agency for on-site assistance. An ATAR may include 

hazard abatement advice, training, an assistance inspection, or program assistance. An 

ATAR is conducted at the request of an agency and is not an enforcement inspection.

All forms of assistance provided on-site must be recorded as an intervention on an 

OSHA Form 55.

B. Agency Procedures for Requesting an ATAR.

1. While many ATAR requests for hazard abatement advice or for an assistance visit 

will be received by telephone, the requesting agency normally must reduce the ATAR 

to writing before OSHA will schedule an on-site visit.

2. If special circumstances arise that make it impractical to wait for a written request, 

the ATAR visit may be initiated in response to the oral request, with documentation 

in the file including the time, form of communication, individual making the request, 

and the reason the ATAR was not requested in writing.

3. Agencies requesting assistance will be informed in advance that they will be expected 

to correct any violations of citable program elements under §1960 or OSHA 

standards observed by CSHOs.

C. OSHA Response to ATARs.

OSHA will usually respond to agency requests for assistance whenever resources permit. 

However, an Area Director has discretion to deny the request for reasons such as:

1. Lack of site commitment to safety and health;

2. Reluctance of the requesting agency to assign necessary staff and resources to 

implement safety and health programs;

3. Overdue abatement of previous violations and hazards; or

4. Unwillingness by the requesting agency to pay CSHO travel and per diem during the 

ATAR.

D. Visit Procedures.

Assistance visit procedures will vary according to the scope of the visit, as prescribed by 

the Area Director.

1. Opening Conference.

a. Discuss and agree upon the scope of the ATAR.

b. Explain that the agency will be required to correct any hazards within reasonable 

and agreed-upon time frames.

c. Explain that if an imminent danger situation is found during the ATAR, the 

ATAR will be ended and the agency will be required to correct the hazard 

immediately or OSHA will conduct an enforcement inspection.
13-17

d. Explain that if any trends of serious hazards are observed and/or the site has no 

effective OSH management program in place, the ATAR will be terminated 

immediately and the case will be referred for enforcement action.

2. Closing Conference.

a. Review findings from the ATAR.

b. If hazards were identified, set a date for when the hazard must be abated and an 

abatement report provided to the OSHA area office.

c. If no violations are observed, or if all hazards are eliminated prior to the 

completion of the closing conference, the ATAR will be closed at that time.

E. Abatement.

If, after 30 calendar days, the Area Director has not received an abatement plan and has 

not been notified that violations have been abated, the Area Director will check on 

abatement status by telephone and determine whether an abatement verification 

inspection is required.

If any violations are unabated, OSHA may terminate the ATAR and refer the case for 

enforcement action.

NOTE: Where on-site assistance is provided for those agencies excluded from 

OSHA’s enforcement jurisdiction, OSHA will send a recommendation letter.

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

The federal agency equivalent of a “citation” is OSHA’s Notice of Unsafe or Unhealthful 

Working Conditions (OSHA-2H). (The Citation and Notification of Penalty (OSHA-2) is for 

private sector employers; federal agencies receive OSHA-2H forms.) The “Notice” is a 

report of a violation of OSHA standards, agency alternate standards, or citable program 

elements required by §1960. Instructions for completing the OSHA Notice are found in IRT 

01-00-006, The Enforcement User Skills Manual for Use with the NCR Computer System, 

dated July 19, 1993, Chapters VII. and XI. 

A. Issuance of an OSHA Notice.

1. When violations are observed during an inspection or evaluation of a federal agency 

establishment, the private sector procedures will be followed, except as otherwise 

indicated in this section. The OSHA Notice will be used to inform establishment 

officials of violations of OSHA standards, alternate or supplemental standards, and 

§1960 citable program elements.

a. For violation of a citable program element, cite the paragraph. See Table 13-1 for 

citable program elements.

b. For recordkeeping violations, cite the applicable sections of §1904 (unless 

superseded by future agency-approved correspondence). Also see §1960 Citable 

Program Elements in Table 13-1 (at the end of this chapter).

c. For violations of a specific OSHA standard, cite the applicable OSHA 

standard/paragraph.

d. Where violations of the Alternate Standard are identified, follow the guidance for 

variance violations for private sector employers, with the following federal 

agency adjustments:
13-18

 For violations of an Alternate Standard where requirements are also 

addressed in the OSHA standards, cite the OSHA standard and then add 

the following language to the SAVE standard language section: “As 

required by §1960.8(b).” Then reference in the AVD the Alternate 

Standard provision that was not met.

 For violations of a provision of the Alternate Standard that is not a 

requirement in §1910, cite §1960.8(a), referencing the paragraph of the 

Alternate Standard.

 For violations of a requirement in §1910 that is not addressed in the 

Alternate Standard, cite the OSHA standard and then add the following 

language to the SAVE standard language section: “As required by

§1960.8(b).”

e. If there is no OSHA standard that addresses a serious hazard, cite §1960.8(a) (the 

federal equivalent of the General Duty Clause). If there is no OSHA standard 

that address an other-than-serious hazard, notify the establishment using the 

inspection form letter “g” (“Letter for a Hazard Not Covered by Standard or 

General Duty Clause”) in OIS.

f. If there is an agency supplemental standard(s) that addresses a serious hazard, cite 

§1960.8(a) (the federal equivalent of the General Duty Clause) and the 

supplemental standard that was in violation.

2. The Area Office will send the OSHA Notice in accordance with private sector 

procedures. When violations are classified as willful or repeat, a copy must also be 

sent to the DASHO. Contact information is available from OFAP, through the 

Regional FAPOs.

NOTE: For the U.S. Army only, send copies of willful and repeat Notices to: 

(Name to be supplied by OFAP)

Department of the Army

Assistant Secretary of the Army Installations and Environment

110 Army Pentagon

Washington, DC 20310-0110

B. Cover Letter for Federal Agencies.

1. The OSHA Notice for federal agencies includes general information for the agency 

advising it of the contents of the Notice, its rights, and procedures to follow. It will 

remind the establishment official to post a copy of the OSHA Notice at or near each 

place that a violation exists or existed, and will inform the establishment official that 

he or she may request an informal conference, either in writing or by telephone with a 

confirming letter, within 15 working days of receipt of the OSHA Notice.

2. Enclose the OSHA Publication, “Employer Rights & Responsibilities Following a 

Federal OSHA Inspection”. (English PDF) (Spanish PDF)

C. Violations of Citable Program Elements of 29 CFR Part 1960.

1. Violations of citable program elements of §1960 will normally be classified as 

“other-than-serious” unless they are considered a contributing factor to a serious 

safety or health standard violation (e.g., where lack of supervisory training 

contributed to an unshored trench, both the trenching standard and §1960.55, 

Training of Supervisors, would be cited as “serious”).
13-19

2. If violations of §1960 citable program elements cannot be corrected within 30 days, 

Area Directors may assign abatement dates of up to 6 months in 90-day increments. 

Justification for abatement in excess of 30 days must be documented in the case file.

D. Repeat OSHA Notice for Federal Agencies.

1. A repeat OSHA Notice may be issued to a federal agency establishment for repeat 

violations if the agency had been cited previously for the same or a substantially 

similar condition and the following conditions are present:

a. For serious violations, if OSHA agency-wide inspection history lists a previous 

OSHA Notice issued within the past five years to an agency establishment within 

the same two-digit SIC code. For example if an inspection is conducted at the 

U.S. Department of Transportation (DOT), Federal Aviation Administration 

(FAA) worksite, a CSHO would search for violations at the FAA and not DOTwide.

b. For other-than-serious violations if the establishment being inspected received a 

previous OSHA Notice issued within the past three years.

c. There is documentary evidence that the previous OSHA Notice had been abated.

2. For a repeat Notice, cite the appropriate OSHA standard (§1910, 1926, etc.) Prepare 

the Notices as follows: 

“Notice ___ #, Item ___ #, 29 CFR ___ STANDARD NUMBER as required by 

29 CFR 1960.8(b): The employer failed to (a brief description of the violation –

SAVE). The employer was cited for a violation of the (SAME/SIMILAR 

standard and/or SAME/SIMILAR hazard) on MONTH/DAY/YEAR, Inspection 

___ #, date MONTH/DAY/YEAR of final order/settlement, and means of 

abatement”.

E. Multi-Employer Worksite Policy for Federal Agencies.

Many workplaces in the federal sector involve a mixed workforce of civil service and 

private contractor employees. OSHA requires federal agencies to comply with all 

occupational safety and health standards and to assume responsibility for worker 

protection in a manner comparable to private employers, including multi-employer 

worksite responsibility in appropriate circumstances. Federal agencies on multiemployer worksites have safety responsibilities comparable to those of private employers 

in comparable circumstances, whether the workforce is comprised of employees from 

multiple federal agencies or a mixture of federal and private-sector employees. The 

multiemployer worksite policy described in CPL 02-00-124, Multi-Employer Citation 

Policy, dated December 10, 1999, applies to both construction and non-construction, and 

to both private and federal employers.

F. Informal Conference Procedures for Federal Agencies.

1. Separation.

a. In an effort to resolve issues quickly, federal agencies should be aware of, and 

use, the informal conference at the Area Office level. Agencies should contact 

the Area Director to schedule an informal conference prior to beginning the 

appeals process. However, agencies must also understand that the informal 

conference is independent of, and proceeds separately from, the appeals process.

b. An agency that intends to appeal an OSHA Notice must file the appeal with the 

Regional Administrator within the given time frame, regardless of whether the 

informal conference has occurred.
13-20

2. Affirmative Defenses.

Although agencies will have the burden of proving any affirmative defenses during 

the appeals process, the Area Director must anticipate the potential for affirmative 

defenses, particularly if the agency makes such an assertion during the informal 

conference. When providing the case file to the Regional and/or National Office, the 

Area Director should be sure to include all documentation related to possible 

affirmative defenses.

G. Federal Agency Appeals Procedure.

The private sector contest procedures before the Occupational Safety and Health Review 

Commission do not apply to federal agencies, except the US Postal Service. However, 

federal agencies may obtain higher-level OSHA review of Notices issued to them, as 

described below.

1. Regional Review.

If the Area Director and relevant federal agency cannot resolve an issue through an 

informal conference, the federal agency has 15 working days following its receipt of 

the OSHA Notice to file a written request that OSHA’s Regional Administrator 

review the case. The request must originate from the appealing agency’s National 

Occupational Safety and Health (OSH) Manager 2 or the equivalent.

a. The written appeal request should state the:

 grounds for the appeal based on 29 CFR Part 1960,

 reason(s) for the appeal, and

 issues the agency intends to raise.

NOTE: If the federal agency fails to notify OSHA of its intent to request a 

Regional review within 15 working days following the receipt of a Notice, the 

Notice becomes final.

b. After receiving the written appeal request, the Area Director has five working 

days to provide the OSHA Regional office with a written summary of the 

informal conference discussion.

c. After receiving the written summary from the Area Director, the Regional 

Administrator has 20 working days to review the summary, case file, and other 

relevant information, including any documentation provided by the appealing 

agency, and, if necessary, schedule and hold a (tele)conference with all parties 

(which may include the Area Director, Regional Solicitor, and other OSHA 

personnel as necessary) to discuss the issues raised in the written appeal request. 

The Regional Administrator will provide a bulletin (see Appendix A and Appeals 

Process Flowchart), via certified mail, with the date, time, and location of the 

conference, which the appealing agency must post. The appealing agency must 

return the Certificate of Posting (see Appendix B and Appeals Process Flowchart) 

within three working days of receiving the bulletin.

d. If the Regional Administrator and the appealing agency reach a settlement, the 

Area Director will ensure that the appealing agency receives a written Informal 

Settlement Agreement (ISA) (see Appendix C and Appeals Process Flowchart). 

 2 The National Occupational Safety and Health Manager is the headquarters-level career official tasked with 

responsibility for overseeing, implementing, and evaluating the agency’s OSH program. In smaller agencies, this 

person may also be the DASHO.
13-21

The Area Director must ensure that the ISA is sent, via certified mail, within 10 

working days.

 The appealing agency has 15 working days after receiving the ISA to sign 

it. The ISA must be signed by the appealing agency’s National OSH 

Manager or the equivalent.

 Once the agency has signed the agreement and returned it to the OSHA 

Area Office via certified mail, it is considered final and the case will be 

closed.

 The Area Office will notify the Regional Administrator upon receipt of 

the signed ISA from the appealing agency. If the appealing agency has 

failed to sign the agreement the Area Office must note this on the 

agreement with details of the time line for signatures.

 If the appealing agency does not sign the agreement within the given time 

frame, the original Notice will stand, unless the federal agency requests a 

review by OSHA’s National Office within the required time frame.

e. If the Regional Administrator and the appealing agency cannot reach a settlement 

within the specified 20-day time frame, the appealing agency must either accept 

the original Notice or follow procedures for requesting OSHA National Office 

review.

NOTE: If the Regional Administrator and appealing agency do not reach a 

settlement within 20 working days, and the appealing agency does not ask for a 

National Office review, the Notice becomes a final order and is not subject to 

review.

2. National Office Review.

If an appealing agency has signed an ISA with the Regional Office, it may not request 

a review by OSHA’s National Office.

a. Following the Regional Administrator’s decision, an appealing agency has 10 

working days to request, in writing, a review by OSHA’s National Office. The 

appealing agency must send its request to: 

[Name], Director

Office of Federal Agency Programs 

U.S. Department of Labor 

Occupational Safety and Health Administration 

200 Constitution Avenue, NW 

Room N3622 

Washington, DC 20210 

b. The written request for National Office review must originate from the appealing 

agency’s Designated Agency Safety and Health Official (DASHO) 3

. The agency 

must base its written appeal on its compliance with the program elements 

described in §1960 and, according to §2200.34(b)(1-3), the appeal documentation 

must include:

 3 The National Occupational Safety and Health Manager is the headquarters-level career official tasked with 

responsibility for overseeing, implementing, and evaluating the agency’s OSH program. In smaller agencies, this 

person may also be the DASHO.
13-22

 A short and plain statement denying the allegations in the Notice that the 

appealing agency intends to contest.

NOTE: If an agency does not deny an allegation in the initial written 

appeal, the allegation becomes a final order.

 All affirmative defenses the agency is asserting, such as “infeasibility,”

“unpreventable employee misconduct,” and “greater hazard.”

NOTE: The National Office will not consider appeals based solely on 

issues of fact surrounding a Notice; the agency must resolve issues of 

factual dispute with the relevant OSHA Area or Regional Office.

c. Once the National Office receives the review request, it must request a copy of 

the case file from the Regional Administrator and provide a copy of the review 

request to the Area Office. The Regional Office must provide a copy of the case 

file to the National Office within two working days.

d. If the National Office finds it necessary to discuss the appeal with the appealing 

agency, the National Office has 20 working days, after receiving the copy of the 

case file from the Region, to schedule and hold a (tele)conference with the federal 

agency and affected employee(s) or employee representatives to discuss the 

issues raised.

The National Office will provide a bulletin (see Appendix A), sent via certified 

mail, with the date, time, and location of the conference, which the appealing 

agency must post. The appealing agency must return the Certificate of Posting 

(see Appendix B) within three days of receiving the bulletin.

e. The Director, OFAP, may convene a panel of experts (Appeals Panel) to assist 

with reviewing the appeal. At the Director’s request, the Panel members may 

participate in the conference with the appealing agency.

The Panel will provide input to assist the Director, OFAP, in making 

recommendations to the Director, DEP, on the resolution of the appeal.

f. The Director, DEP, makes the final OSHA National Office’s decision on federal 

agency appeals. The Director should make the final decision within 30 working 

days after the start of the review period or the date of the (tele)conference, and 

must provide a final written decision to all parties. The 30-day time period 

includes time for the Office of the Solicitor’s review of and concurrence with the 

decision.

g. The National Office will address the decision to the highest level DASHO for the 

Department or Agency.

h. The National Office must provide the originating Area Office with a signed copy 

of the summary of the conference and decision.

3. While the National Office’s decision is considered the Secretary’s final decision, 

Executive Order 12196, paragraph 1-401(k) states that unresolved disagreements 

between the Secretary of Labor and another agency head will be submitted to the 

Office of Management and Budget. 

H. Verification of Abatement.

Follow private sector guidelines to verify abatement. Notify the Certified Committee, if 

appropriate, of the abatement plan.

I. Petition for Modification of Abatement Dates (PMA).
13-23

When Area Offices receive federal agency requests for additional abatement time, they 

will follow §1903.14(a) and §2200.37, which prescribe PMA procedures for the private 

sector. If the Area Director does not agree to extend the abatement date, the agency may 

bring unresolved issues to the Regional Administrator/FAPO for resolution with his 

counterpart in the agency. Issues not resolved at the regional level will be forwarded to 

the OFAP Director for resolution with agency headquarters staff in consultation with the 

Regional Administrator, the FAPO, and the Area Director.

J. Failure to Abate.

Area Directors will work with local federal agency managers in developing an acceptable 

abatement plan. When development of such a plan is unsuccessful, and abatement is not 

achieved within 30 calendar days of the abatement date, the following steps will apply:

1. The Area Director will send a Notification of Failure-to-Abate Alleged Violation 

(OSHA-2C), (FTA Notice) with inspection form letter “h” (“Notification of Failure to 

Abate Alleged Violation”) to the establishment official. This letter may also contain 

a general summary of what penalty amounts would have been proposed had the 

agency been a private sector employer.

2. The Area Director will send a copy of the FTA Notice and inspection form letter to 

the DASHO and representative of employees (a transmittal letter is not required).

NOTE: If the inspection was initiated because of a complaint, the Area Director 

will send a copy of the FTA Notice to the complainant with the complaint form letter 

“o” (“Notification to Complainant – Failure to Abate Issued”) in the OIS.

3. If the Area Director cannot resolve the issue at the local level, he/she will forward a 

copy of pertinent portions of the complete case file to the FAPO. The FAPO will 

immediately contact the federal agency official at the equivalent organizational level 

with responsibility and authority for the establishment’s working conditions, and 

request the manager to abate the violation(s) or to develop an acceptable abatement 

plan. If no solution is reached within 60 calendar days, the Regional Administrator 

will forward the Area Office case file and written documentation showing the dates, 

contacts, and results of discussions undertaken at the Regional level to the Director of 

OFAP.

The OFAP Director will, within 30 calendar days, determine which Directorate 

within OSHA is the most appropriate to review the case file. The Director, 

Directorate of Enforcement Programs (DEP) will then forward the case file to the 

appropriate Directorate. The reviewing Directorate will have 30 calendar days in 

which to review the case file and return it to DEP with appropriate recommendations.

4. If DEP upholds the citation, the DEP Director will, within 30 calendar days, schedule 

a meeting with the DASHO in the cited federal agency to discuss OSHA’s findings 

and request an abatement schedule.

5. If a satisfactory abatement schedule is not received within 60 calendar days, the case 

will be referred to the Assistant Secretary.

6. DEP will provide the Regional Office with a status report every 60 calendar days 

until the case is resolved.
13-24

Table 13-1: 29 CFR Part 1960 Citable Program Elements

Program Element Explanation

§1960.8(a) 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) Requires all agencies to comply with applicable OSHA standards.

§1960.8(c) Requires all agencies to develop, implement, and evaluate an occupational 

safety and health program.

§1960.8(d) Requires all agencies to acquire, maintain, and mandate employee use of 

approved personal protective equipment (PPE) and other safety equipment.

§1960.11 Establishes accountability of managers and supervisors and can apply equally 

to all agencies.

§1960.12(c) Requires all agencies to post an agency occupational safety and health poster 

informing employees of the agency safety and health program.

§1960.25(a)

The last sentence stipulating that necessary equipment to conduct inspections 

must be provided can be enforced in all agencies; the first part of the 

paragraph may not apply.

§1960.25(c) The first sentence requires each agency to inspect each workplace annually. 

The remaining part of the element may not apply to all agencies.

§1960.26(b)(5)

The first sentence provides the CHSO with specific imminent danger 

instructions that can apply uniformly. The rest of the paragraph may not 

apply at all locations.

§1960.26(c)(1-4) Specifies how agencies should handle agency inspection reports and notices 

of unsafe or unhealthful conditions.

§1960.27(a)

The first sentence specifies that the safety and health inspector is in charge of 

an agency inspection. The rest of the paragraph is general instruction that 

would be difficult to enforce.

§1960.28(d)(3) Specifies time frames for an agency to inspect employee reports of hazards. 

§1960.29(b) Requires all agencies to investigate incidents resulting in a fatality or 

hospitalization of three or more employees. 

§1960.29(d)

Requires agencies to include specific information on all investigative reports 

of incidents and specifies the report be made available to the Secretary or an 

authorized representative of the Secretary of Labor.

§1960.30(a-e) Specifies abatement directions that apply to all agencies. 

§1960.34(a-d)

Provides 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. 

§1960.37(b)

Requires equal representation of management and non-management 

employees for those agencies that choose to have a Certified Safety and 

Health Committee. 

§1960.37(d)

Requires the chair position of the safety and health committee to alternate 

between management and non-management; this element applies as well to 

those agencies that choose to have a Certified Safety and Health Committee.

Program Element Explanation
13-25

Program Element Explanation

§1960.37(e)

Requires safety and health committees to meet on a regular schedule and 

applies to all agencies that choose to have a Certified Safety and Health 

Committee.

§1960.55(a) Requires agencies to train all supervisory employees on the Act, E.O. 12196, 

the agency safety and health program, etc.

§1960.56(a) Provides specific directions for training agency safety and health specialists. 

§1960.57 Requires agencies to train safety and health inspectors.

§1960.58 Requires agencies to train collateral duty safety and health personnel and 

committee members. 

§1960.59(a-b) Requires agencies to train employees and employee representatives in safety 

and health appropriate to the work performed. 

§1960.67 (Cite 

the appropriate 

§1904 regulation 

then cite this 

program 

element in the 

alternative)

Requires all agencies to have the record or log of occupational injuries and 

illnesses certified by: (a) the senior establishment management official, (b) 

the head of the Agency for which the senior establishment management 

office works, or (c) any management official who is in the direct chain of 

command between the senior establishment management official and the 

head of the Agency. 

§1960.68

Requires all agencies to have established procedures for protecting 

employees against reprisal or discrimination for identifying unsafe or 

unhealthful working conditions.

§1960.70

Provides directions to all agencies about providing a summary report of each 

fatal and catastrophic incident to OSHA’s Office of Federal Agency 

Programs. These directions are in addition to the requirements for reporting 

fatalities and multiple hospitalization incidents to OSHA under 29 CFR 

1904.39. 

NOTE: 29 CFR Part 1904 has new requirements for reporting work-related 

fatalities, hospitalizations, amputations or losses of an eye. The new rule, 

which also updates the list of employers partially exempt from OSHA recordkeeping requirements, went into effect on Jan. 1, 2015, for workplaces under 

federal OSHA jurisdiction.

§1960.71(a)(1)

Requires that the agency head submit to the Secretary an annual report on 

his/her agency’s occupational safety and health program by January 1 of each 

year.

Program Element Explanation
13-26

Table 13-2: The Main Federal Agencies Outside OSHA’s Oversight

Branch of the 

Federal 

Government

Agency

Legislative

 Congress (Senate and House of Representatives)

 Architect of the Capitol including the Botanical Garden

 Congressional Budget Office

 Government Accountability Office

 Government Printing Office

 Library of Congress

Judicial

 U.S. Supreme Court

 Federal Courts of Appeals

 U.S. District Courts

 U.S. Bankruptcy Courts

 U.S. Tax Courts

 U.S. Court of Appeals for Veterans’ Claims

Table 13-3: Departments and Agencies with 

Certified Safety and Health Committees

 Central Intelligence Agency

 U.S. Department of Labor

 General Services Administration

 Tennessee Valley Authority

 U.S. International Trade Commission

Table 13-4: Federal Agency Form Letters

Standard Form Letter Screen on NCR

Federal Agency Form Letters

H Complaint Letters

I Inspection Letters

J PMA Letters

K Reprisal Letters

Complaint Letters (H)

A No inspection – invalid complaint

B Reserved

C Complaint (OSHA-7) For Signature

D Notification to Employer

E Complaint Notification with Letter D
13-27

F Acknowledgement Complainant

G Notification Complainant with Employer Response

H Notification Complainant with Inspection Results

I Dunning Letter – Non Insp Complaint

J Correcting – Additional Information Needed

K Notification Complainant – Invalid Allegations

L Notification Complainant – Unsatisfactory Employer

Other (H)

M Notification Reprisal Complaint

N Reports Program Deficiencies – Agency

O Notification Complainant – FTA Issued

P Complaint Letter Insp Employer

Federal Sector Inspection Letters (I)

A Notification Official (Inspection Results)

B Reserved

C Notification Official (Evaluation Results)

D Notification Official (ATAR-Schedule)

E Notification Official (ATAR-Results)

F Agency Technical Assistance Request (ATAR)

G Hazard Not Covered by General Standard 

H Notification of FTA Alleged Violation

I Informal Conference Scheduled

Federal Sector PMA Form Letters (J)

A Notification Modification of Abatement Date

B Notification Amended Abatement Date

C Notification Employer (Uncontested)

D Petition Modification of Abatement Date

E Notification Employer (Review Request)

F Uncontested Petition

G Notification Employer (Object Petition)

H Process Petition – Modify Abatement

I Notification Employer (Objection by Union)

J Notification Employer (Objection by OSHA)

Federal Sector Reprisal Letters (K)

A Reprisal Letter – Special Counsel

B Reprisal Letter – Covered Federal Employee
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13-29
13-30
13-A-1

Appendix A

(Print on letterhead)

(Regional or National) Office Notice of Appeal

This bulletin serves to notify all employees that (federal agency) is appealing 

OSHA inspection (inspection number and date of inspection) and the resulting 

Notice(s) of Unsafe or Unhealthful Working Conditions. The agency and OSHA 

will discuss the appeal at:

(Regional or National Office Address)

(Time)

(Date)

__________________________________________________

[Name], Regional Administrator or Director, Office of Federal Agency Programs (choose one)
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[sample – would be printed on letterhead]

Region III Notice of Appeal

This bulletin serves to notify all employees that the U.S. Army Corps of Engineers 

(USACE) is appealing OSHA inspection #123456, January 3, 2012, and the 

resulting Notice(s) of Unsafe or Unhealthful Working Conditions. The USACE 

and OSHA will discuss the appeal at:

U.S. Department of Labor - OSHA

The Curtis Center, Suite 740 West

170 South Independence Mall West

Philadelphia, PA 19106-3309

9:00 AM

June 5, 2012

__________________________________________________

Richard Mendelson, Acting Regional Administrator 
13-B-1

Appendix B

[print on letterhead]

Certificate of Posting

Notice of Appeal

Inspection Number: ____________________

Date of Posting Notice of Appeal:____________________

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

On behalf of (federal agency), I certify that a copy of the Occupational Safety and Health 

Administration’s Notice of Appeal, has been posted in a conspicuous place, where all affected 

employees will have notice. The agency has also provided a copy of the Notice to each 

authorized representative of affected employees, if any. This bulletin will be posted for a 

minimum of 10 days or until any proceedings conclude.

_____________________________________________________

National Occupational Safety and Health Manager 

_____________________________________________________

Title

_____________________________________________________

Federal Agency Name
13-B-2

[sample – would be printed on letterhead]

Certificate of Posting

Notice of Appeal

Inspection Number: __123456__________________

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

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

On behalf of the U.S. Army Corps of Engineers, I certify that a copy of the Occupational Safety 

and Health Administration’s Notice of Appeal, has been posted in a conspicuous place, where all 

affected employees will have notice. The USACE has also provided a copy of the Notice to each 

authorized representative of affected employees, if any. This bulletin will be posted for a 

minimum of 10 days or until any proceedings conclude.

_____________________________________________________

National Occupational Safety and Health Manager 

_____________________________________________________

Title

_____________________________________________________

U.S. Army Corps of Engineers
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Appendix C

(Print on letterhead)

In the Matter of:

OSHA No.(s):

INFORMAL SETTLEMENT AGREEMENT

The undersigned Agency and the undersigned Occupational Safety and Health 

Administration (OSHA), in settlement of the above Notice(s) of Unsafe or Unhealthful 

Working Conditions (Notice) which was issued on (Issue Date) hereby agree as follows:

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

below.

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

Notice 01 Item 001

Notice 02 Item 001

Notice 02 Item 002

Notice 02 Item 003

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

Notice 01 Item 002 – Withdraw item

Notice 01 Item 003 – Reclassify from Serious to Other than Serious

Notice 01 Item 004 – Withdraw item

Notice 01 Item 005 – Group with Item 6

Notice 01 Item 006 – Group with Item 5

4) The Agency, by signing this Informal Settlement Agreement, hereby waives its rights to 

appeal the above Notice(s), as amended in Paragraph 3 of this agreement.

5) The Agency agrees to immediately post a copy of this Agreement in a prominent place at 

or near the location of the hazard(s) referred to in Paragraph 3 above. This Agreement 

must remain posted until the agency has corrected the hazards cited, or for three working 

days (excluding weekends and federal holidays), whichever is longer.

6) The Agency agrees to continue to comply with the applicable provisions of the 

Occupational Safety and Health Act of 1970 (the Act), Executive Order 12196, 29 CFR 

Part 1960, and the applicable safety and health standards promulgated pursuant to the 

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

standards.

8) The Agency also agrees to the following conditions:

• It has abated all violations.

• It will correct all similar conditions in the workplace.

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

 ______________________________

For the Occupational Safety and Health Date

Administration

<name of representative>

 ______________________________

For the Agency Date

If your Agency received this Informal Settlement Agreement via postal mail or facsimile for 

signature, your agency must return the document with the “ORIGINAL” signature to this office 

or the agreement will not be valid.

NOTE: If you are faxing the signed ISA as an interim measure, you must fax the entire 

agreement, not just the signature page.
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Chapter 14

HEALTH INSPECTION ENFORCEMENT PROGRAMS

I. Health Enforcement Programs [Reserved]
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Chapter 15

LEGAL ISSUES

I. Administrative Subpoenas.

A. When to Issue.

An Administrative Subpoena may be issued whenever there is a need for records, 

documents, testimony or other supporting evidence necessary for completing an 

inspection or an investigation of any matter falling within OSHA’s authority.

1. Regional Administrators have authority to issue subpoenas, and are also authorized 

and encouraged to delegate to Area Directors the authority to issue routine 

administrative subpoenas.

2. The issuance of an administrative subpoena requires the Area Director’s or Regional 

Administrator’s signature.

B. Two Types of Subpoenas.

There are two types of subpoenas used to obtain evidence during an OSHA investigation:

1. A Subpoena Duces Tecum is used to obtain documents. It orders a person or 

organization to appear at a specified time and place and produce certain documents, 

and to testify to their authenticity. Employers are not required to create a new record 

in order to respond to these types of subpoenas.

2. A Subpoena Ad Testificandum commands a named individual or corporation to 

appear at a specified time and place, such as the Area Office, to provide testimony 

under oath. A verbatim transcript is made of this testimony.

C. Area Director Delegated Authority to Issue Administrative Subpoenas.

Although authority to issue some types of subpoenas is reserved to the Regional 

Administrator, Area Directors may be authorized to issue routine administrative 

subpoenas.

1. Area Directors may be delegated authority to issue administrative subpoenas for any 

record or document relevant to an inspection or investigation under the Act, 

including:

a. Injury and illness records such as the OSHA-301 and the OSHA-300 (See CPL 

02-02-072, Rules of Agency Practice and Procedure Concerning OSHA Access to 

Employee Medical Records, dated August 22, 2007, and 29 CFR 1913.10(b)(6));

b. Hazard communication program;

c. Lockout/tagout program; and

d. Safety and health program.

2. Information shall be requested from the employer or holder of records, documents, or 

other information-containing materials.

a. If this person/entity refuses to provide requested information or evidence, the 

OSHA representative serving the subpoena shall explain the reason for the 

request.

b. If there is still a refusal to produce the information or evidence requested, the 

OSHA representative shall inform the person/entity that the agency may take 

further legal action.

3. The official issuing the subpoena is responsible for evaluating the circumstances and 

deciding whether to issue a subpoena. In cases with potential national implications or

involving extraordinary circumstances, the Regional Administrator shall be contacted 
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for concurrence or to determine whether the subpoena should be issued by the 

Regional Administrator.

D. Regional Administrator Authority to Issue Administrative Subpoenas.

1. Regional Administrators have independent authority to issue subpoenas for any 

appropriate purpose. Unless delegated to an Area Director, the following authority 

shall be reserved to Regional Administrators:

a. Issuance of a Subpoena Ad Testificandum to require the testimony of any 

company official, employee, or other witness;

b. Issuance of a subpoena for the production of personally identifiable medical 

records for which a medical access order has been obtained. See CPL 02-02-072, 

Rules of Agency Practice and Procedure Concerning OSHA Access to Employee 

Medical Records, dated August 22, 2007, and §1913.10(b)(6); and

c. Issuance of a subpoena for the production of physical evidence, such as samples 

of materials.

2. Although this authority may not routinely be delegated to Area Directors, in a few 

cases such delegation may be appropriate.

E. Administrative Subpoena Content and Service.

1. Model administrative subpoenas for use by the Area Offices are provided at the end 

of this chapter. If the Area Director believes that there is reason for any departure 

from the models due to circumstances of the case, the RSOL shall be consulted.

2. The subpoena shall be prepared for the appropriate party and will normally be served 

by personal service (delivery to the party named in person). Leaving a copy at a 

place of business or residence is not personal service.

a. In exceptional circumstances, service may be by certified mail with return receipt 

requested.

b. Where no individual’s name is available, the subpoena can be addressed to a 

business’ or organization’s “Custodian(s) of Records.”

3. Examples of language for a routine Subpoena Duces Tecum are provided below. This 

language should be expanded when requesting additional or more detailed 

information for accident, catastrophe, referral or fatality investigations.

a. “Copies of any and all documents, including information stored electronically, 

which reflect training procedures for the lockout/tagout procedures and hazard 

communication program in effect at the [insert site name] in [insert city, state], 

during the period [insert month/day/year], to present.”

b. “Copies of the OSHA-300 and the OSHA-301 forms, for the entire site, during 

calendar years [insert year] and [insert year].”

c. “Copies of any and all documents, including information stored electronically, 

such as safety and health program handbooks, minutes of safety and health 

meetings, training certification records, audits and reprimands for violations of 

safety and health rules by employees of the [insert site name] in [insert city, 

state], that show [insert employer’s name] had and enforced safety rules relating 

to the use of trench boxes during the period [insert month/day/year], to present.”

NOTE: Where particular information is being sought, a subpoena’s description 

should be narrow and specific in order to increase the likelihood for prompt 

compliance with the request.

4. A copy of the subpoena, signed by the Area Director, shall be forwarded as soon as 

possible to the Regional Administrator and shall also be maintained at the Area 

Office.

a. Copies of subpoenas may be forwarded to the RSOL as practicable.
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b. Regional Administrators and Area Directors shall establish procedures to track all 

administrative subpoenas issued. These procedures shall include instructions for 

completing the return of service.

F. Compliance with the Subpoena.

The person/entity served may comply with the subpoena by making the information or 

evidence available to the compliance officer immediately upon service, or at the time and 

place specified in the subpoena.

1. With respect to any record required to be made or kept pursuant to any statute or 

regulation, the subpoena shall normally allow three days from the date of service for 

production of the required information although a shorter period may be appropriate.

2. With respect to other types of records or information, such as safety programs or 

incident reports, the subpoena shall normally allow at least five working days from 

the date of service for production of the required information.

3. Separate subpoenas for items 1 and 2 above may be necessary.

4. Any witness fees or mileage costs potentially associated with administrative 

subpoenas should be discussed with the RSOL prior to the issuance.

G. Refusal to Honor Subpoena.

1. If the person/entity served refuses to comply with (or only partially honors) the 

subpoena, the compliance officer shall document all relevant facts and advise the 

Area Director before taking further action.

2. To enforce a subpoena, the Area Director shall follow the procedures outlined for 

obtaining warrants, and shall refer the matter, through the Regional Administrator, to 

the RSOL for appropriate action.

H. Anticipatory Subpoena.

Generally, agency policy is to seek voluntary production of evidence before an 

administrative subpoena is issued. However, a subpoena may be executed and served 

without making a prior request where there is reason to believe that the corporate entity 

and/or person from whom information is sought will not voluntarily comply, or where 

there is an urgent need for the information. Anticipatory subpoenas require consultation 

with RSOL.

NOTE: For example, pre-inspection preparation of subpoenas for issuance at the 

opening conference is appropriate in cases where the employer has previously denied 

access to records, or where complex inspections involving extensive review of records 

are planned. 

II. Service of Subpoena on OSHA Personnel.

A. Proceedings to which the Secretary of Labor is a Party.

If any OSHA personnel are served with a subpoena or order either to appear or to provide 

testimony in, or information for, a proceeding where the Secretary of Labor is a party, 

they shall immediately contact the RSOL for instructions regarding the manner in which 

to respond. If a CSHO is served with a subpoena, they shall notify the Area Director 

immediately who shall then refer the matter to the RSOL.

NOTE: Review Commission rules provide that any person served with a subpoena, 

whether to testify in any Commission hearing or to produce records and testify in such 

hearing shall, within five days after date of service, move to revoke the subpoena if the 

person does not intend to comply with its terms. See §2200.57(c). Therefore, 

expeditious handling of any subpoena served on OSHA employees is essential. When 
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any such subpoena is served, the RSOL must immediately be notified by telephone or 

email.

B. Proceedings to which the Secretary of Labor is Not a Party.

1. If any OSHA personnel is served with a subpoena or order either to appear or to 

provide testimony in, or information for, a proceeding to which the Secretary of 

Labor is not a party (e.g., a private third party tort suit for damages associated with a 

workplace injury), they shall immediately contact the RSOL.

2. U.S. Department of Labor regulations prohibit Department employees from 

participating in, or from providing information for, proceedings in which the 

Secretary of Labor is not a party without explicit permission from the designated 

Deputy Solicitor of Labor. See 29 CFR 2.21 and 29 CFR 2.22. These regulations 

apply to demands to disclose or provide:

a. Any material contained in the files of the Department;

b. Any information relating to material contained in the files of the Department; or

c. Any information or material acquired by any person while such person was an 

employee of the Department as a part of the performance of his/her official duties 

or because of his/her official status.

3. The Office of the Solicitor is responsible for responding to such requests and will 

take appropriate steps to have the subpoena quashed or provide the necessary 

permission, as appropriate, to allow an employee to comply with an issued order.

III. Obtaining Warrants.

A. Warrant Applications.

1. Upon refusal of entry, of if there is reason to believe an employer will refuse entry, 

the Area Director shall proceed according to guidelines and procedures established in 

the region for warrant applications. The Area Director may initiate the compulsory 

process with approval of the RSOL.

2. Warrant applications for establishments where consent has been denied for a limited 

scope inspection (i.e., complaint, referral, accident investigation) shall normally be 

limited to the specific working conditions or practices forming the basis of the 

inspection. However, a broad scope warrant may be sought if there is evidence of 

potentially pervasive violative conditions or if the establishment is on a current list of 

establishments targeted for a comprehensive inspection.

B. General Information Necessary to Obtain a Warrant.

If the warrant is to be obtained by the RSOL, the Area Director shall inform the RSOL in 

writing within 48 hours after the determination is made and provide all information 

necessary to obtain a warrant, including:

1. Area/District Office, telephone number, and name of Area Director or designee 

involved;

2. Name of CSHO attempting inspection and inspection number, if assigned. Identify 

whether the inspection to be conducted will include safety items, health items or 

both;

3. Legal name(s) of establishment and address, including City, State and County. 

Include worksite location if different from mailing address;

4. Estimated number of employees at inspection site;

5. Standard Industrial Classification (SIC) or North American Industry Classification 

System (NAICS) Code and high hazard ranking for that specific industry within the 

State, as obtained from statistics provided by the National Office;
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6. Summary of all facts leading to the refusal of entry or limitation of inspection, 

including:

a. Date and time of entry/attempted entry;

b. Date and time of denial;

c. Stage of denial (entry, opening conference, walkaround, etc.);

7. A narrative of all actions taken by the CSHO leading up to, during, and after refusal, 

including:

a. Full name and title of the person(s) to whom CSHO presented credentials;

b. Full name and title of person(s) who refused entry;

c. Reasons stated for the denial by person(s) refusing entry;

d. Response, if any, by CSHO to the denial name and address (if known) of any 

witnesses to denial of entry.

8. Any information related to past inspections, including copies of previous citations.

9. Any previous requests for warrants. Attach details, if applicable.

10. All completed information related to the current inspection report, including 

documentation of any observations of violations in plain view discovered prior to 

denial.

11. If a construction site involving work under contract from any agency of the Federal 

Government, the name of the agency, the date of the contract, and the type of work 

involved.

12. Other pertinent information, such as: description of the workplace; the work 

processes; machinery, tools and materials used; known hazards and injuries 

associated with the specific manufacturing process or industry.

13. Investigative procedures that may be required during the proposed inspection, e.g., 

interviewing of employees/witnesses, personal sampling, photographs, 

audio/videotapes, examination of records, access to medical records, etc.

C. Specific Warrant Information Based on Inspection Type.

Document all specific reasons for the selection of the establishment to be inspected, 

including proposed scope of the inspection:

1. Imminent Danger.

a. Description of alleged imminent danger situation;

b. Date information received and source of information;

c. Original allegation and copy of typed report, including basis for reasonable 

expectation of death or serious physical harm and immediacy of danger; and 

d. Whether all current imminent danger investigative procedures have been 

followed.

2. Fatality/Catastrophe.

The FAT/CAT (OSHA-36) should be completed with as much detail as possible.

3. Complaint or Referral.

a. Original complaint or referral, and copy of typed complaint or referral;

b. Reasons OSHA believes that a violation threatening physical harm or imminent 

danger exists, including possible standards that could be violated if the complaint 

or referral is credible and representative of workplace conditions;

c. Whether all current complaint or referral processing procedures have been 

followed; and 

d. Any additional information pertaining to the evaluation of the complaint or 

referral.

4. Programmed.

a. Targeted safety – general industry, maritime, construction;
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b. Targeted health; and/or

c. Special emphasis program – Special Programs, Local Emphasis Program, 

Migrant Housing Inspection, etc.

5. Follow-up.

a. Date of initial inspection;

b. Details and reasons follow-up was conducted;

c. Copies of previous citations which served as the basis for initiating the follow-up;

d. Copies of settlement agreements and final orders, if applicable; and/or

e. Previous history of failure to correct, if any.

6. Monitoring.

a. Date of original inspection;

b. Details and reasons monitoring inspection is to be conducted;

c. Copies of previous citations and/or settlement agreements that serve as the basis 

for the monitoring inspection; and/or

d. Petition for Modification of Abatement Date (PMA) request, if applicable.

D. Warrant Procedures.

Where a warrant has been obtained, CSHOs are authorized to conduct the inspection in 

accordance with the terms of the warrant. All questions from employers concerning the 

reasonableness of a compulsory process inspection shall be referred to the Area Director 

and the RSOL.

1. Action Taken Upon Receipt of Warrant (Compulsory Process).

a. The inspection will normally begin within 24 hours of receipt of a warrant or 

from the date authorized by the warrant for initiating the inspection.

b. Upon completion of the inspection, if the warrant includes a return of service

space for entering inspection dates, CSHOs shall complete the return of service 

on the original warrant, sign and forward it to the Area Director or designee for 

appropriate action.

2. Serving a Subpoena for Production of Records.

Where appropriate, even where the scope of an inspection is limited by a warrant or 

an employer’s consent to specific conditions or practices, any subpoena for 

production of records shall be served in accordance with the section on administrative 

subpoenas in this chapter.

E. Second Warrant.

Under certain circumstances, a second warrant may be sought to expand an inspection 

based on a records review or “plain view” observations of other potential violations 

discovered during a limited scope walkaround.

F. Refused Entry or Interference.

1. When an apparent refusal to permit entry or inspection is encountered upon 

presenting the warrant, CSHOs shall specifically inquire whether the employer is 

refusing to comply with the warrant.

2. If the employer refuses to comply or if consent is not clearly given, CSHOs shall not 

attempt to conduct the inspection at that time, and shall leave the premises and 

contact the Area Director or designee regarding further action.

a. CSHOs shall fully document all facts relevant to the refusal (including noting all 

witnesses to the denial of entry or interference).

b. Area Directors shall then contact the RSOL and the Regional Administrator, who 

shall jointly decide the action to be taken.

G. Federal Marshal Assistance.
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In unusual circumstances, a U.S. Marshal may be asked to accompany a CSHO when a 

warrant is presented. A request for a U.S. Marshal’s assistance shall be made only by an 

Area Director after consultation with the Regional Administrator and the RSOL, and only 

when there is a potential for violence, harassment and/or interference with the inspection, 

or reason to believe that the presence of a U.S. Marshall will assist with compliance with 

the warrant.

IV. Equal Access to Justice Act (EAJA).

A. Prevailing Party May be Awarded Fees.

The Equal Access to Justice Act (EAJA) provides that a party prevailing against the 

United States in litigation may be awarded fees payable by an agency of the United States 

if the agency’s position in litigation was not “substantially justified” or if the agency 

proposed a penalty that was reduced as a result of litigation and subsequently determined 

to be “unreasonable.” EAJA awards are statutorily limited to certain small entity parties, 

generally those with a designated net worth and/or number of employees. See 28 U.S.C. 

§ 2412(d)(2)(B).

B. OSHA’s Position Must be Substantially Justified.

Pursuant to the EAJA, the Commission or a federal court may award an employer fees if 

OSHA proceeds in litigation on a position that is not substantially justified or proposes a 

penalty that subsequently is found to be unreasonable in light of the statutory penalty 

assessment provisions and the circumstances relevant to the particular case. If an EAJA 

award is assessed by the Commission or a court following an OSHA proceeding and the 

award becomes a final order, OSHA is responsible for paying the award.

C. EAJA Should Not Affect How the Agency Operates.

EAJA should not affect the manner in which the agency operates, as citations are issued 

only after OSHA determines that there is adequate evidence that a violation exists, and 

proposed penalty amounts are determined based on established statutory and 

administrative criteria, and facts derived during the inspection/investigation. However, 

the potential for incurring EAJA costs underscores the importance of thoroughly 

documenting each element of a violation with evidence supporting the violative condition 

and characterization. In addition, because the Secretary generally bears the burden of 

proof in litigation, it is important that CSHOs promptly discuss with the RSOL during the 

early stages of an investigation any factors affecting the Secretary’s ability to support an 

alleged violation or penalty proposal (e.g., the likely unavailability of a critical witness or 

the need for an expert).

V. Notice of Contest.

OSHRC is an independent Federal agency created to decide contests of citations or penalties 

resulting from OSHA inspections. The Review Commission, therefore, functions as an 

administrative court, with established procedures for conducting hearings, receiving evidence 

and rendering decisions by its Administrative Law Judges (ALJs). The Act states that the 

Review Commission operates as an independent agency (i.e., not part of another Federal 

department) to ensure that parties to agency cases receive impartial hearings.

A. Time Limit for Filing a Notice of Contest.

1. The Act provides employers 15 working days following its receipt of a notice of a 

citation to notify OSHA of the employer’s desire to contest a citation and/or proposed 

assessment of penalty.
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2. Where a notice of contest was not mailed, i.e., postmarked, within the 15 working 

day period allowed for contest, the Area Director shall follow the instructions for 

Late Notices of Contest. A copy of any untimely notice of contest shall be retained in 

the case file.

B. Contest of Abatement Period Only.

If the notice of contest is submitted to the Area Director after the 15 working day period, 

but contests only the reasonableness of the abatement period, it shall be treated as a 

Petition for Modification of Abatement and handled in accordance with PMA procedures.

C. Communication Where the Intent to Contest is Unclear.

1. If a written communication is received from an employer containing an objection, 

criticism or other adverse comment as to a citation or proposed penalty, but which 

does not clearly appear to contest the citations, the Area Director shall contact the 

employer to clarify the intent of the communication.

a. After receipt of the communication, any clarification should be obtained within 

the 15 working day contest period, so that if a determination is made that it is a 

notice of contest, the file may be timely forwarded to the Review Commission.

b. In cases where the Area Office receives a written communication from an 

employer requesting an informal conference that also states an intent to 

contest, the employer must be informed that there can be no informal conference 

unless the notice of contest is withdrawn. If the employer still wants to pursue an 

informal conference, it must first present or send a letter expressing that intent 

and rescinding the contest. All documents pertaining to such communications 

shall be retained in the case file.

2. If an Area Director determines that the employer intends the document to be a notice 

of contest, it shall be transmitted to the OSHRC. If contact with the employer reveals 

a desire for an informal conference, the employer shall be informed that the 

conference does not stay the running of the 15 working day contest period.

NOTE: Settlement is permitted at any stage of Commission proceedings. See 

§2200.100(a).

VI. Late Notice of Contest.

A. Failure to Notify OSHA of Intent to Contest.

If the employer fails to notify OSHA of its intent to contest a citation or penalty within 15

working days following the receipt of a citation, the citation and proposed penalties 

become final orders of the Review Commission.

B. Notice Received after the Contest Period.

1. In every case where OSHA receives notice of an employer’s intent to contest a 

citation and/or proposed assessment of penalty beyond the 15 working day period, 

Area Directors shall inform employers in writing that OSHA will not accept the 

untimely notice of contest, but that they may transmit the late filed notice of contest 

to the Commission.

2. The letter from the Area Director will also indicate the following:

a. Inspection number;

b. Citation number(s);

c. Corresponding proposed penalties;

d. Date on which OSHA believes the employer received the notice of a violation 

(and proposed penalty, if applicable);

e. Date on which OSHA received the employer’s notice of contest, as well as any 

additional information the Area Director believes to be pertinent.
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NOTE: The postmarked envelope containing the late filed notice of contest date is 

to be retained. A copy of the letter and envelope shall be sent to RSOL.

C. Retention of Documents.

1. Area Offices shall maintain all documents reflecting the date on which the employer 

received the notice of a violation (and proposed penalty, if applicable), and the

employer’s notice of contest was received, as well as any additional information 

pertinent to demonstrating failure to file a timely notice of contest.

2. Written or oral statements from the employer or its representative explaining the 

employer’s reason for missing the filing deadline shall also be maintained (notes shall 

be taken to memorialize oral communications).

VII. Contested Case Processing Procedures.

The notice of contest and related documents must be sent to the OSHRC within 15 working 

days of receipt of the employer’s notification. See §2200.33. The RSOL shall be consulted 

in any questionable cases.

A. Transmittal of Notice of Contest to Commission.

1. Documents to Executive Secretary.

In most cases, the envelope sent to the OSHRC Executive Secretary will contain the 

following three documents:

a. Employer’s original letter contesting OSHA’s action;

b. One copy of the Citation and Notification of Penalty (OSHA-2) or of the Notice 

of Failure to Abate Alleged Violation (OSHA-2B); and 

c. Certification form.

2. Notices of Contest.

The original notice of contest shall be transmitted to the Commission and a copy 

retained in the case file. The envelope containing the notice of contest shall be 

retained in the case file with the postmark intact.

3. Contested Citations and Notice of Proposed Penalty or Notice of Failure to Abate.

A signed copy of each of these documents shall be sent to the Commission and a 

copy retained in the case file.

4. Certification Form.

a. The certification form shall be used for all contested cases and a copy retained in 

the case file. It is essential that the original of the certification form, properly 

executed, be transmitted to the Commission.

b. When listing the Region number in the heading, do not use Roman numerals. 

Use 1, 2, 3, 4, 5, 6, 7, 8, 9, or 10. Insert “C” in the CSHO Job Title block if a 

safety CSHO, or “I” if a health CSHO.

c. Item 3 of the form shall be filled by inserting only the word “employer” or 

“employee” in the space provided. This shall be done even where the notice of 

contest is filed by an attorney for the party contesting the action. An item “4”

shall be added where other documents, such as additional notices of contest, are 

sent to the Commission.

d. Insert the correct date for each item in the document list in the column headed 

“Date.”

e. Insert the name and address of the RSOL attorney who will handle the case, in 

the box containing the printed words “FOR THE SECRETARY OF LABOR.” 

The Commission notifies this person of the hearing date and other official actions 

on the case.

f. The documents are to be transmitted within the 15 working day time limit to: 
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Executive Secretary

Occupational Safety and Health Review Commission

1120 20th Street, N.W., 9th floor

Washington, DC 20036-3419

B. Transmittal of File to Regional Solicitor.

1. Under the Commission’s Rules of Procedure, the Secretary of Labor is required to 

file a complaint with the Commission within 20 calendar days after the Secretary’s 

receipt of a notice of contest.

2. Immediately after receiving a notice of contest, the Area Director shall send to the 

RSOL by U.S. mail (or other mutually agreeable manner) the notice of contest, which 

the Area Director or designee will later transmit to the Commission, along with the 

complete investigative file (including photos and video).

VIII. Communications while Proceedings are Pending before the Commission.

A. Consultation with Regional Solicitor.

1. After a notice of contest is filed and the case is within the jurisdiction of the 

Commission, there shall be no subsequent investigations of, or conferences with, the 

employer or employee representatives that have sought party status relating to any 

issues underlying the contested citations, without prior clearance from the RSOL.

2. Once a notice of contest has been filed, all inquiries relating to the Citation and 

Notification of Penalty (OSHA-2) shall be referred promptly to the RSOL. This 

includes inquiries from the employer, affected employees, employee representatives, 

prospective witnesses, insurance carriers, other Government agencies, attorneys, and 

any other party.

B. Communications with Commission Representatives while Proceedings are Pending 

before the Commission.

CSHOs, Area Directors, Regional Administrators, or other field personnel shall not have 

any direct or indirect communication relevant to the merits of any open case with 

Administrative Law Judges, employees of the Commission, or any of the parties or 

interveners. All inquiries and communications shall be handled through the RSOL.

IX. Commission Procedures.

A. Two Levels of Adjudication.

OSHRC’s Rules of Procedure provide for two levels of adjudication. The first level is 

before an Administrative Law Judge. The second level is review of ALJ decisions by the 

agency’s Commissioners, if one of the Commissioners directs review.

B. Rules of Procedure.

1. The OSHRC Rules of Procedure are found in Part 2200 of Title 29 of the Code of 

Federal Regulations. These rules govern two types of ALJ proceedings.

a. The more conventional proceeding involves the use of pleadings, discovery, a 

hearing and post-hearing briefs.

b. Simplified Proceedings are less formal hearings that employ fewer legal 

procedures and are used in less complex cases (few citation items, no willful or 

repeat violation or fatality) and can be requested by either party or by the ALJ. In 

Simplified Proceedings, pleadings are generally not required and early discussion 

among the parties to narrow the disputed issues is required.

2. Receipt of Case.

Upon receipt of a case by the assigned ALJ, a hearing date is set and a site selected as 

close as possible to where the alleged violation(s) occurred. The hearing is an 
15-11

administrative trial conducted in accordance with the Commission’s Rules of 

Procedure.

3. Hearing Evidence.

a. Review includes a new examination of all of the evidence, as well as briefs 

submitted by the parties.

b. Upon hearing all of the evidence, the judge will issue a written decision, 

including both findings of fact and conclusions of law.

c. The OSHRC then issues a decision affirming, modifying or vacating the citations 

and penalties proposed by OSHA.

d. The decision becomes final in 30 days unless, within that period, one of the 

Commissioners directs that the case be reviewed.

4. Review of ALJ’s Decision.

If one of the parties requests review of the ALJ’s decision, but review is not directed 

by the Commission, the petitioning party may request review by the appropriate U.S. 

Circuit Court of Appeals. Review by a U.S. Court of Appeals must be sought within 

60 days after the Commission’s decision becomes final.

5. Availability of Commission Decisions.

Commission decisions, including Administrative Law Judge decisions, are available 

from the Review Commission website, www.oshrc.gov.

X. Discovery Methods.

Once a legal proceeding has been initiated, each party has the opportunity to “discover”

evidence in the possession of an opposing party. Traditionally, discovery methods include:

 Request for Admissions,

 Interrogatories,

 Requests for Production of Documents, and

 Depositions.

An attorney from the Solicitor’s Office will represent the agency in responding to 

discovery requests. It is essential that all OSHA personnel coordinate and cooperate with the 

assigned attorney to ensure that such responses are accurate, complete, and filed in a timely 

manner.

A. Interrogatories.

CSHOs shall draft and sign answers to interrogatories, with RSOL assistance. It is the 

responsibility of the CSHO to answer each interrogatory separately and fully. The RSOL 

attorney shall sign any objections to the interrogatories. CSHOs should be aware that 

they may be deposed and/or examined at hearing on the interrogatory answers provided.

B. Production of Documents.

1. If a request for production of documents is served on RSOL and that request is 

forwarded to the Area Office CSHOs, or staff member, they should immediately 

make all documents relevant to that discovery demand available to the RSOL 

attorney.

2. While portions of those materials may be later withheld based on governmental 

privileges or doctrine (e.g., statements that would reveal the identity of an informer), 

CSHOs must not withhold any information from the RSOL attorney.

3. It is RSOL’s responsibility to review all material and to assert any applicable 

privileges that may justify withholding documents/materials that would otherwise be 

discoverable.

C. Depositions.
15-12

Depositions permit an opposing party to take a potential witness’ pre-hearing statement 

under oath in order to better understand the witness’s potential testimony if the matter 

later proceeds to a hearing. CSHOs or other OSHA personnel may be required to offer

testimony during a deposition. In such cases, an RSOL attorney will be present with the 

witness. 

XI. Testifying in Hearings.

While instructions provided by RSOL attorneys take precedence, particularly during trial 

preparation, the following considerations will generally enhance the hearing testimony of 

CSHOs:

A. Review Documents and Evidence.

In consultation with RSOL, CSHOs should review documents and evidence relevant to 

the inspection or investigation before the proceeding, so that when testifying, they are 

very familiar with the evidence and need not regularly refer to the file or other 

documents.

B. Attire.

Wear appropriate clothing that reflects the agency’s respect for the court or other tribunal 

before which you are testifying. This also applies when appearing before a magistrate to 

seek an administrative warrant.

C. Responses to Questions.

Answer all questions directly and honestly. If you do not understand a question, indicate 

that and ask that the question be repeated or clarified.

D. Judge’s Instruction(s).

Listen carefully to any instruction provided by the judge and, unless instructed to the 

contrary by RSOL counsel, follow the judge’s instruction.

XII. Commission Simplified Proceedings.

Simplified Proceedings (formerly known as “E-Z Trials”) are the Commission’s attempt to 

simplify the resolution of some contested citations.

A. Proposed Penalty Threshold.

Because the Commission has raised the proposed penalty threshold for cases that are 

eligible for simplified proceedings, a greater number of cases will be eligible for this type 

of proceeding. These include most cases with aggregate proposed penalties of less than 

$20,000 and, at the discretion of the Chief ALJ, some cases with aggregate proposed 

penalties of up to $30,000.

B. Prompt Disclosure of Inspection Documents.

Simplified proceedings contemplate the prompt disclosure of inspection documents. 

Pursuant to the Commission’s rules [29 CFR 2200.206], the Secretary must provide the 

employer within prescribed time periods, the following documents:

1. Within 12 working days after the case is designated for simplified proceedings, 

copies of the Narrative (OSHA-1A) and Violations (OSHA-1B) (or their equivalents);

2. Within 30 calendar days after the case is designated for simplified proceedings, 

copies of photographs or videotapes expected to be used at the hearing; and

3. Within 30 calendar days after the case is designated for simplified proceedings, any 

evidence in OSHA’s possession that may support the employer’s defense to the 

citation.

NOTE: Simplified proceedings provide fewer opportunities for the Secretary’s counsel 

to obtain information concerning the employer’s positions and defenses prior to a 
15-13

hearing. Therefore, it is particularly important for CSHOs to promptly provide SOL 

counsel with all information regarding potential affirmative defenses that an employer

may raise and/or arguments the employer may use to refute a violation(s) or the propriety 

of a proposed penalty.

XIII. Citation Final Order Dates.

A. Citation/Notice of Penalty Not Contested.

The Citation/Notice of Penalty and abatement date becomes a final order of the 

Commission on the date the 15 working day contest period expires. For purposes of 

computing the 15 working day period, the day the employer receives the citation is not 

counted.

Example 15-1: An employer receives the Citation/Notice of Penalty on Monday, 

August 4th. The day the employer receives the Citation/Notice of Penalty is not counted. 

Therefore, the final order date would be Monday, August 25th.

B. Citation/Notice of Penalty Resolved by Informal Settlement Agreement (ISA).

Because there is no contest of the citation, an ISA becomes final, with penalties due and 

payable, on the date of the last signature of the parties. See also Chapter 8, Section 

I.B.2. (An ISA is effective upon signature by both the Area Director and the employer 

representative as long as the contest period has not expired).

NOTE: A later due date for payment of penalties may be set by the terms of the ISA.

C. Citation/Notice of Penalty Resolved by Formal Settlement Agreement (FSA).

The Citation/Notice of Penalty becomes final 30 days after docketing of the 

Administrative Law Judge’s (ALJ’s) Order approving the parties’ stipulation and 

settlement agreement, assuming there is no direction for review. The Commission’s 

Notice of Docketing specifies the date upon which the decision becomes a final order. If 

the FSA is approved by an order of the full Commission, it will become final after 60 

days.

D. Cases Resolved by an ALJ Decision.

The ALJ’s decision becomes a final order of the Commission 30 days after docketing,

unless the Commission directs review of the case. The Commission’s Notice of 

Docketing specifies the date upon which the decision becomes a final order.

E. ALJ Decision Reviewed by Commission.

Pursuant to Section 11 of the Act, the Commission’s decision becomes final 60 days 

after the Notice of Commission Decision. The Notice of Commission Decision 

specifies the date the Commission decision was issued. As a matter of policy, OSHA 

does not attempt to collect civil penalties while a case is being appealed. However, 

unless the employer requests a “stay” of the Commission’s decision, U.S. Court of 

Appeals review does not delay the abatement obligation.

F. Commission Decision Review by the U.S. Court of Appeals.

The U.S. Court of Appeals’ decision becomes final when the court issues its mandate. 

XIV. Federal Court Enforcement under Section 11(b) of the OSH Act.

An employer’s obligation to abate a cited violation arises when there is a final order of the 

Review Commission upholding the citation.

A. Section 11(b) Summary Enforcement Orders.

Section 11(b) of the OSH Act authorizes OSHA to obtain a summary enforcement order 

from the appropriate U.S. Circuit Court of Appeals enforcing final Review Commission 

orders. An employer who violates such a court order can be found in contempt of court. 
15-14

Potential sanctions for contempt include daily penalties and other fines, recovery of the 

Secretary’s costs of bringing the action, incarceration of an individual company officer

who flouts the Court’s order, and any other sanction which the court deems necessary to 

secure compliance. Employers who ignore ordinary enforcement actions may be induced 

to comply by the severity of these potential contempt sanctions.

Section 11(b) orders can be an effective and speedier alternative to failure-to-abate 

notices that are typically issued when an employer does not abate a violation within the 

allowed time. They can be requested from the Court whether the final order results from 

a Review Commission or ALJ decision, a settlement agreement, or an uncontested 

citation.

B. Selection of Cases for Section 11(b) Action.

All final orders issued in enhanced enforcement cases must be considered for Section 

11(b) enforcement. In addition, a petition for 11(b) enforcement is to be considered in 

cases where final orders do not meet the enhanced enforcement case criteria but where 

the following factors suggest that an 11(b) petition should be filed:

1. Employer’s citation history and/or other indications suggest serious compliance 

problems, such as widespread violations of the same or similar standards at multiple 

establishments or construction worksites. The OIS database should be searched for 

the employer’s history of violations;

2. Employer statements or actions indicating reluctance or refusal to abate significant 

hazards, or behavior that demonstrates indifference to employee safety;

3. Repeated violations of the Act, particularly of the same standard, which continue 

undeterred by the traditional remedies of civil monetary penalties and Review 

Commission orders to abate;

4. Repeated refusal to pay penalties;

5. Filing false or inadequate abatement verification reports;

6. Disregard of a previous settlement agreement, particularly one that includes a specific 

or company-wide abatement plan.

C. Drafting of Citations and Settlements to Facilitate Section 11(b) Enforcement.

Proper drafting of citations and settlement agreements can facilitate obtaining a Section 

11(b) order and maximize its deterrent effect.

Notations stating “Corrected during inspection” or “Employer has abated all hazards”

shall not be made on the citation in cases where there is evidence of a continuing 

violative practice by an employer that may be subject to a summary enforcement order 

under Section 11(b) of the Act (i.e., failure to provide fall protection is a recurring 

condition based on citation history or other indications suggesting widespread violations 

of the same or similar standards at other establishments or construction worksites).

Where possible, OSHA should attempt to identify cases that may warrant Section 11(b)

enforcement at least a month before issuing the citation. When OSHA identifies such a 

case, it will contact the RSOL to discuss citation language that is in accordance with 

Section 11(b) enforcement. If a case identified for potential Section 11(b) action is being 

resolved through a settlement agreement, whether formal or informal, language should be 

sought in the agreement that commits the employer to specific ongoing abatement duties.

Language in a settlement agreement that imposes a specific duty on the employer, such 

as a requirement that the employer hire a consultant to develop a safety program or 

provide OSHA with a list of other worksites, can be enforced under Section 11(b).

D. Follow-up Inspections.

The OSH Division in the National Office of the Solicitor’s Office will notify the RSOL 

and the Directorate of Enforcement Programs (and, where the order pertains to a 
15-15

construction employer, the Directorate of Construction), when a court has entered a

Section 11(b) order. OSHA will then promptly schedule an inspection or investigation to

determine whether the employer is complying with the court order. The Regional 

Administrator, in consultation with the RSOL, will determine the nature and extent of the 

inspection or investigation. The RSOL will advise on the kind of “clear and convincing”

evidence that would be needed to support a contempt petition in the event of the 

employer’s noncompliance with the order of the court.

E. Conduct of Verification Inspections.

Whenever an enforcement order is issued by a U.S. Court of Appeals, an inspection shall 

be scheduled within six months to determine whether the company is complying with the 

court order. If serious violations of the standard(s) subject to the enforcement order are 

found, the RSOL shall be contacted immediately for guidance on what evidence will be 

needed for submission to the court.
15-A-1

Appendix A

United States of America

DEPARTMENT OF LABOR

Occupational Safety and Health Administration

Subpoena Duces Tecum

TO : ____________________________________________________________________

Pursuant to Section 8(b) of the Occupational Safety and Health Act (29 U.S.C. §657(b)) 

you are hereby required to appear before 

_____________________________________________________________________

of the OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, UNITED STATES 

DEPARTMENT OF LABOR, at ________________________________, in the city of 

_______________________, on the ________ day of _____________, 20____, at 

________ o’clock am/pm of that day, to testify regarding the working conditions 

maintained by _________________________________________________________

And you are hereby required to bring with you and produce at said time and place 

the following books, papers, and documents, including information stored electronically: 

_____________________________________________________________________

FAIL NOT AT YOUR PERIL

IN TESTIMONY WHEREOF I have hereunto affixed my 

signature and the seal of the UNITED STATES 

DEPARTMENT OF LABOR at (Insert Location) this 

_________ day of _________ (insert month and year).

______________________________________

(Insert name of Regional Administrator), Occupational 

Safety and Health Administration, United States 

Department of Labor 
15-B-1

Appendix B

United States of America

DEPARTMENT OF LABOR

Occupational Safety and Health Administration

Subpoena Ad Testificandum

TO: ____________________________________________________________________

Pursuant to Section 8(b) of the Occupational Safety and Health Act (29 U.S.C. §657(b)) 

you are hereby required to appear before 

_____________________________________________________________________

of the OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION, UNITED STATES 

DEPARTMENT OF LABOR, at ________________________________, in the city of 

_______________________, on the ________ day of _____________, 20____, at 

________ o’clock am/pm of that day, to testify regarding the working conditions 

maintained by _________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

FAIL NOT AT YOUR PERIL

IN TESTIMONY WHEREOF I have hereunto affixed my 

signature and the seal of the UNITED STATES 

DEPARTMENT OF LABOR at (Insert Location) this 

_________ day of _________ (insert month and year).

_______________________________________

(Insert name of Regional Administrator), Occupational Safety 

and Health Administration, United States Department of Labor 
15-B-2

RETURN OF SERVICE

I hereby certify that a duplicate original of

the attached subpoena was duly served as follows:

in person_____

by certified mail_____:

_______________________

_______________________

_______________________

_______________________

on the person named herein on

______________________________________ (Month, day, year)

______________________________________ (Name of person making service)

______________________________________ (Official title)

I certify that a person named herein was

in attendance as a witness at

______________________________________

on____________________________________

(Month, day, year)

______________________________________ (Name of person certifying)

______________________________________ (Official title)

(Indicate by check 

method used.)
16-1

Chapter 16

DISCLOSURE UNDER THE FREEDOM OF INFORMATION ACT (FOIA)

I. Disclosure [Reserved]
17-1

Chapter 17

Preemption by Other Agencies 

I. Introduction. 

When promulgating the Occupational Safety and Health Act of 1970 (OSH Act), Congress 

recognized that other federal agencies possess authority over safety and health matters in 

certain industries. To avoid a duplication of federal effort and prevent conflict between 

different sets of regulations covering the same working condition, Congress provided, in 

Section 4(b)(1) of the Act, “Nothing in this Act shall apply to working conditions of 

employees with respect to which other Federal agencies, and State agencies acting under 

Section 274 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2021), exercise 

statutory authority to prescribe or enforce standards or regulations affecting occupational 

safety or health.” 29 U.S.C. 653(b)(1).

The process of making a Section 4(b)(1) determination can be complex. The process is 

fact-specific. The determination process involves a review of the other federal agencies 

regulations, policy statements, memoranda of understanding, and court and Commission 

cases. All agencies continually create and amend their regulations. Policy statements may 

be amended or rescinded. Agencies may enter into new Memoranda of Understanding or 

issue interpretations and directives. Links to some of these resources are included in this 

document. A working condition OSHA covered one day may end up being covered by 

another federal agency the next day. Because the federal regulatory universe is in a constant 

state of flux, this document does not comprehensively address the coverage of the OSH Act 

within each industry. Although it is useful to contact the field offices of the other agency, 

the guidance received from that field office is not necessarily determinative. The 

determination should be made after consultation with the Regional Solicitor’s Office.

II. Testing Exemptions.

Generally speaking, there is a two-pronged test to determine whether or not working 

conditions are exempt from coverage by Section 4(b)(1) of the OSH Act: (1) Does the 

other federal agency possess the statutory authority to prescribe or enforce standards or 

regulations affecting occupational safety or health, and (2) has the other federal agency 

“exercised” its statutory authority over the particular working condition? A “working 

condition” is generally a particular occupational hazard. Another agency’s requirement 

dealing with an occupational hazard preempts OSHA even if the requirement also protects 

public safety or health, unless the other agency’s requirement only incidentally affects 

occupational safety or health. It is important to note that the Commission and the courts 

have stated that OSHA may not question the efficacy of another federal agency’s 

requirements. The mere fact that the other federal agency has exercised its statutory 

authority over the working condition is enough to preempt OSHA.

In some cases, the other agency has formally decided that its regulations comprehensively 

address an entire area. In such cases, OSHA is preempted with respect to the entire 

identified area. In other cases, an agency has formally decided that a particular hazard will 

not be regulated. In such a case, OSHA is preempted with respect to that hazard.
17-2

III. Statutory Exercise.

The vast majority of the time an “exercise” of statutory authority takes the form of a 

regulation in the Code of Federal Regulations. However, the Commission and the courts 

have recognized other agency actions as forms of this exercise of authority. For instance, 

safety and health requirements contained in a maintenance manual that has been reviewed 

and approved by the Federal Aviation Administration (FAA), have been deemed to be an 

exercise of statutory authority, thereby exempting working conditions covered by manual 

provisions from applicable OSHA requirements. Another example is a requirement on an 

EPA-approved label on a pesticide container.

Section 4(b)(1) is not a “jurisdictional” issue. It is an affirmative defense to a citation. 

That means an employer must prove that OSHA is preempted pursuant to Section 4(b)(1) in 

order to defeat the citation on those grounds. The employer must show that the other 

agency’s requirements are enforceable against that employer, not others who may be

involved in the work. However, OSHA Area Offices must not issue a citation with respect to 

a working condition preempted by another agency pursuant to Section 4(b)(1). Where there 

may be Section 4(b)(1) preemption, the Area Office must make an initial determination 

before a citation is issued.

NOTE: Section 4(b)(1) does not preempt citations for violations of the Part 1904 

recordkeeping regulations. Thus, citations may be issued for violations of Part 1904 without 

regard to Section 4(b)(1).

State agencies do not preempt OSHA pursuant to Section 4(b)(1), with a few exceptions. 

Section 4(b)(1) expressly provides for preemption by state nuclear regulatory agencies with 

respect to materials regulated by the Nuclear Regulatory Commission. Also, when state 

agencies enforce federal regulations pursuant to a plan approved by another federal agency, 

those regulations trigger Section 4(b)(1) preemption, but state regulations merely compatible 

with federal regulations do not preempt OSHA. Examples of state agencies which enforce 

federal regulations are agencies which regulate natural gas pipelines and commercial motor 

vehicles.

At times, OSHA State Plan officials may have questions about preemption by other federal 

agencies. Section 4(b)(1) does not apply to State Plan agencies. However, some state OSHA 

statutes have provisions the same as or similar to Section 4(b)(1). In those cases, Area 

Offices should consult with their Regional Solicitors. Also, the federal statutes establishing 

the other federal agencies may preempt the States directly. Thus, when State Plan officials 

ask questions about preemption by other federal agencies, they should be advised to consult 

with their attorneys and with the relevant federal agency.

IV. Other Agencies which may Preempt OSHA.

The following information is meant to help point OSHA personnel in the right direction. 

Should an instance arise where one or more federal agencies are at the scene of an 

inspection or investigation and authority is at issue, the Directorate of Enforcement 

Programs (DEP) should be contacted for additional guidance. DEP staff will work with 

National Office staff from other federal agencies to make the Section 4(b)(1)determination. 

The agencies with respect to which most Section 4(b)(1) questions arise are listed below 

along with their websites. This is not an exhaustive list of all agencies whose requirements 

may preempt OSHA. OSHA’s Memoranda of Understanding and Memoranda of 

Agreement with other agencies can be found at: http://www.osha.gov/pls/oshaweb/

owasrch.search_form?p_doc_type=MOU&p_toc_level=0&p_keyvalue
17-3

A. Department of Transportation.

The Department of Transportation (DOT) protects the safety and health of employees 

and the public under various federal transportation laws.

1. Federal Aviation Administration.

The Federal Aviation Administration (FAA) has the authority to develop regulations 

and minimum standards in the interest of safety in air commerce.

The Commission has held that FAA-mandated maintenance manual provisions 

concerning safety instructions for aircraft maintenance personnel trigger Section 

4(b)(1), preemption of OSHA requirements. With respect to flight crew, the FAA 

has issued a policy statement stating that the FAA comprehensively regulates the 

working conditions of flight crew, except that OSHA may enforce its noise, hazard 

communication, and bloodborne pathogens standard with respect to all cabin 

crewmembers other than flight deck crew. OSHA began this enforcement on March 

26, 2014. http://www.faa.gov/

2. Federal Motor Carrier Safety Administration.

DOT’s Federal Motor Carrier Safety Administration (FMCSA) regulates commercial 

motor vehicles. The types of vehicles covered are listed in 49 U.S.C. 31132. 

FMCSA has issued extensive regulations related to commercial motor vehicle safety, 

including regulations to prevent the unintended movement of parked vehicles, 

regardless of their location. http://www.fmcsa.dot.gov/

3. Pipeline and Hazardous Materials Safety Administration.

The Pipeline and Hazardous Materials Safety Administration (PHMSA) prescribes 

safety requirements for natural gas and oil pipelines, liquefied natural gas facilities, 

and breakout tanks. These statutes only reach the owners and operators of pipelines 

and the other facilities mentioned above. Therefore, the employees of a contractor 

who is not the owner or operator of such a facility are covered by OSHA. States are 

authorized, by statute, to enforce PHMSA natural gas pipeline safety regulations. 

Such regulations, although enforced by a state agency, preempt OSHA. 

PHMSA also regulates the transportation of hazardous materials by vehicles. 

Because of a special provision in the hazardous materials transportation law, Section 

4(b)(1) does not apply to this transportation. However, as matter of policy, OSHA 

does not issue citations regarding the design of, or materials used for, containers of 

hazardous materials. http://www.phmsa.dot.gov/

4. Federal Railroad Administration.

The Federal Railroad Administration (FRA) enforces a number of statutes covering 

railroad safety. FRA regulations comprehensively regulate the movement of 

equipment over the rails. The FRA generally does not regulate working conditions in 

railroad repair shops. FRA Policy Statement, 43 FR 10583 (March 14, 1978). The 

FRA also has fall protection regulations for railroad bridge workers. 

http://www.fra.dot.gov/

B. Department of Labor.

The Mine Safety and Health Administration.

The Mine Safety and Health Administration (MSHA) comprehensively regulates the 

safety and health of employees engaged in mining and mineral milling. In order to 

clarify where milling ends and OSHA authority begins, OSHA and MSHA entered into 

an extensive Memorandum of Understanding (MOU) that delineates respective agency 

authorities. http://www.msha.gov/
17-4

C. Environmental Protection Agency.

The Environmental Protection Agency (EPA) administers the Federal Insecticide, 

Fungicide and Rodenticide Act (FIFRA). Under that law, EPA requires pesticides to 

have labels containing instructions for the safe use of pesticides. Some of those labels 

incorporate EPA regulations for the protection of farmworkers. The label instructions 

preempt OSHA with respect to occupational pesticide hazards. 

http://www.epa.gov/pesticides/

D. Nuclear Regulatory Commission.

The Nuclear Regulatory Commission (NRC) is responsible for licensing and regulating 

nuclear facilities and materials. In 2013, OSHA and NRC entered into a revised MOU 

that generally identifies four kinds of hazards associated with NRC-licensed nuclear 

facilities and designates which agency will be responsible for each kind of hazard. 

Generally, the NRC is responsible for the following hazards at NRC-licensed facilities: 

1) radiation hazards produced by radioactive materials; 2) chemical hazards produced by 

radioactive materials; and 3) facility conditions that affect the safety of radioactive 

materials, such as fire and explosion hazards. At these facilities, OSHA has authority 

over facility conditions that do not involve the use of radioactive materials, such as toxic 

nonradioactive material, electrical, fall, confined space, and equipment energization 

hazards. http://www.nrc.gov/

E. Department of Energy.

The Department of Energy (DOE) is responsible for the production of nuclear weapons, 

as well as the dismantling and cleanup of nuclear sites under the Atomic Energy Act. 

DOE has established and enforces a comprehensive set of occupational safety and health 

standards for the working conditions of contractor employees at its Government-Owned, 

Contractor-Operated (GOCO) facilities engaged in the Atomic Energy Act activities 

described above. Therefore, OSHA does not inspect the working conditions of these 

contactor employees. DOE’s statutory authority extends to construction, including new 

construction, on GOCO facilities. http://energy.gov/

F. Department of Homeland Security.

United States Coast Guard.

The United States Coast Guard (USCG) promulgates and enforces safety and health 

regulations for U.S. flag vessels on the high seas and navigable waters of the United 

States. USCG has exercised its statutory authority over “inspected vessels” by issuing a 

comprehensive set of regulations. An “inspected vessel” is one for which the Coast 

Guard has issued a Certificate of Inspection (COI). The types of “inspected vessels’ are 

listed in 46 U.S.C. 3301 and exemptions in 46 U.S.C. 3302. OSHA and the USCG 

entered into a MOU acknowledging that, due to USCG’s extensive regulations, OSHA 

will not enforce the OSH Act with respect to the working conditions of seamen aboard 

inspected vessels. However, this prohibition does not apply to recordkeeping.

Conversely, USCG has issued only a limited number of regulations applicable to 

“uninspected” vessels, which are not classified as “inspected vessels.” To the extent 

USCG has not regulated a particular working condition on an uninspected vessel, OSHA 

may conduct enforcement activity.

Under the Outer Continental Shelf Lands Act, the Coast Guard, along with the Bureau 

of Safety and Environmental Enforcement of the Interior Department (see below), has 

issued many safety and health regulations for offshore platforms in particular, provisions 

designed to prevent fires and explosions.
17-5

Enforcement Directive, CPL 02-01-047, OSHA Authority Over Vessels and Facilities 

on or Adjacent to U.S. Navigable Waters and the Outer Continental Shelf (OCS), Feb. 22, 

2010, addresses the issues in this paragraph. http://www.uscg.mil/

G. Department of Justice.

Bureau of Alcohol, Tobacco, Firearms and Explosives.

A law enforcement agency in the United States Department of Justice, the Bureau of 

Alcohol, Tobacco, Firearms and Explosives (BATFE) promulgates and enforces 

regulations relating to the illegal use and storage of explosives. 

OSHA directive CPL 02-01-053, Compliance Policy for Manufacture, Storage, Sale, 

Handling, Use and Display of Pyrotechnics, October 27, 2011, clarifies the interplay 

between OSHA’s Process Safety Management Standard, 29 CFR 1910.119, OSHA’s 

Explosives and Blasting Agents standard, 1910.109; and the BATFE regulations. 

http://www.atf.gov/

H. Department of Interior.

Bureau of Safety and Environmental Enforcement.

The Department of the Interior’s Bureau of Safety and Environmental Enforcement 

(BSEE), along with the Coast Guard (see above), promulgates and enforces safety 

regulations for offshore platforms on the Outer Continental Shelf in particular, provisions 

designed to prevent fires and explosions. http://www.bsee.gov/