United States of America v. Central Processing Corp.

Filing 1

ORDER for issuance of OSHA inspection warrant. Signed by Magistrate Judge Stephen L. Crocker on 1/30/14. (Attachments: # 1 Exhibit A - OSHA Field Operations Manual, # 2 issued warrant) (krj)

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OSHA's Field
Operations

Manual

(FOM)

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Chapter 3
INSPECTION PROCEDURES
I.

Inspection Preparation.
The conduct of effective inspections requiresjudgment 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 Planning.
It is important that the Compliance Officer (CSHO) adequately prepare for each
inspection. Due to the wide variety of industries and associated hazards likely to
be encountered, pre-inspection preparation is essential to the conduct of a quality
inspection.
A.

Review of Inspection History.
I.

2.

B,

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 !MIS
database. CSHOs should use name variations and addressmatching in their establishment search to maximize their efforts
due to possible company name changes and status (e.g., LLC,
Inc.).
If an cstablishment 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 nol be used to support a repeat violation.

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

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affect whether the inspection should be conducted andlor its scope. See
Paragraph YD. of this chapter, Review o/Voluntary Compliance
Programs.

C.

OSHA Data Initiative (001) Data Review.
The CSHO must obtain OD! survey infonnation for SST inspections,
which is available from http: 'app I.erg.com/oshassll J/login (this site is
available only to OSHA field personnel and requires a user name and
password). If assistance is needed, contact the OSHA Regional
Recordkeeping Coordinator for assistance. See CPL 02-00-135,
Recordkeeping Policies and Procedures Manual. dated December 30,
2004.

D.

Safety and Health Issues Relating to CSHOs.
I,

Hazard Assessment.
If the employer has a written certification that a hazard assessment
has been perfonned pursuant to & 191O.132(dl, 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 detennine potential hazards from sources such as the OSHA
300 Log of injuries and illnesses and shall select personal
protective equipment accordingly.

2.

Respiratory Protection.
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 & 191O,132(dl does not apply
to respirators; see CPL 02-02-054. Respiratory Protection
Program Guidelines, dated July 14, 2000. CSHOs should
review all pertinent infonnation 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

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should detennine 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 tits well (CSHOs should
request a replacement that tits 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

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3.

If there are any other concerns regarding the program.

Safety and Health Rules and Practices.
;)WI'm 19Q3..1{cJ
requires that CSHOs comply with all safety and
health rules and practices at the establishment and wear or use the
safety clothing or protective equipment required by OSHA
standards or by the employer for the protection of employees.

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.
E.

Advance Notiee.
I.

Polley.
a.

Section 17(1) 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.

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b.

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:
•
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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

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c.

In cases of apparent imminent danger to enable the
employer to correct the danger as quickly as possible;

When giving advance notice would enhance the
probability of an effective and thorough inspection;
e.g., in complex fatality investigations.

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.

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F.

Pre-Inspection Compulsory Process.
1.

Section 1903.4 authorizes the agency to seek a warrant in advance
of an attempted inspection if circumstances are such that "preinspection process (is) desirable or necessary:' Section 8(b) of the Act
authorizes the agency to issue administrative subpoenas to obtain
relevant information.

2.

Although the agency generally does not seek warrants without
evidence that the employer is likely to refuse entry, the Area
Director or designee may seek compulsory process in advance of
an attempt to inspect or investigate whenever circumstances
indicate the desirability of such warrants.
NOTE: Examples of such circumstances include evidence of denied
entry in previous inspections. or awareness that a job will only last a
short time or that job processes will be changing rapidly.

3.

G.

Administrative subpoenas may also be issued prior to any
attempt to contact the employer or other person for evidence related to
an OSHA inspection or investigation. See Chapter 15, £ega/Issues.

Personal Securlty 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.

H.

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.

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III.

Inspection Scope.
Inspections, either programmed or unprogrammed, full 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.

B.

Partial.
A partial inspection is one whose focus is limited to certain potentially
hazardous areas, operations, conditions or practices at the establishment.
I.

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 pre-determined criteria from their offices to
determine the necessity for expanding the scope of an inspection,
based on information gathered during records or program review
and walkaround inspection.

IV. Conduct of Inspection.
A.

Time of Inspection.
I.

2.

B.

Inspections shall be made during regular working hours of the
establishment except when special circumstances indicate
otherwise.
The Area Director or designee and the CSHO shall determine
if alternate work schedules are necessary regarding entry into an
inspection site during other than normal working hours,

Presenting Credentials.
I.

CSHOs are to present their credentials whenever they make
contact with management representatives, employees (to conduct
interviews), or organized labor representatives while conducting
their inspections.

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2.

3.

C.

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 ofthe general contractor.
When neither the person in charge nor a management official is
present, contact may be made with the employer to request the
presence of the owner, operator or management official. The
inspection shall not be delayed unreasonably to await the arrival of the
employer representative. This delay should normally not exceed
one hour. On occasions when the CSHO is waiting for the employer
representative, the workforce may begin to leave the jobsite. In this
situation 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.

Refusal to Permit Inspection and Interference.
SCClion8 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 (i.e., consent, third pany
consent, plain view, open field, 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 da 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.

I.

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 about the
establislunent. 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.

3.7

c.Ifthe employer raises no objection to inspection of certain
portions of the workplace but objects to inspection of other
portions, this shall be documented. Nonnally, 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 wiJIbe 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
detennine whether or not to consider this action as a refusal.
Examples of interference are refusals to pennit 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
refusal to allow attachment of sampling devices. See 1903.7(bl.

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3.

Forcible Interference with Conduct of InspectioD or Other
Omce 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, they 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 offsite location, CSHOs should leave the site
immediately pending further instructions from the Area
Director or designee.

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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,
Lega/lssues.

D.

Employee Participation.
CSHOs shall advise employers that Section 8ee) of the Act and & 1903.8
require that an employee representative be given an opportunity to
participate in the inspection.
J.

2.

E.

CSHOs shall determine as soon as possible after arrival whether
the employees at the inspected worksite are represented and, ifso, shall
ensure that employee representatives are afforded the opportunity to
participate in all phases of the inspection.
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.

Release for Entry.
J.

2.

F.

CSHOs shall not sign any form or release or agree to any waiver.
This includes any employer forms concerned with trade secret
information.
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 ofa release or waiver of prosecution of
liability under the Act.

Bankrupt or Out of Business.
I.

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, the inspection shall proceed.

3.9

3.

G.

An employer must comply with the Act until the day the business
actually ceases to operate.

Employee Responslbilides.
I.

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.

H.

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.

Under no circumstances are CSHOs to become involved in an
onsite 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.

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 site, the
Area Director or designee shall be consulted before any contact is made.
I.

Programmed Inspections.
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

Inspecdons.

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

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thoroughly assessed by the Area Director or designee prior to
scheduling an inspection.
b.

c.

J.

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.
During the inspection, CSHOs will make every effort to ensure
that their actions are not interpreted as supporting either party to
the labor dispute.

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.
I.

2.

V.

An employer will not be subject to citation if the observed
condition is in compliance with an existing variance issued to that
employer.
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.

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 an OSHA Inspection and OSHA
302 I, OSHA: Employee Workplace Rights may be distributed.
CSHOs shall request a copy of the written certification that a hazard
assessment has been performed by the employer in accordance with
'iL9Ji' : 32i.1). CSHOs should then ask the person who signed the
certification about any potential worksite exposures and select appropriate
personal protective equipment.

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I.

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
cmIuct sq:emteoonflre1reswi1h~and
ernp!o>t'e
representatives.
2.

Scope oflnspectlon.
CSHOs shall outline in general tenus the scope of the inspection,
including the need for private employee interviews, physical
inspection ofthe 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 ofimmediale
abatement, including that there are no certification requirements
for violations quickly corrected during the inspection. See Chaplcr
". Post-Inspection 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

3-12

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 the required
recordkeeping records within four (4) business hours.
b. Although the employer has four 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,

7.

Abbreviated Opening Conference.
An abbreviated opening conference shall be conducted whenever
the CSHO believes that circumstances at the worksite dictate the
walkaround begin as promptly as possible.
a. In such cases, the opening conference shall be limited to
presenting credentials, purpose of the visit, explanation of
rights, and a request for employer and employee represent.
atives. All other elements shall be fully addressed in the
closing conference.

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b. Pursuant to 1903.8, the employer and the employee
representatives shall be informed of the opportunity to
participate in the physical inspection ofthe workplace.
B.

Review of Appropriation

Act Exemptions and Limitation.

CSHOs shall determine if the employer is covered by any exemptions or
limitations noted in the current Appropriations Act. See CPL 02-00-05 I,
Enforcement Exemptions and Limitations under the Appropriations Act,
dated 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,

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3-13

conduct interviews, or a walkaround to confirm the information on the list
of chemicals and maximum intended inventories.
I.

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 dri lIing or servicing operation, or normally
unoccupied remote facility (~ 1910.11 9(0)(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)(I)(jj). a process could 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 ofa process
containing another highly hazardous chemical covered by the
standard, or
b. Flammable liquids 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 exemplions can be
found on the OSHA webSite. See CPL IJ3-00-004. Petroleum
Refinery Process Safety Management National Emphasis
Program, daled June 7, 2007.

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.
I.

OSHA On-Site Consultation

Visits.

a. In accordance with 91908.7 and Chapter VII of CSP 02-00002, The Consultation Policies and Procedures Manual,
CSHOs shall ascertain at the opening conference whether an
OSHA-funded consultation visit is in progress. A consultation

3-14

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, futality/catastropheinvestigations, complaint
investigations, and other critical inspections as determined by
the Assistant Secretary as noted in & 1908.7Ibl(21.
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 Program (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 cannot conducl 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, dated April 18, 2008.
E.

Disruptive Conduct.
CSHOs may deny the right of accompaniment to any person whose
conduct interferes with a full and orderly inspection. See 1903.8(dl. If
disruption or interference occurs, the CSHO shall contact the Area
Director or designee as to whether to suspend the walkaround 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.

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3-15

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(dl

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VI. Review of Records.
A.

Injury and IJIness Records.
I.

Collectlon of Data.
a. At the start of each inspection, the CSHO shall review the
employer's injury and illness records for three prior
calendar years, record the information on a copy of the OSHA.
300 screen, and enter the employer's data using the IMIS
Application 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

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.30Is 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-JOOA for
all past years.

3.16

3.

Automatic DART Rate Calculatlon.
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 micro (for
IMIS). Ifone of the three years is a partial year, so indicate and
the software will calculate accordingly.

4.

Manual DART Rate Calculatlon.
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:

is the number of cases involving days away and/or
restricted work activity and job transfers.

•

N

•

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-t: Employees of an establishment
(XYZ
Company), including managemen~ 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.
S.

Constructlon.
For construction inspections/investigations, only the OSHA-300
information for the prime/general contractor need 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.

3-17

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(hl 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,
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,

C.

Death;

Meet the recording criteria for Specific Cases noted in & 1904,8
through 1904, II.

*

Recordkeeping Deficiencies.
I,

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 impairs 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. dated December 30,2004, and CPL 02-02-072, Rules
of Agency Practice and Procedure concerning OSHA Access 10

3-18

Employee Medical Records for Policy Regarding Review of
Medical and Exposure Records. dated 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.
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 employee. 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 ofan inspection if the CSHO
determines that such additional representatives will aid, and not interfere
with, the inspection. See & 1903.8(a).
I.

Employees Represented by a Certified or Recognized
Bargaining Agent,
During the opening conference, the highest ranking union official or
union employee representative onsite shall designate who will
participate in the walkaround. OSHA regulation 9 1903.8(bl 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 judgment 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) is reasonably necessary to the
conduct of an effective and thorough physical inspection of the

3-19

workplace, such third party may accompany CSHOs during
the 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. If
selection of such an employee is impractical,CSHOs shall conduct
interviews with a reasonable number of employees during the
walkaround.

3.

Safety Committee.
Employee members of an established plant 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
Q, 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(s), the hazard to which the employee(s) was
exposed, the employee's proximity to the hazard, the
employer's knowledge ofthe condition, and 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,
type of materials, positions of pertinent articles, witnesses,
etc.
NOTE: If employee exposure to hazards is not observed, the
CSHO shall document/acts on which the determination is made
that an employee has been or could be exposed. See Chapter 4.
3.20

Violations and Chapler 5. Case File Preparation and
Documentation.
D.

Testifying in Hearings.
CSHOs may be required to testifYin 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 15of the Act, includes information
concerning or related to processes, operations, style of work, or apparatus, or
to the identity, confidential statistical data, amount Orsource of any income,
profits, losses, or expenditures of any person, firm, partnership, corporation, or
association, See 18 USC 1905.
1.

Policy.

It is essential to the effective enforcement of the Act that CSHOs and
OSHA personnel preserve the confidentiality of all information and
investigations which might reveal a trade secret.
2.

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

INFORMATION"

"RESTRICTED TRADE INFORMATION"
a.

Under Section 15 of the Act, all information reported to or
obtained by CSHOs in connection with any inspection or other
activity which contains or which might reveal a trade secret
shall be kept confidential. Such information shall not be
disclosed except to other OSHA officials concerned with the
enforcement of the Act or, when relevant, in any proceeding
under the Act.

b.

'I ille 18 USC 1905 provides criminal penalties for Federal
employees who disclose such information. These penalties include
fines of up to $1,000 or imprisonment of up to one year,orboth,
and removal from office or employment.

3.21

c. Trade secret materials shall not be labeled as "Top Secret,"
"Secret," or "Confidential," nOrshall 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.

F.

Ifthe 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 Sc~tion 15 of the Act and & t 903.9. If the
employer still objects, CSHOs shall contact the Area Director or
designee.

Collecting Samples.
1.

2.

G.

CSHOs shall determine early in the inspection whether sampling
such as, but not limited to, air sampling and surface sampling is
required, by utilizing the information collected during the walk
around and from the pre-inspection review.
Summaries of the results shall be provided on request to the
appropriate employees, including those exposed or likely to be
exposed to a hazard, employer representatives and employee
representatives.

Photographs and Videotapes.
I.

Photographs and/or videotapes, whether digital or otherwise, 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 OSHA. IB.
b. CSHO shall ensure that any photographs relating to confidential
or trade secret information are identified as such and are kept
separate from other evidence.

2.

All film and photographs Orvideotape 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, GuidelinesJorCase File Documentation
for Use with Videotapes and Audiotapes,

3-22

dated October 12,1993, and any other directives related to
photograph and videotape retention.
H.

Violations of Other Laws.
If a CSHO observes apparent violations of laws enforced by other
government agencies, such cases shall be referred to the appropriate
agency. Referrals shall be made using appropriate Regional procedures.

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 hazard.
ous condition, and the actions of management regarding correction of a
hazardous condition.
I.

Background.
a. !i,<,Jjon 8(,,)0) 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 inspec.
tions 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 inspec.
tion 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 statement.

3-23

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 oflntervlew.
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 walk-around, 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
Private.

Employees In

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 RSOL to determine appropriate legal
action. Interference with a CSHO's ability to conduct private
interviews with non-managerial employees includes, but is not limited
to, attempts by management officials or representatives to be present
during interviews.
5.

Conducting
a. General

Empl()yee Interviews.
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 ifthey 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

3-24

when interviewing a non-English speaking employee,
In such instances, CSHOs should initiaIly 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,
•

•

CSHOs shall inform employees that OSHA has
the right to interview them in private and of the
protections afforded under Section 11(c) ofthe Act.

•

In the event an employee requests that a
representative oftheunion 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.

•

b, Interview

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.

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 RSOL.
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
normaIly be reduced to writing and written in the first person in
the language of the individual. Employees shall be encouraged to
sign and date the statement.

3-25

•

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."

•

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 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.

Any

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 ofh!s
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 wirness's
identity. Where the contents of a statement will not
disclose the identity of the informant (I.e., does not
reveal the witness' job title, work area, job duties, or
other information that would tend to reveal the

3.26

•

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 in determining whether more than one
employer is to be cited. See CPL 02-00-124, Multi-Employer Citation
Policy, dated 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 IS, Legal
Issues.

L,

Employer Abatement Assistance.
I.

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

3-27

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
effi:dive aOOttmentmelb:xI, and main1ainingthe. BpfrCpl'iale
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 OSHA.IA narrative 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
OSHA-IB, including input for establishing correction dates.

2.

CSHOs shall give employers the publication, "Employer Rights
and Responsibilities Following an 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.) They 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

3-28

•

effective program(s) 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.

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 &2200.20of 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 Allendees.
I. 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 which apply;
c. Discuss ways to correct the violations;
d. Discuss issues concerning proposed penalties;
e. Discuss proposed abatement dates;

3-29

f, Discuss issues regarding employee safety and health
practices; and
g, Learn more of other OSHA programs and services
available,
2,

3,

Verbal disagreement with, or intent to, contest a citation,
penalty or abatement date during an informal conference does
not replace the required written Notice ofIntent to Contest.

4,

D.

If a citation is issued, an informal conference or the request for
one does not extend the 15 working-day period in which the
employer or employee representatives may contest.

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 Chaptel' 7, Section I!., Informal Conferences,

Penalties.
CSHOs shall explain that penalties must be paid within 15 working
days after the employer receives a citation and notification of penalty. If,
however, an employer contests the citation and/or the penalty, penalties
need not be paid for the contested items until the final order date,

E.

Feasible Administrative, Work Practice and Engineering Controls.
Where appropriate, CSHOs will discuss control methodology with the
employer during the closing conference,
1.

Definitions.
a, Engineering Controls.
Consist of substitution, isolation, ventilation and equipment
modification,
b, Administrative Controls,
Any procedure which significantly limits daily exposure by
control or manipulation of the work schedule or manner in
which work is performed is considered a means ofadministrative control. The use of personal protective equipment is not
considered a means of administrative control.

3.30

c.

Work Practice Controls.
A type of administmtive controls by which the employer modifies
the manner in which the employee performs assigned work. Such
modification may result in a reduction of exposure through such
methods as changing work habits, improving sanitation and
hygi ene practices, or making other changes in the way the
employee performs the job.

d.

Feaslbillty.
Abatement measures required to correct a citation item are feasible
when they can be accomplished by the employer. The CSHO,
following current directions and guidelines, shall inform the
employer, where appropriate, that a determination will be made as
to whether engineering or administrative controls are feasible.

e.

Technical Feaslbillty.
The existence of technical know-how as to 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 Feaslbillty.
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, allegations of economic infeasibility will
not be accepted.

2.

Documenting Claims of Infeaslblllty.
a.

CSHOs shall document the underlying facts which give rise to 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.

3.31

c.
F.

Complex issues regarding feasibility should be referred to the
Area Director or designee for determination.

Reduclllg 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 (or to reduce exposure to or
below the permissible exposure limit). They 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
Cl1flJlliO':..2, Post Inspection Procedures and Abatement

I.

Verification.

Abatement Certification.
Abatement certification is required for all citation item(s) which the
employer received except for those citation items which are identified
as "Corrected During Inspection."

2.

Corrected During Inspection (COl).
The violation(s) 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 VerlOcation Tags.
The required placement of 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
,~..L2
!)lJ.9JD ..

3-32

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 Ac~ 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.
I.

2.

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 representatives.
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: l/the employer has demonstrated a goodfaith efJortto
comply, a late Petition/or Modification of Abatement (PMA)

3-33

may be considered in accordance with Chaptel' 7, Sectioll /fI,
Petition for Modification of Abatement (PMA),
c,

3,

If an originally cited violation has at one point been abated but
subsequently recurs, a citation for a repeated violation may be
appropriate,

Reports.
a.

b,

4,

For any items found to be abated, a copy of the previous
OSHA.IB, OSHA.IB.IH, or citation can be notated with
"corrected" written on it, along with a brief explanation of the
abatement measures taken,. This information may
alternately be included in the narrative of the investigative
file,
In the event that any item has not been abated, complete
documentation shall be included on an OSHA.IB,

Follow-up Files.
Follow-up inspection reports shall be included with the original
(parent) case file,

B.

Construction Inspections.
I.

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 I926.32(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 Workslte.
a. Inspections of employers in the construction industry are not
easily separable into distinct worksites. The worksite is

3-34

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 geograph ical 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 Workplacc.
a.

b.

5.

CSHOs shall ascertain whether there is a representative of a
Federal contracting agency at the worksite. If so, they shall
contact the representative, advise himlher of the inspection and
request that they attend the opening conference.
If the inspection is being conducted as a result of a complaint, a
copy of the complaint is to be furnished to the general contractor
and any affected sub-contractors.

Closing Conference.
Upon completion of the inspection, the CSHO shall confer with the
general contractors 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
one's 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 Chapler 13, Federal Agency Field
Activities, for additional guidance.

3-35

Chapter 9
COMPLAINT AND REFERRAL PROCESSING
1.

Safety and Health Complaints and Referrais.
A.

Dennltlons.
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;
fonnal and non.fonnal.
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 hann in the workplace;
• Is reduced to writing or submitted on an OSHA.7 fonn; and
• Is signed by at least one current employee or employee
representative.
b. Non-formal Complaint.
Any complaint alleging safety or health violations that does not
meet all of the requirements ofa fonnal 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.

9-1

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 considered non-fonnal.
S.

Permanently

Disabling Injury or Illness.

An injury or illness that has resulted in pennanent disability or an
illness that is chronic or irreversible. Pennanently 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 bums.
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. (On the OSHA-90, code l4A - A. CSHO (Within
Office).)
b. Safety and health agency referralfrom 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. (As appropriate, code
14A - B. Federal OSHA. C. State OSH, F. Consultation, G.
State/Local Government. or I. Other.)
c. II(c) 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 (Code l4A - D.
Discrimination.)
.

9-2

d. Other government agency referral - made by other Federal,
State, or local government agencies or their employees,
including local police and fire departments. (As appropriate,
code 14A - E. Other Federal Agency, or G. State/Local
Government.)
e. Media report - either news items reported in the media or
information reported directly to OSHA by a media source. (Code
14A - H. Media.)
f.

7.

Employer report. of accidents other than fatalities and
catastrophes. (Code 14A - I. Other.)

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, orat least approved, thefiling 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 the section Criteria Warranting an Inspection is met.

C.

Criteria Warranting

an Inspection.

An inspection is normally warranted ifat least one of the conditions
below is met (but see also Paragraph I.D. of this chapter, Scheduling an
Inspection of an Employer in an Exempt Industry):

9-3

I.

A valid formal complaint is submitted. Specifically, the complaint
must be reduced to writing or submitted on an OSHA-7 form, 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
B..illWof the Act.

2.

The information received in a signed, written complaint IToma
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 ofhazard(s), and
there is reason to believe that the hazard or related hazards still
exist.

4.

The information alleges that an imminent danger situation exists.

5.

The information concerns an establisrunent and an alleged hazard
covered by a local, regional, or national emphasis program, 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 Enhanced
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,

94

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, 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 02-00051, 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:
NOTE: See CPt 112-00-115/.Enforcement Exemptions and Limitations
under the Appropriations Act, dated May 28. J 998.
I.
2.

E.

The information must come directly from a current employee; OR
It must be determined and documented in the case file that the
information came from a representative of the employee (see
Paragraph l.A.7. of this chapter, Representative of Employees).
with the employee's knowledge ofthe representative's intended
action.

Electronic Complaints Received via the OSHA Public Website.
I.

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.

9-5

2.

Each Area Office manages a "Complaints" mailbox and processes
electronic complaints according to internal complaint processing
procedures. The complaints mailbox is monitored daily and every
incoming complaint is reviewed for jurisdiction.
a.

b.
3.

If the complaint falls within the jurisdiction of the Area Office,
the complaint is entered into !MIS and processed as usual.
If the complaint falls within thejurisdiction of another Area
Office, the complaint is forwarded appropriately.

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 an OSHA.7 form for all complaint information received.
In order to facilitate the tracking of electronic complaints, enter the
following code in the Optional Information field:
N.l l.LOGXXXXXX
• WhereN.ll irxIicales
thattheocrnpIaintwas
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.

Information received electronically from a current employee is
considered a non.formal complaint until that individual provides a
signed copy of the information. The employee can send or fax a
signed copy of the information, request that an OSHA-7 form be
sent, or sign the information in person at the Area Office.
Normally a complainant has five working days to formalize an
electronic complaint. The Area Office must actively follow up on

9-6

infonnation received electronically in order to provide the
employee with the opportunity to fonnaJize the
complaint.
6.

F.

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.

Information Received by Telephone,
I.

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 detennine, to the extent possible, whether the infonnation
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.
b. (fthe caller is a current employee or a representative of
employees, explain the distinction between a fonnal 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.

9-7

•

Notification in writing if an inspection is deemed
wmecessary 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.

4.

If appropriate. inform the complainant of rights to confidentiality
in accordance with Section SinO) of the Act for private sector
employees, and Executive Ordel' 12196.dated February 26. 1980, 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.

G.

Information received by telephone from a current employee is
considered a non.formal complaint until that individual provides a
signed copy of the information. The employee can send or fax a
signed copy of the information, request that an OSHA.7 form be
sent, or sign the information in person at the Area Office.
Normally a complainant has five working days to formalize an
electronic complaint.

Explain Section 1'(c) rights to private sector employees and
employees of the U.S. Postal Service. Orreprisal and discrimi.
nation protection provided by Executive Order' 2196, & 1960.46
and the Whistleblowers Protection Act of I 989 to Federal
employees. See Chapler 13, Paragraph 1l1.E., for reports of
reprisal or discrimination from Federal employees.

Procedures for Handling Complaints Filed In Multiple Area Offices
or Regions.
I.

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.

9-8

b.

H.

Area Offices should indicate in IMIS that these complaints
have been transferred to the National Office. On the OSHA-7,
in field 45a., select A. Federal OSHA; in field 45b., select 00National Office. The complaint should then be closed using
field 48.

Procedures for an Inspection.
I.

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 Ouestionnairc beginning on page
9-17.

b.

The Area Director may determine not to inspect a facility ifhe/she
has a substantial reason to believe that the condition complained
of is being or has been abated.

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,

b.

3.

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.
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. Thejustification for not inspecting or conducting
an inquiry will be noted in the case tile.

If the information contained in the complaint or referral meets at
least one of the inspection criteria listed in Paragl'aph I.e. 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.

9-9

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 informationitem, with reference to the
citation(s) or a sufficiently detailed explanation for why a
citation was not issued.
4.

I.

Ifan 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.

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 notify it 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 or fax a signed complaint letter to OSHA.
Additionally, an OSHA-? form can be mailed or faxed to the
complainant, if appropriate.
b.

. 3.

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 .

The employer will be advised of what information is needed to
answer the inquiry and encouraged to respond by fax or email. See
Chapter 1.1,Federal Agency Field Activities, for differing Federal
Agency procedures. Employers are encouraged to do the
following:
a. Immedilitely investigate and determine whether the complaint
or referral information is valid and make any necessary
corrections or modifications.

9-10

b.

Advise the Area Director either in writing or via email 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 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.

Ifthere is a recognized employee union or safety and health
committee in the facility, provide it 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, ofthe right to request an inspection. When OSHA
receives an adequate response from the employer and the

9-11

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, see Parab"'aph I.H. of this chapter,

Procedures for an Inspection.
b.

8.

(fthe employee disagreement does not take the form ofa
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,

Ifa 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 ifhe/she disputes
the results and believes the hazard still exists,

9,

10.

J,

The complaint must not be closed until OSHA verifies that the
hazard abs been abated.
The justification for not conducting an inquiry will be noted in the
case file.

Complainant
I,

Identity

Protection.
of the Complainant.

Upon request of the complainant, his or her identity will be
withheld from the employer in accordance with Section 8(Q(J) of
the Act, No information will be given to the employer that would
allow the employer to identify the complainant.
2.

Whistleblower

Protection.

a, Scct[gn-lll0
of the Act provides protection for employees
who believe that they have been the subject of an adverse

9.12

•

•

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 II (c) rights and protections upon initial contact
with OSHA and whenever appropriate in subsequent
communications,
K.

Recording In (MIS.
Information about complaint inspections or inquiries must be
recorded in IMIS following current instructions given in the IMIS
manual. See OSHA Instruction IRT 01-00-007, The IMIS
Enforcement Data Processing Manualfor Use with the NCR
Computer System (Table of Contents and Chapters I through 7),
dated September 20, 1993.

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 aSH 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 1I(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
9-13

Section II(c), CSHOs will record that person's
identifying information and the date and time ofthi.
initial contact on an OSHA-87 form and forward it to the
Regional Supervisory Investigator or Team Leader for
processing.
D,

III.

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
referralldeferral policies for such complaints.

Decision Trees.
A.

See tree on page 9-15 for OSHA enforcement action or
consultation activity when information is obtained in
writing.

B.

See tree on page 9-16 for OSHA enforcement action or
consultation activity when information is

9-14

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inronmHion within:;

ntH.'S the: L'Omphlin~lllt
di:-;putt.'the tmrlo~ l..'r' s

-

[

days?

11;.!'z.;lrd
ilb~l\(:lU~1 illakd
im
,,'us!.: dos,,'u

respollse

and prm ide
per 1.5.'!

infonnulinlllls

9-16

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?

9.17

•

•

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

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?

9.18

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

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 workrelated 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 to and
worn by the employees?

17. Do employees receive audiograms on a regular basis?

9-19

•

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 unear-miss" incidents?

9.20