DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
POLICY AND PROCEDURES MANUAL
Issue Date: 2/1/87
Revised: 8/1/94, 2/1/95
AUTHORITY: California Labor Code Sec. 6317 and Title 8 California Code of Regulations Sec. 332.1 and 334(d).
POLICY: It is the policy of the Division of Occupational Safety and Health to consider issuance of a Notice in lieu of a citation when the violative condition does not have a direct relationship to employee safety or health, or when the violative condition does not have an immediate relationship to employee safety and health and the violative condition is of a general or regulatory nature.
A. USE, APPLICATION AND EXAMPLES
A Notice (Cal/OSHA Form 4) is an enforcement document which may be issued to an employer by the Division in lieu of a citation under the following circumstances:
EXCEPTIONS: A notice shall not be issued when the violative condition is classified as a serious, willful, repeat or failure-to-abate, or when the number of general or regulatory violations equals or exceeds ten (10).
In general, a Notice may be issued when the employer complies with the clear intent of the standard but deviates from its particular requirements in a manner that has no direct or immediate relationship to employee safety or health. These deviations may involve distance specifications, construction material requirements, use of incorrect color or minor variations from testing or inspection regulations.
EXCEPTION: A Notice in lieu of a citation shall not be issued for the following types of violations: (a) posting violations with reference to the Cal/OSHA Poster, citations, special orders, and orders to take special action; (b) recordkeeping violations, except for recordkeeping violation pertaining to crane certifiers; (c) reporting violations; and (d) other violations for which a minimum civil penalty must be assessed.
EXAMPLE: A required sign indicating the presence of high explosives, i.e., EXPLOSIVES--KEEP OFF, has letters which are slightly less than the required eight (8) inches high in height. 8 CCR §1562(g).
EXAMPLE: Flashlight is not present in a First Aid Kit at a worksite with seventeen (17) employees when one is required to be included for 16 to 200 employees. 8 CCR §1512(c)(1).
EXAMPLE: A standard guardrail is one-half inch less than the required vertical height range of 42 to 45 inches. 8 CCR §3209(a).
EXAMPLE: A water closet was provided within six (6) minutes travel from the worksite instead of within the required five (5) minutes. 8 CCR §6978(a)Note.
EXAMPLE: Conductors and equipment shall be protected from overcurrent in accordance with their ability to safely conduct current. 8 CCR §2390.1.
B. HAZARD IDENTIFICATION AND DOCUMENTATION
C. INITIAL PREPARATION
After the District Manager verifies that a Notice can be issued in lieu of a citation, compliance personnel shall prepare a draft of the Notice according to instructions found in Section I of this P&P and a Cal/OSHA Form 1B.
All Notices shall be office-issued, or given to the employer at the Closing Conference, and a copy mailed to the employer via Certified Mail--Return Receipt Requested.
F. FOLLOW-UP INSPECTIONS
Compliance personnel may conduct a follow-up inspection of all employers who are issued a Notice and fail to return a Cal/OSHA Form 160 verifying that the violative condition has been abated. Compliance personnel shall follow the criteria set forth in P&P C-15 for the performance of follow-up inspections of regulatory or general violations.
G. OFFICE PROCEDURES
NOTE: The Cal/OSHA Form 4X shall be used for the second and each succeeding page of the Notice.
H. FORM DISTRIBUTION
I. FORM COMPLETION
Enter "1" and number each Notice issued consecutively.
Enter the date that the Notice is issued.
Enter the preprinted nine-digit Cal/OSHA Form 1 number.
Enter the Region and District number.
Enter the ID Number of the issuing compliance personnel.
Enter the Optional Report Number.
Enter the page number, e.g., 1 of 3. Use the Cal/OSHA Form 4X for additional pages.
Enter the name and mailing address of the employer.
Enter the date(s) the inspection was conducted.
Enter the address of the worksite inspected.
Enter an item number.
Enter the number of instances of the item.
Enter the section of the California Code of Regulations which forms the basis for the Notice.
Describe the violative condition.
Enter the date fixed for compliance with the Notice.
Enter the signature of the issuing compliance personnel and the District Manager.
The employer, or the employer's authorized representative, enters his or her name, title, and name of place of employment subject to the Notice.
Employer, or employer's authorized representative, signs and dates in the spaces provided.
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