|DIVISION OF OCCUPATIONAL SAFETY AND HEALTH|
POLICY AND PROCEDURES MANUAL
|INSPECTION REPORT||P&P C-1
Issue Date: 2/1/87
2/1/95, 7/1/95, 2/1/97, 1/1/00, 11/27/00, 4/1/03, 4/14/08, 11/7/08, 2/29/12
AUTHORITY: California Labor Code Sections 6307, 6309, 6313, 6314, 6314.1, 6320, 6321, 6322, 6324, 6325, 6429(c) and 7953.
POLICY: It is the policy of the Division of Occupational Safety and Health to conduct an inspection of any place of employment in California during working hours, or at other reasonable times when necessary, to ensure that employers are providing to employees places of employment which are free from occupational safety and health hazards.
A. TYPES OF INSPECTIONS
1. Unprogrammed Inspections
Unprogrammed inspections are inspections conducted in response to:
a. An accident involving a fatal or a serious injury or illness or other event (See P&P C-36, C-170 & 170A);
b. A complaint alleging a workplace hazard or a violation of a Title 8 Safety Order (See P&P C-7);
c. A complaint from a governmental agency representative alleging a workplace hazard or a violation of a Title 8 Safety Order (See P&P C-7);
d. A referral from a non-governmental organizational entity alleging a workplace hazard or a violation of a Title 8 Safety Order (See P&P C-90); or
e. A follow-up inspection of a previous inspection which involved one of the following (see P&P C-15):
(1) Willful/Serious or Repeat/Serious violations;
(2) Serious violations requiring abatement within fewer than six days;
(3) Special Orders or Orders to Take Special Action;
(4) Serious violations of 8 CCR Section 3203;
(5) Twenty percent of all inspections involving a serious violation not abated at the time of inspection and not otherwise scheduled for reinspection;
(6) Inspections involving serious violations not abated at the time of the inspection and for which the Division has not received verification of abatement from the employer by means of a signed Cal/OSHA 161;
(7) Inspections involving regulatory or general violations not abated at the time of the inspection and for which the Division has not received verification of abatement from the employer by means of a signed Cal/OSHA 160; or
(8) Other reasons deemed appropriate by the District Manager. See P&P C-1A.
NOTE ONE: Every unprogrammed inspection shall include an inspection of all employers directly affected by the conditions related to the accident, complaint or referral. See Section A.2 below.
NOTE TWO: High profile cases that require Chief/Deputy Chief review must be submitted to Cora Gherga, Regional Manager, Region 1, for initial review no later than the 3rd month anniversary date from the opening conference or accident notification, whichever event triggers the 6-month clock. High profile cases may include, but are not limited to: cases with proposed willful violations, high media interest, multiple fatality/catastrophic injuries, cases with proposed penalties in excess of $50,000, and on a case-by-case basis as notified by either the Chief or the Deputy Chief. Information necessary for this review include an abbreviated copy of the file (Forms 1, 1A, 1B, 10, 170’s, relevant photographs, documents acquired during the investigation, etc.) and a conference between the Headquarters reviewer (Cora Gherga) and the district office staff could be necessary.
Depending upon the outcome of the initial review, the citations may be approved for issuance (perhaps with minor modifications) or the CSHO may be asked to obtain additional information, documentation, statements, etc. If the latter, a final review date will be established to ensure the citations are approved for issuance in a timely manner.
2. Unprogrammed-Related Inspections
a. An unprogrammed-related inspection is an inspection of an employer who is working at a worksite in which another employer is being inspected by the Division because of a complaint, accident or referral.
b. Unprogrammed-related inspections may be initiated when compliance personnel observe a hazard to which another employer's employees are exposed at the same worksite, an employee of another employer makes an on-site complaint about other safety or health hazards, or compliance personnel determine that an inspection of another employer is necessary.
3. Programmed Inspections
a. A programmed inspection is an inspection of an employer initiated by an inspection schedule based upon objective criteria developed by the Division.
b. Employers can be selected for a programmed inspection from any of the following sources:
(1) Annual Performance Plan/Strategic Plan Inspections;
(2) Targeted Employers Programmed Inspection List(s);
(3) Special Emphasis Programmed Inspection List(s);
(4) Carcinogen Registration List;
(5) Asbestos Notification List;
(6) Crane Certifiers List;
(7) Construction Activity Permittee List; and
(8) Any other source developed by the Division.
NOTE: Annual inspections conducted by the Mining & Tunneling Unit of underground mines, surface mines or quarries, and tunnels under construction are programmed inspections.
4. Programmed-Related Inspections
a. A programmed-related inspection is an inspection of an employer who is working at a worksite in which another employer is undergoing a programmed inspection.
b. Programmed-related inspections may be initiated when compliance personnel observe a hazard to which another employer's employees are exposed at the same worksite, an employee of another employer makes an on-site complaint about other safety or health hazards, or compliance personnel determine that an inspection of another employer is necessary.
B. SCHEDULING OF INSPECTIONS
1. Information Requests and On-site Consultations
a. Employer Information Requests
(1) A request from an employer for information about workplace hazards shall not trigger an inspection by a District Office.
EXCEPTION: If an employer, or his or her representative, indicates, while requesting information from the District, that an imminent hazard exists, or that a fatality, catastrophe or serious injury or illness has occurred at his or her establishment, the District Manager shall immediately initiate an unprogrammed inspection of the employer's workplace.
(2) An information request in the past does not protect an employer from a subsequent unprogrammed or programmed inspection.
b. Compliance Precedence Over Consultation
(1) The following types of unprogrammed inspections by compliance personnel shall take precedence over any activities of the Consultation Service at the same worksite:
(a) Imminent Hazard Inspections;
(b) Fatality or Catastrophe Inspections;
(c) Serious Injury or Illness Inspections;
(d) Complaint Inspections; and
(e) Follow-up Inspections.
NOTE: An employer's request for an on-site consultation from the Consultation Service shall not constitute a reason for delaying an unprogrammed inspection by compliance personnel.
(2) Programmed inspections at a worksite where Consultation is in the process of conducting an on-site evaluation shall be postponed until Consultation has completed their on-site activities.
NOTE: Voluntary Protection Program (VPP), Golden State, or Golden Eagle exempt worksites shall not be subject to a programmed inspection.
2. Inspection Priorities
a. Priority System
To ensure the efficient allocation of compliance resources, the District shall follow an inspection priority system to determine the order in which particular types of inspections shall be conducted.
b. Priority Order
(1) FIRST LEVEL PRIORITY
(a) Complaint about, or observance by anyone of, an imminent hazard;
(b) Catastrophe (See P&P C-36, Section B.2.b.);
(c) Fatal injury or illness;
(d) Accident involving significant print or electronic media attention; or
(e) Complaint from a state or local prosecutor.
NOTE: Complaints alleging a serious violation from state or local prosecutors shall be investigated within 24 hours of receipt.
(2) SECOND LEVEL PRIORITY
(a) Accident involving a serious injury;
(b) All formal complaints, informal serious complaints (where an inspection is planned) and serious referrals; and
NOTE ONE: For complaints alleging a hazard where the evidence of the unsafe condition will not continue to exist in the future long enough to be observed by inspecting compliance personnel adhering to the mandated time limits of 3 days and 14 days for formal serious and formal nonserious complaints, or to time limits set by each District for responding to informal serious complaints, inspection resources shall be allocated so as to respond first to those situations in which time is of the essence.
NOTE TWO: Informal serious complaints may be investigated by a letter-in-lieu (transmitted to the employer by facsimile or e-mail) or on-site inspection. See P&P C-7.
(c) Follow-up of serious violations.
(d) Annual Performance Plan/Strategic Plan Inspections.
(3) THIRD LEVEL PRIORITY
Tenth or Fifth Satisfactory Response Letter.
(4) FOURTH LEVEL PRIORITY
EXCEPTION: Programmed inspections are First Level Priority for District Offices in Region VI (High Hazard Unit).
(5) FIFTH PRIORITY
(a) Follow-up inspections of nonserious violations; and
(b) Informal nonserious complaints and nonserious referrals.
NOTE: Informal nonserious complaints shall be investigated by a letter to the employer. See P&P C-7.
3. Effect of An Appeal on the Performance of An Inspection
a. An unprogrammed or programmed inspection shall still be conducted, even if an employer has contested a Citation issued by the Division. Any of the Items contained in the Citation or the Proposed Penalty relating to the Citation, which arose from a previous inspection at the same worksite (or in the case of a construction employer within the same Region of the Division) and the case is still pending before the Occupational Safety and Health Appeals Board shall still be inspected.
b. If the identical violative condition which is under appeal still exists at the inspected worksite and now presents an imminent hazard to employees, then compliance personnel shall issue an Order Prohibiting Use (OPU) after consultation with the District Manager, Regional Manager and the Legal Unit.
c. If the identical violative condition which is under appeal still presents a serious hazard to employees, then compliance personnel shall consult with the District Manager, Regional Manager and the Legal Unit about seeking a temporary restraining order (TRO). In addition, the District Manager, through the Regional Manager, shall request that the Legal Unit seek an expedited hearing about the contested matter(s) from the Occupational Safety and Health Appeals Board.
d. If a violative condition which is under appeal is not the identical violative condition observed and cited by the Division during a previous inspection, then a non-repeat citation may also issued.
C. SCOPE OF INSPECTIONS
A comprehensive inspection is one which encompasses an evaluation of the entire worksite for the presence of safety and health hazards.
b. Unprogrammed Inspections
Unprogrammed inspections conducted at worksites which are not participating in either VPP, Golden State, or Golden Eagle, and the employers are in high hazard industries, e.g., agriculture, mining:
(1) Past citation history of the employer indicates poor compliance with Title 8 Safety Orders;
(2) The complaint items, nature of the accident or reason for the referral or follow-up are serious;
(3) Review of the employer's Log of Occupational Injuries and Illnesses suggests an Injury and Illness Prevention Program which is not effective;
(4) Observations by compliance personnel, or comments by employees, during the inspection indicates that a significant number of safety and health hazards are present at the worksite; or
(5) If the employer would have been scheduled for a programmed inspection within the next year.NOTE: Unprogrammed inspections at a VPP, Golden State, or Golden Eagle exempt worksite should be partial and limited, as much as possible, to the area of the complaint(s) or accident.
c. Programmed Inspections
All programmed inspections shall be comprehensive.NOTE: Voluntary Protection Program (VPP), Golden State, or Golden Eagle exempt worksites shall not be subject to a programmed inspection
A partial inspection is one which is limited to an evaluation of part of a worksite, e.g., unit, department, specific process or piece of equipment, for the presence of safety and health hazards.
b. Unprogrammed Inspections
Unprogrammed inspections shall always be partial when:
(1) The inspection is based on a Tenth or Fifth Satisfactory Response Letter; or
NOTE: Tenth or Fifth Letter inspections shall be limited to the complaint items addressed in the Complaint Notification to Employer Letter (Letter "d" of P&P C-7), unless compliance personnel determine after evaluation of the worksite that a comprehensive inspection is warranted.
(2) A comprehensive inspection has been conducted by the Division within the previous twelve (12) months.
(3) The inspection is at a VPP, Golden State, or Golden Eagle worksite.NOTE: The inspection should be limited, as much as possible, to the area of the complaint(s) or accident.
D. DOCUMENTATION OF INSPECTION
1. Cal/OSHA 1
a. The Inspection Report (Cal/OSHA 1), or an IMIS screen equivalent, shall be used by compliance personnel to document information related to, or derived from, an inspection of a worksite. See Attachment A. The information items appearing on the Cal/OSHA 1 shall be collected by compliance personnel as a part of every inspection, or attempted inspection, of a place of employment.
NOTE: Mining and Tunneling Unit compliance personnel shall also complete a Cal/OSHA 1 after each Pre-Activity Conference.
b. The Cal/OSHA 1, or an IMIS screen equivalent, may also be used to document an anticipatory warrant, refusal of entry, a subpoena served or information that an inspection was attempted but no inspection could be conducted because of the following events:
(1) Establishment was not found;
(2) Employer was out of business;
(3) Process to be inspected was not active;
(4) Compliance personnel were refused entry; or
(5) Exempt on-site consultation in progress.
2. Data Entry
For each inspection or attempted inspection, data from the Cal/OSHA 1 shall be entered into IMIS within five (5) working days following initiation of the inspection by District Office Support Staff or compliance personnel.
3. Updating Cal/OSHA 1
New inspection information shall be entered into IMIS by District Office Support Staff or compliance personnel within five (5) working days of when the new information is acquired.
NOTE: The Cal/OSHA 1, or an IMIS screen equivalent, can be amended after acquiring new information by marking the changes in red ink on a photocopy of the Cal/OSHA 1 and submitting the updated Cal/OSHA 1 to the District Office Staff immediately. A Cal/OSHA 167-I (Inspection Record Update), which is an optional IMIS form, may also be used for this purpose. If information is entered directly into the computer, a computer-generated form shall be printed and filed in the case file.
4. Single and Multiple Compliance Personnel Inspections
a. Single Compliance Personnel Safety and Health Inspection
Only one Cal/OSHA 1 shall be completed when either a Cal/OSHA engineer or an industrial hygienist conducts an inspection covering both safety and health hazards.
b. Multiple Compliance Personnel Safety and Health Inspections
(1) When a Cal/OSHA engineer and an industrial hygienist participate jointly in an inspection of a single establishment, one Cal/OSHA 1 shall be completed by the Cal/OSHA engineer and another 1 shall be completed by the industrial hygienist.
(2) If more than one Cal/OSHA engineer or more than one industrial hygienist participates together in an inspection of a single establishment, only one Cal/OSHA engineer and/or one industrial hygienist--usually the team leader--shall complete the Cal/OSHA 1. If there are separate teams composed of more than one Cal/OSHA engineer and industrial hygienist, one Cal/OSHA 1 shall be completed for the Cal/OSHA engineer team and one Cal/OSHA 1 shall be completed for the industrial hygienist team.
c. Inspections at a Multi-Employer Worksite
When more than one employer is inspected at a single worksite, a separate Cal/OSHA 1 shall be completed for each employer inspected.
d. Multiple Purpose Inspection
Only one Cal/OSHA 1 shall be completed when the inspection satisfies more than one type of inspection, e.g., complaint and follow-up, complaint and accident and accident and follow-up or other combination.
e. One Cal/OSHA Engineer or Industrial Hygienist Replaces Another on the Same Inspection
When the Cal/OSHA engineer or industrial hygienist who initiated an inspection does not (or cannot) complete the inspection, the same Cal/OSHA 1 shall be used by the Cal/OSHA engineer or industrial hygienist who continues the inspection.
NOTE: The Cal/OSHA engineer or industrial hygienist ID Number shall be modified to reflect a change in assignment for the inspection.
5. Records Retention
All records of inspections, investigations and citations shall be preserved and maintained for seven (7) years.
E. OFFICE PROCEDURES
1. An OSHA 1 electronic version in IMIS may be used by compliance personnel in lieu of the preprinted Cal/OSHA 1 at the discretion of the District Manager. The electronic OSHA 1 automatically generates the 9-digit preprinted inspection number.
CAUTION: The electronic data entry screens for the IMIS Form 1 do not correspond to the numerical items which appear on the pre-printed Cal/OSHA 1 (See Attachment B for a List of Cal/OSHA 1 Items With Different IMIS Form 1 Screen Items). The IMIS data entry screens, including pop-up windows for Form 1 items, ask for additional or different inspection information than what has been entered under the designated numerical items on the pre-printed Cal/OSHA 1. See Section G.
2. Following the closing conference, compliance personnel may enter the updated Cal/OSHA 1 data directly into IMIS or may submit the updated Cal/OSHA 1 to Office Support Staff for IMIS data entry.
3. After entry of the updated Cal/OSHA 1, the updated Cal/OSHA 1, together with the completed inspection report, shall be submitted to the Office Support Staff.
4. Office Support Staff shall review the updated Cal/OSHA 1 and the inspection report for completeness and accuracy and then submit the Cal/OSHA 1 and the inspection report to the District Manager for review, approval and signature.
5. Modifications may be directly entered into IMIS by compliance personnel or may be submitted to Office Support Staff for entry.
F. FORMS DISTRIBUTION
1. The original Cal/OSHA 1 is filed in the District Employer Case File.
2. If an inspection involves Citations related to carcinogens, copies of the Cal/OSHA 1, Cal/OSHA 1A, Cal/OSHA 1B, Cal/OSHA 2, OSHA 91(S) and OSHA 98 shall be sent to the Occupational Carcinogen Control Unit at Division Headquarters.
IMIS DATA ENTRY FOR THE Cal/OSHA 1