DIVISION OF OCCUPATIONAL SAFETY AND HEALTH
POLICY AND PROCEDURES MANUAL

IMIS DATA ENTRY for the CAL/OSHA 1

P&P C-1
Issue Date: 11/22/00
Revised: 2/1/02

General Instructions

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 below for a List of Cal/OSHA 1 Items With Different IMIS Form 1 Screen Items.

Cal/OSHA 1 Item

Equivalent Screen Item Number

10b   Site Address 8    Establishment Processing
11    City Code 8    Establishment Processing
12    County Code 8    Establishment Processing
13    Mailing Address 8    Establishment Processing
14    Telephone Number 8    Establishment Processing
14    Facsimile Number 8    Establishment Processing
16    Telephone Number (Site) 8    Establishment Processing
16    Facsimile Number (Site) 8    Establishment Processing
17    Ownership 8    Establishment Processing
19    Advance Notice 19  Inspection, Opening/Closing
38    Date of Denial 37  Warrant, Subpoena, Denial Data
39    Date Re-Entered 37  Warrant, Subpoena, Denial Data
40    Date Re-Denied 37  Warrant, Subpoena, Denial Data
41    Date Re-Entered 37  Warrant, Subpoena, Denial Data
44    Closed Case 5    Released Activity
45    Reason for No Inspection 43  Reason for No Inspection
46    Closing Conference Date 19  Inspection, Opening/Closing

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.

The following IMIS Data Entry for the Cal/OSHA 1 section can only serve as a general explanation of Cal/OSHA 1 items--not as a set of detailed instructions for data entry. For assistance with problems related to electronic data entry of items on the Cal/OSHA 1, contact the District Office IMIS Systems Administrator or the Regional IMIS Coordinator.

NOTE: Additional inspection information needed to complete data entry on IMIS Form 1 screen items can be found on the Cal/OSHA 1A.

MOD/Date -- Complete MOD/Date only when modifying or updating data on the Cal/OSHA 1. Enter the Modification Code "M" and the month, day, and year on which the modification is being made.

1. Reporting ID

The preprinted number 9506 appears on every preprinted Cal/OSHA 1. Enter the Region number in "R" and District number in "D" in which the establishment to be inspected is located. This number will prefill on the screen for computer-generated forms.

2. CSE/IH ID

Enter the Identification (ID) Number of the Cal/OSHA engineer or industrial hygienist assigned to conduct the inspection which would normally be the first letter of the last name and the last four (4) digits of their Social Security Number.

Other Screen Items:

b. Job Title (Screen Item 2b) -- The job title for the CSE/IH prefills on the IMIS screen when an entry is made in CSE/IH ID, but may be modified as appropriate. See F2 for choice list.

c. Supervisor's Assigned (Screen Item 2c) -- This Item pre-fills. See F2 choice list.

d. Trainee (1) (Screen Item 2d) -- Enter the CSE/IH ID of any trainee who assisted in the inspection.

e. Trainee (2) (Screen Item 2e) -- If more than one trainee assisted on the inspection, enter the CSE/IH ID of the second trainee.

3. RPT Number and FY

RPT Number represents the three digit compliance personnel report number. Each compliance personnel numbers his or her reports sequentially starting with 001 for the first report of each fiscal year.

NOTE: The first report for mining inspections starts with "601." For FY, enter the last two digits of the current Fiscal Year.

NOTE: A Fiscal Year begins on 1 July and ends on 30 June of the following year.

4. Inspection Number

The Cal/OSHA 1 has a nine-digit number either computer generated or preprinted which uniquely identifies each inspection. This number shall always be referenced when continuing the information on another Cal/OSHA 1, or a blank sheet of paper, modifying the unique information from the subsequent Form 1 or when completing related forms i.e., Cal/OSHA 2 or any of the OSHA sampling Forms.

5. Related Activity/Activity Satisfied

Enter in Items 5.1 through 5.3 the "Type and Activity Number" of any accident(s), complaint(s) or referral(s). When conducting a follow-up inspection, enter the original Inspection Number in Item 5.1.

NOTE: Enter the "Type and Activity Number" of any inspection-related activity even if that activity is not marked in "Inspection Type", Item 24, as the primary reason for the inspection.

Type

Enter the code for the type of activity involved in the current inspection. "Type" identifies the form from which the referenced number came. The only valid "Type" codes are:

A = Accident
C = Complaint
R = Referral
I = Inspection (Follow-up)

Multiple Employers

If an inspection involves multiple employers, enter the nine-digit number from the accident (Cal/OSHA 36), complaint (Cal/OSHA 7) or referral (OSHA 90) on the Cal/OSHA 1 for the employer originally contacted as a result of the accident, complaint or referral. For a follow-up inspection, enter the nine-digit inspection number from the original inspection. It is not necessary to enter any of the above information on the Cal/OSHA 1 for any other employers inspected at the worksite.

Additional Related Activities

If there are more than three related activities, e.g., four complaints lodged against the same employer at the same location, the additional information shall be recorded on a blank sheet of paper or recorded directly into IMIS. If not recorded directly into IMIS, then beginning with 5.4 identify the blank sheet of paper with the nine-digit Inspection Number from the Cal/OSHA 1 or print the computer-generated form and file in the case file.

Number

Enter the preprinted nine-digit Activity Number identifying the activity which prompted this inspection.

Complaint/Referral Satisfied

Mark "X" in the "S" box to indicate that all safety hazards of a complaint or referral have been satisfied or serviced. Mark "X" in the "H" box to indicate that all health hazards of a complaint or referral have been satisfied or serviced. If an inspection involves both safety and health hazards, then both boxes ("S" and "H") shall be marked.

NOTE ONE: Only one Cal/OSHA 1 needs to indicate that an activity is satisfied. It is not necessary to modify a previous Cal/OSHA 1 for an inspection which did not satisfy the activity. The activity satisfied must correspond to the "subject" entered in Box 35 (Subject and Severity) on the Cal/OSHA 7 or the "subject" entered in Box 17 (Subject and Severity) on the Cal/OSHA 90.

NOTE TWO: Do not complete "Satisfied" for related accidents or inspections, since the monitoring of backlog is handled differently for these activities. "Satisfied" is only completed for complaints or referrals.

Close Complaint/Referral

It is possible to close the complaint or referral listed under related activity by entering "close" in the space above the appropriate complaint or referral number.

Related Inspection Close Date

It is possible to close a related inspection by writing "close" and the close case date in the space above the appropriate inspection number.

Linkage of Multi-Employer Worksite Inspections

When an inspection involves multi-employers at a worksite, enter the nine-digit number for the employer originally contacted as a result of an accident, complaint, referral, follow-up or programmed inspection in Item 42 on the OSHA 1's for the inspections generated at the multi-employer worksite as well as on the original inspection.

Item 42:

Type ID

Value

N 1

Inspection Number (Nine-digit number)

Use the number from the preprinted form or the number from the computer generated form.

NOTE: Multi-employer worksite inspections are not linked using Related Activity. Inspection Numbers are not entered in Related Activity unless the inspection is a follow-up.

6. Total Entries (Not data-entered into IMIS)

Enter the total number of entries made in Item 5, "Related Activity." Leave blank if none.

7. Previous Activity (Not data-entered into IMIS)

Leave blank

8. Establishment Name

a. Change?

Mark only if ownership has changed since any prior inspection activity and the former establishment name is entered under optional information. This Item may also be used when the employer was "unknown" at the time the complaint, referral or accident report was received.

b. Establishment Name

Enter the legal name of the establishment. For a sole proprietorship, partnership or corporation, this is the name of the proprietor, partnership or corporation. For a corporation, enter the name of the corporation unless an independent subsidiary of the corporation controls the establishment inspected. In that case, enter the name of the subsidiary.

Doing Business Under Another Name

Where a sole proprietor, partnership or corporation is doing business under a fictitious business name (i.e., a "trade name"), the "legal name" of the business is the name of the proprietor, partnership or corporation along with the fictitious business name.

EXAMPLES:

Sole Proprietor -- John Doe, dba ACME Steel Company

Partnership -- John Doe and Jim Doe, Partners, dba ACME Steel Company

Corporation -- ABC Company, Inc., dba ACME Steel Company

Additional Names

If it is necessary to enter additional names under which the employer may be doing business, enter the names on the Cal/OSHA 1A.

No Establishment Name

For a "no inspection" where no establishment name can be ascertained because the site is not found or work has not started or work has been finished, enter "UNKNOWN" in Establishment Name to indicate no establishment name is currently available.

9. Employer ID -- Leave blank

EXCEPTION: Enter the employer's ID number from the Dunn and Bradstreet List, which is used primarily for programmed inspections. This List is provided by the Program Office.

10. Site Address

a. Change?

Mark only if the former address is entered under optional information.

b. Site Address

Enter the location of the establishment inspected by Street Address, City, State (2-letter abbreviation) and Zip Code. Post Office Boxes are not an acceptable address. Do not use the space provided for "Mailing Address" as a continuation for "Site Location."

NOTE: If an inspection of a construction site does not have an address, then enter an address-equivalent, such as (1) Northeast (NE) corner of Main Street and Broadway Avenue; (2) 200 block of Main Street; or (3) Highway 71 between exits Main Street and Broadway Avenue.

11. City Code

Do not enter on the micro--it will prefill.

NOTE: Enter the four-digit code for the city in which the inspection was conducted. If the establishment is not in a city, enter the code for the nearest city of the county in which the establishment inspected is located. See your IMIS Systems Administrator for a List of City Codes in the event the City Code does not prefill.

12. County Code

Do not enter on the micro--it will prefill.

NOTE: Enter the three-digit code for the county in which the inspection was conducted. If the establishment is not in a county, e.g., off-shore drilling, enter the code for the county nearest to the inspected site. See your Systems Administrator for a List of County Codes in the event the County Code does not prefill.

13. Mailing Address (if different) (Street, City, State, Zip)

Enter the mailing address of the establishment if the employer does not receive mail at the inspected worksite. Send all citations and correspondence to this address.

14. Telephone/Facsimile Number

Enter the employer's business telephone number including the Area Code and facsimile number, if available.

15. Name of Controlling Corporation, Partner, or Owner

If the "Establishment Name" in Item 8b is the trade name or the name of a independent subsidiary, enter the legal name of the parent corporation of the subsidiary. Leave blank if the name is the same as entered in Item 8b. If the establishment is a partnership or sole proprietorship, enter the name of a partner or the sole owner.

16. Telephone/Facsimile Number (Site)

Enter the telephone number and facsimile number, if available, including the Area Code of the inspected site. Leave Item 16 blank if the telephone/facsimile number is the same as the numbers entered in Item 14.

17. Ownership

Mark "X" in one of the four ones box which best describes the ownership of the establishment inspected. See F2 for choice list.

18. Legal Entity

Mark "X" in one of the three boxes to indicate whether the employer is a corporation, partnership, or sole owner. See F2 for choice list.

19. Was Advance Notice Given?

Mark "X" in the proper box to indicate whether or not advance notice of the inspection was given. Enter yes or no in Screen Item 19 and complete the applicable items in the Item 19 pop-up window. See P&P C-1A, Section A.2 for discussion of advance notice.

20. Opening Conference Date

Enter the month, day and year of the first contact with the establishment, i.e., the opening conference, date of entry, or attempted entry, whichever comes first.

NOTE: Do not modify Item 20 if the Cal/OSHA engineer or industrial hygienist who attempted to conduct an opening conference, but was denied entry, returns on a later date to conduct an opening conference.

21. Inspection Category

Mark "X" in only one box to indicate the category, Safety or Health, which represented the primary focus of the inspection.

22. Primary SIC

Enter the four-digit Standard Industrial Classification (SIC) Code from the SIC Manual (1987 Edition) to indicate the major industrial type of activity performed by the employer.

Multiple SICs

If an establishment may be identified by more than one SIC, report the primary SIC of the establishment. The primary SIC Code is defined as the major work function or process performed by the employer.

23. Secondary SIC

If available, enter the four-digit Standard Industrial Classification (SIC) Code from the SIC Manual (1987 Edition) to indicate the major industrial type of activity performed by the employer in the particular worksite inspected. If a secondary SIC Code is not available, leave blank.

24. Inspection Type

Mark "X" in only one box to indicate the primary reason the inspection was initiated.

Unprogrammed

a. Accident -- Mark "X" in this box if the inspection was initiated in response to a report of an accident.

b. Complaint -- Mark "X" in this box if the inspection was initiated in response to a complaint.

c. Referral -- Mark "X" in this box if the inspection was initiated in response to a referral.

d. Monitoring -- Do not use.

e. Variance -- Do not use.

f. Follow-up -- Mark "X" in this box if the inspection was initiated to follow-up a previous inspection.

NOTE: Complete related activity to identify the original inspection (TYPE = I) in which the violation(s) were cited.

g. Unprogrammed Related -- Mark "X" in this box if the inspection was unprogrammed-related as defined in Section A.2.

Programmed

NOTE: If a Programmed Inspection is marked, you must make an entry in Item 25. See Item 25 for entry choices.

h. Planned

Mark "x" in this box to indicate that the inspection was from a programmed inspection list.

i. Programmed Related

Mark "X" in this box if the inspection was programmed-related as defined in Section A.4.

25. Inspection Classification

Mark "X" in this box if the establishment was listed on any of the following, regardless of whether the inspection was programmed or unprogrammed:

a. Safety Planning Guide

For safety inspections, mark "X" in the appropriate box if the SIC or name of the establishment inspected is on a "Safety Planning Guide" for Manufacturing or Construction (not Maritime).

The "Safety Planning Guide" includes safety inspections scheduled from the following sources: Annual Performance/Strategic Plan, Targeted Employers Inspection List(s), Carcinogen Registration List, Asbestos Notification List, Crane Certifiers List, List of Construction Activity Permit Holders, List of Establishments subject to statutory inspections by the Mining and Tunneling Unit, inspections based on a Notice of Crane Safety Deficiencies (IS-162), Tower Crane Programmed Inspections, and any other programmed inspection list developed by the Division.

b. Health Planning Guide

For health inspections, mark "X" in the appropriate box if the SIC or name of the establishment is on a "Health Planning Guide" for Manufacturing or Construction (not Maritime).

The "Health Planning Guide" includes health inspections scheduled from the following sources: Annual Performance Plan/Strategic Plan, Targeted Employers Inspection List(s), Carcinogen Registration List, Asbestos Notification List, and any other programmed inspection list developed by the Division.

c. Local Emphasis Program

Mark "X" in this box if the establishment meets the criteria of a Special (term used by Cal/OSHA) Emphasis Program developed by the Division.

The following local emphasis programs can be checked and entered on the Cal/OSHA 1:

Permit -- If the establishment inspected holds a valid Cal/OSHA Construction Activity Permit or Tower Crane Permit, mark an "X" in this box.

Tunnel (or Mine) -- If the establishment being inspected is a tunnel or a mine, mark "X" in this box.

Carcreg

If the establishment inspected is one listed on the Carcinogen Registration List, mark "X" in this box.

Region Pl.

If the establishment inspected is selected for a programmed inspection from the Special Emphasis Programmed Inspection List(s), Carcinogen Registration List, Asbestos Notification List, Crane Certifiers List, Construction Activity Permittee List or any other source, check "REGIONPl," which stands for Regional Plan.

d. Emphasis Program

Leave blank

e. Migrant Farm Worker Camp

Leave blank

f. Strategic Performance Goals

If an employer is in a SIC code related to one or more Strategic Performance Goal(s), regardless if the inspection is unprogrammed (complaint, accident or referral) or programmed (TIPP or other planned inspection), the appropriate Performance Goal(s) is to be selected.

NOTE: On the paper Cal/OSHA 1 form, the Strategic Performance Goal(s) are written in Item 42, Optional Information; however, the goal(s) must be data entered in Line 25(f) of the Data Entry Screen for the Cal/OSHA 1. Line 25(f) is the field where you choose the specific Strategic Performance Goal from the choice list provided. Once the user has entered a Strategic Performance Goal-related SIC Code, and upon saving the document, the following message will appear on the screen: "This record may be related to a Strategic Plan Activity -- No Strategic Plan Codes are present, do you wish to continue, Y/N?" Press Y for Yes. A pop-up window will appear. The user presses F2 and all Strategic Goals will appear. Use your down arrow to highlight one of the appropriate Cal/OSHA Strategic Performance Goals (e.g., Agriculture (ASHIP), Construction (CSHIP), Repetitive Motion (RMI), Targeted Compliance and Consultation (TARGET) or others, and press return. EscEsc exits the pop-up window.

WARNING: The RMI goal applies to ALL SIC codes; therefore, the pop-up window will not be activated to remind you to enter the Strategic Goal. The user is required to remember to invoke the pop-up window.

The following are valid Strategic Performance Goals:

(1) Agricultural Safety and Health Inspection Project (ASHIP)

Any inspection, regardless if unprogrammed or programmed, in SIC Code Major Groups 01, 02, and 07 (SIC Codes 0111 through 0783), will be coded as below. "No inspections" are included.

Type ID

Value

SP Leave blank ASHIP

(2) Construction Safety and Health Inspection Project (CSHIP)

Any inspection, regardless if unprogrammed or programmed, in SIC Code Groups 15, 16 and 17 (SIC Codes 1521 through 1799), will be coded as below. "No inspections" are included.

Type ID

Value

SP Leave blank CSHIP

(3) Repetitive Motion Injuries (RMIs)

Any inspection, regardless if unprogrammed or programmed, where the Cal/OSHA Repetitive Motion Injuries Standard (8 CCR Section 5110) is evaluated, will be coded as below. All SIC Codes apply. "No inspections" are included.

Type ID

Value

SP Leave blank

RMI

(4) Targeted Compliance and Consultation

Any inspection, regardless if unprogrammed or programmed, in the SIC codes identified in the table below, will be coded as below. "No inspections" are included.

Type ID

Value

SP Leave blank

TARGET

(5) Bloodborne Pathogens Saftey and Health Inspection Project

Any inspection, regardless if unprogrammed or programmed, within the SIC Codes 8011 through 8099, will be coded as identified in the Table below, provided the inspection addresses bloodborne pathogens per the BSHIP Protocol. Note: Do not code an inspection BSHIP based on SIC Code alone.

Type ID

Value

SP Leave blank

BLOOD

SIC Codes Related to Strategic Performance Goal One and Two:

ASHIP

CSHIP

RMIs

Targeted Inspection

BSHIP

0111 -- 0191  0211 -- 0291  0711 --0783                        1521 -- 1542 1611-- 1629   1711 -- 1799

 

All SIC Codes All Applicable SIC Codes as per Annual  Highest Hazard Industries List

8011 -- 8099

26. Number of Employees Employed in Establishment

For fixed establishments, enter the maximum number of employees, including clerical, administrative and salespersons employed at the inspected worksite at any one time during the previous twelve (12) months. The count of employees shall include employees on all shifts but each employee shall be counted only once. For non-fixed establishments, such as construction, marine terminal operations or logging, enter the maximum number of employees employed at any one time during the previous twelve (12) months at the worksite inspected.

27. Number of Employees Covered by Inspection

Enter the number of employees on all shifts at the inspected worksite who are covered or affected by the scope of the inspection.

28. Number of Employees Controlled by Employer

Estimate and enter the maximum number of employees controlled by the employer at the inspected worksite and all other locations nationally at any one time during the previous twelve 12 months.

NOTE: If this is a "No Inspection" (Item 35), leave Items 26, 27, and 28 blank.

29. Union/Non-union

a. Union

Mark "X" in this box if any employees at the inspected worksite are represented by a labor union that has a collective bargaining agreement with the employer.

b. Non-union

Mark "X" in this box if none of the employees at the establishment are represented by a labor union that has a collective bargaining agreement with the employer.

30. Employee Participation

NOTE: Item 30a. or 30b. shall be marked, however both 30a. and 30b. may be marked.

a. Employee Exercised Walkaround Privilege?

Mark "X" in this box if an employee labor union representative, e.g., shop steward or business agent or other valid member of the labor union, participated in any part of the inspection, or if non-union employees have selected a representative to participate in the walkaround.

NOTE: Mark box 30a. for each Cal/OSHA 1 completed for multi-employer worksites where one representative is elected by all unions to participate in the walkaround.

b. Employees Interviewed?

Mark "X" in this box to indicate that employees were interviewed during the inspection.

31. OSHA 200 Log Entries/Year

Enter the year from which the employer's injuries and illnesses from the Log 300 are being reviewed to calculate the Lost Workday Injury and Illness Rate in Item 33.

32. OSHA 200 Log Entries/Data Not Available

The "X" is preprinted in Item 32 and must be entered into IMIS until Cal/OSHA notifies Federal OSHA that it wishes the "X" to be removed. When the "X" is removed, enter an "X" only if Log 300 data is not available, e.g., the employer is not required by law to keep a Log 300.

33. LWDI Rate (Lost Workday Injury and Illness Rate)

Enter the result of your calculation of the Lost Workday Injury and Illness Rate in Item 34.

34. Occupational Injury/Illness Cases

From the employer's most current and complete year of Log 300 data, calculate the Lost Workday Injury and Illness Rate for the employer you are inspecting.

NOTE: The Lost Workday Injury and Illness Rate includes injury and illness cases resulting in days lost from work activity and is calculated by the following formula: N/EH x 200,000. "N" is the number of injuries and illnesses combined at the inspected establishment (from the Log 300), EH is the total number of hours per year worked by all workers at the inspected establishment (multiply 8 hours times the number of workers at the inspected establishment), and 200,000 is the base for 100 full-time equivalent workers.

EXAMPLE: In the Log 300 of an inspected establishment, there were 22 lost workday injuries and illnesses (Columns 2 and 9). There are 337 workers (including line, management, temporary and leased) at the inspected establishment. Each of the 337 workers work 40 hours per week during 50 weeks per year for a total number of hours for all workers at the inspected establishment of 74,000. The LWDI at the inspected establishment is 22/674,000 x 200,000 = 6.52

35. Scope

Mark "X" in only one box to indicate the scope of the inspection.

a. Comprehensive Inspection -- Mark "X" in this box if the scope of the inspection was comprehensive.

b. Partial Inspection -- Mark "X" in this box if the scope of the inspection was partial.

c. Records Only Inspection -- Leave blank

d. No Inspection -- Mark "X" in this box if an inspection was attempted but could not be conducted for some reason. Also complete Item 45, Reason for no Inspection.

36. Number of Days Site Visited

Enter the number of days compliance personnel visited the worksite. If any portion of a day is spent on an inspection, the day shall be counted as one day.

EXAMPLE If compliance personnel spent one full day and two hours of another day at the worksite, enter "2" in this item.

NOTE: If "No Inspection" is marked under "Scope" in Item 35d., a minimum of "1" day must be entered in Item 36 since compliance personnel went to the site to determine if an inspection could be conducted.

NOTE: If a date is entered in any field in Items 37 through 41, the Cal/OSHA 1 can be amended to include appropriate information related to the warrant or subpoena by marking the changes in red ink on a photocopy of the Cal/OSHA 1 and submitting the updated Form to the District Office Staff immediately.

37. Anticipatory Warrant/Subpoena Served

Mark "X" in this "Yes" box if compliance personnel served a warrant or subpoena on the employer which was obtained prior to initiating the inspection.

38. Date of Denial

Enter the month, day and year in which compliance personnel was initially refused entry to the worksite.

Job Terminated After Warrant Received

If compliance personnel are refused entry and a warrant is received by the Division, but the employer's job is terminated before any inspection can be conducted, enter "No Inspection" in Item 35d. and mark Item 45c., "Process to be Inspected Not Active" with an "X."

Denial at a Multi-Employer Worksite

When compliance personnel are refused entry at a multi-employer worksite by one of the employers at the worksite, the Cal/OSHA 1 for the employer who actually refused the Division entry shall contain all the denial of entry information. Any Cal/OSHA 1s for other employers at the worksite shall not reference the refusal, but shall be associated with it since all the Cal/OSHA 1s will reference a common inspection number in Item 42, Optional Information.

Denial of Joint Safety and Health Inspections

When a Cal/OSHA engineer and an industrial hygienist both participate together in the inspection of a single worksite and are refused entry, both compliance personnel shall enter all the pertinent information about the refusal on the Cal/OSHA 1 and submit it to the District Office Support Staff for data entry.

39. Date Re-Entered

Enter the month, day and year compliance personnel attempted to reenter the worksite following the refusal of entry.

40. Date Re-Denied

If there was a second refusal of entry following the reentry after the first refusal of entry (defined in Item 39), enter the month, day and year of the second refusal. The District Manager shall contact the Legal Unit through the Regional Manager for further instruction.

41. Date Re-Entered

If compliance personnel attempted to reenter the establishment following the second refusal in Item 40, enter the month, day, and year of the attempt to reenter or the reentry.

42. Optional Information

Use all optional information codes that apply, regardless if the inspection is also a Strategic Performance Goal inspection.

Examples: A CSHIP inspection can also involve N 16 LEAD, and/or could have an S 01 OPU. AN ASHIP inspection could have been a tenth letter inspection S 11 TENTH.

Note: The paper form of the Cal/OSHA 1 does not have a preprinted area designated for Strategic Performance Goals. Compliance personnel are required to write in Item 42 the Strategic Performance Goal Codes, e.g., SP ASHIP, SP CSHIP, SP RMI, SP TARGET, SP TUNNEL or others which will be data-entered in Line 25(f) on the actual Data Entry Screen. See Item 25(f) above.

The following are valid Optional Information Codes:

S-1 Order Prohibiting Use

Enter the number of Orders Prohibiting Use issued related to the current inspection in the "Number" box.

NOTE: If the Order Prohibiting Use relates to a citation, also enter a letter "I" under REC on the Cal/OSHA 1B.

Type ID

Value

S 1

   --

S-2 Information Memo

If an Information Memorandum is issued, enter a count of the number of items included on the Information Memorandum in the "Number" box.

Type ID

Value

S 2

   --

S-3 Type of Inspection

All mining and tunneling inspections and pre-job conferences shall be coded as follows:

M = Mining inspection

T = Tunnel inspection

Type ID

Value

S 3

T

S 3 M

The following entries are not preprinted on the Cal/OSHA 1, Item 42, and must be written in:

S-4 An inspection conducted as part of a designated Regional Plan

Type ID

Value

S 4 PRI

PRI -- Produce Ripening Industry Inspection Project

S-5 Garment Industry Inspections which are Programmed

Type ID

Value

S 5 GARMENT

S-6 Not Assigned

S-7 Inspection with Medical Unit Involvement

Type ID

Value

S 7 MEDICAL

S-8 Archive

Do not purge this file. All inspections which involve

monitoring, sampling, Special Orders, or Orders to Take

Special Action shall be identified as below and file

retained indefinitely.

Type ID

Value

S 8 ARCHIVE

S-9 Pre-activity Conference

Mining and Tunneling Unit Pre-Job Activity.

Type ID

Value

S 9 P

S-10 Crane Deficiencies/All Tower Crane Inspections

Note: Inspections to investigate crane deficiencies reported on Form IS-162.

Programmed Tower Crane Inspections

Type ID

Value

S 10 CRANEDEF
S 10 TOWER CRANE

S-11 Tenth/Fifth Satisfactory Response Letter Inspections

Type ID

Value

S 11 TENTH
S 11 FIFTH

S-12 ECIS

Code any inspection involving the LA East Central Interceptor Sewer Tunnel Project with this code (M&T).

Type ID

Value

S 12 ECIS

S-13 DIR

If you inspect any office of another Division, or a Board or Commission of the Department of Industrial Relations, enter this code.

Type ID

Value

S 13 DIR

S-14 Workers Compensation Insurer

Code the workers' compensation insurer for any inspected employer by entering the name of the workers' compensation insurer under Value.

Type ID

Value

S 14 (Enter the first eight (8) letters of the insurer's name, e.g., California Casualty should be entered as "CA CASUAL.")

EXCEPTION: State Compensation Insurance Fund should entered as "SCIF."

NOTE: If the employer is self-insured, then enter the "SELF." If the employer does not have workers' compensation insurance, then enter "NONE" and see P&P C-11 for procedures for making a DLSE referral.

S-15 Multi-Employer

Code all inspections where citations for 8 CCR Section 336.10 are issued for the creating, controlling and correcting employers. See P&P C-1C.

Type ID

Value

S 15 336

S-16 No 170s

Code all accident inspections that do not have a corresponding OSHA 170, Accident Investigation Summary, nor a Cal/OSHA 170A, Narrative Summary, because it has been determined that the accident was not caused by a workplace condition.

Type ID

Value

S 16 No 170s

S-17 Workplace Violence

Code all inspections resulting from a complaint or accident which involves workplace security:

Type ID

Value

S 17 VIOLENCE

S-18 Not Assigned

S-19 Not Assigned

S-20 Mining and Tunneling Inspections

Code all inspections of small tunnels (less than 2 months duration).

Type ID

Value

S 20 TS

Code all inspections of medium tunnels (duration of from 2 to 6 months).

Type ID

Value

S 20 TM

Code all inspections of large tunnels (duration greater than six months).

Type ID

Value

S 20 TL

Code all inspections of surface mines.

Type ID

Value

S 20 MS

Code all inspections of underground mines.

Type ID

Value

S 20 MU

N-1 Linkage of Multi-Employer Worksites

Enter the Inspection Number from the initial inspection on all inspections generated at the worksite.

Type ID

Value

N 1 (Enter Inspection Number)

N-2 Tuberculosis

Any inspection where tuberculosis exposure is evaluated.

Type ID

Value

S 2 TB

N-3 -- N-15 Not Assigned

N-16 Asbestos or Lead

For all inspections involving asbestos or lead:

Type ID

Value

N 16 ASBESTOS
N 16 LEAD

N-17 Bankruptcy

Enter the Date of Bankruptcy (MMDDYY) from the information provided by the DIR Accounting Unit.

N-18, N-19 Not Assigned

N-20 Comment Field

May be used to indicate why a file remains open, e.g., penalty pending, waiting for lab samples or under appeal; or any other type of comment, e.g., citation(s) is/are undeliverable.

Type ID

Value

N 20 Do not enter names or Compliance Personnel IDs.

43. Total Entries

If there are more than six entries in Item 42, enter the total number here.

44. Close/No Citations Issued

Cases are closed by the District Office Support Staff or the District Manager after appeals (if any) are finalized by the Appeals Board and abatement of violations is verified and all penalties are paid. Use the shaded box to the left of Item 44 to record the closing date in the format (MM/DD/YY). For a no inspection, enter the last date the site was visited.

NOTE: Use the OSHA 166 (Citation Record Update) to record abatement and close the file. See P&P C-166.

a. Close

Mark "X" in this box if this inspection or attempted inspection should be closed. All inspections and attempted inspections must eventually be closed. Close cases when:

(1) No inspection is conducted, except for refusals of entry where the scope may later be modified.

(2) Compliance personnel are refused entry, but no warrant is obtained to continue the inspection.

(3) An inspection has been conducted and a determination not to cite has been made.

NOTE: Mark "X" in Item 44b. in this case.

(4) An inspection has been conducted, citations issued, all appeals have been finalized, abatement of violations is verified, all penalties have been paid or the case has been administratively closed.

(5) Follow-up cases may be closed as soon as the follow-up inspection is conducted even if additional violations are issued as a result of the follow-up inspection or a Failure-to-Abate (FTA) was issued. Do not purge the follow-up case until the original inspection is closed.

b. No Citations Issued

Mark "X" when no citations are issued as a result of the inspection.

45. If No Inspection Conducted

If Item 35d. was marked, mark "X" in the one box which best indicates the reason why no inspection was conducted.

a. Establishment Not Found -- Mark "X" in this box if no inspection was conducted because the worksite could not be physically located.

b. Employer Out of Business -- Mark "X" in this box if no inspection was conducted because the employer was out of business.

c. Process to be Inspected Not Active -- Mark "X" in this box if no inspection was conducted because the process to be inspected was not active. This will include situations at construction sites in which work has not yet begun, is temporarily halted, or has been completed. It also applies on refusals of entry for which a warrant was received, but the job had terminated before any inspection could be conducted.

d. Ten or Fewer Employees -- Leave blank

e. Denied Entry -- Mark "X" in this box if no inspection was conducted because compliance personnel were refused initial entry or were refused permission to conduct the walkaround and did not obtain an inspection warrant.

f. SIC Not on Planning Guide -- Leave blank

g. Worksite Exempt Through Voluntary Program -- Leave blank

h. Non-Exempt Consultation in Progress -- Mark "X" in this box if no programmed inspection was conducted because an on-site consultation was in progress by personnel from the Division's Consultation Unit.

i. Other -- Mark "X" in this box if no inspection was conducted for any reason. Mining and Tunneling Pre-job activities are recorded here.

46. Closing Conference Date (On Site)

Enter the month, day and year of the last closing conference held before issuing citations. If no closing conference was held, enter the date of exit conference conducted at the worksite prior to leaving the worksite.

NOTE: If this item is left blank at the time the Cal/OSHA 1 is initially submitted, it shall be updated before closing the case.

47. CSE/IH Signature and Date (Not data-entered into IMIS)

The Cal/OSHA Engineer or Industrial Hygienist who conducted the inspection shall review, sign and date the Cal/OSHA 1, regardless of whether it was computer generated or a preprinted form.

48. Reviewer Signature (Not data-entered into IMIS)

The District Manager shall review, sign and date the Cal/OSHA 1, regardless of whether it was computer generated or a preprinted form.