P&P C-1B
Issue Date: 6/29//02


NOTE: The following Items on the Cal/OSHA 1B may not numerically correspond to the number of the item on the IMIS screen. If any new screen items appear, please contact your System Administrator or IMIS Coordinator for assistance.

Establishment Name -- Enter the name of the establishment inspected in the same manner that it appears on the Cal/OSHA 1.

Issue Date -- Enter the calendar date the citation will be issued.

Region -- Enter the reporting ID of the Region in which the inspection was conducted.

District -- Enter the reporting ID of the District in which the inspection was conducted.

1.    Inspection Number

Enter the inspection number from the Cal/OSHA 1.

2.    FTA?

Enter an "x" when a follow-up inspection results in a failure-to-abate.

NOTE: Enter in Box 1 the inspection number from the original inspection, not from the follow-up inspection.

3.    CSHO ID

Enter the 5-digit ID number of the compliance personnel who performed the inspection.

4.    Optional Report Number

Enter the optional report number from the Cal/OSHA 1.

5.    Date/time

Enter the date and time of day that the violation was noted by compliance personnel during the inspection, or, if not seen by compliance personnel, the date and time that violation was noted by a witness.

6.    Citation Classification Type

a.    Document the classification of the violation.

NOTE: The State type code is stored in the District database. However, only the federal equivalent code is transmitted to the host.

                                     State Types Federal Equivalent Types
                                        G = General O = Other
                                        R = Repeat R = Repeat
                                        S = Serious S = Serious
                                       W = Willful W = Willful
                                     RG = Regulatory 0 = Other
                                     GR = Repeat General R = Repeat
                                     RS = Repeat Serious R = Repeat
                                    SW = Serious Willful W = Willful
                                      N = Notice O = Other

NOTE: All Special Orders and Orders to Take Special Action shall be classified as Serious. Information Memoranda shall be documented on the Cal/OSHA 1B as "IM," but are not data entered in IMIS.

7.    Citation Number

Enter the number of the citation that includes this alleged violation. All citations must be numbered consecutively as they are issued. If more than one type of citation is issued at a given time, the citations must be numbered in the following priority: Regulatory and General (Citation One); Serious; Repeat; Willful.

NOTE: All Regulatory and General violations shall be listed on Citation One. Each Serious, Repeat or Willful violation is listed on separate Citations, consecutively numbered beginning with Citation 2. If there are no Regulatory or General violations, and there is a Serious citation, the Serious citation will be Citation No. 1.  For IMIS purposes, a Notice is data-entered as the last citation.

8.    Item Number

Item 8 is to be used for regulatory and general violations only. Arrange all Regulatory and General violations in ascending numerical order by Safety Order cited. Assign an Item number to each violation by using consecutive numbers starting with one (1).

NOTE: For IMIS purposes, all violation types are assigned an item number.

9.    Standard Allegedly Violated

Enter the section number of the standard allegedly violated.

NOTE: When data entering the standard violated, strict data entry procedures shall be followed using the format provided by the Regional IMIS Coordinators.

Related Event Code (REC)

If any instance of the violation documented on the Cal/OSHA 1B which is related to the subject of an event from the list below, enter the appropriate code as follows:

I  =  Imminent danger
A =  Fatality/catastrophe or accident
R =  Referral

10.    Number Exposed

Enter the total number of employees who would potentially not be at risk if all the instances of this violation were corrected. The number exposed is generally equivalent to the sum of the number entered under Exposure Information on the sampling sheets. For regulatory violations, like posting and recordkeeping, use the Number of Employees in Establishment from Item 26 on the Cal/OSHA 1.

NOTE: Avoid double-counting of employees. If the original number of employees estimated to be potentially overexposed changed since sampling results were obtained, enter the current estimate of exposed employees.

11.    Number Instances

Combine all Cal/OSHA 1Bs, documenting instances of the same Standard Allegedly Violated and Citation Classification Type. Enter the total number of instances for each standard on the first Cal/OSHA 1B for that standard. This number represents the number of sources of exposure to the hazard addressed in the standard.

EXAMPLE: If AVD/Citation Text (Item 21) is as follows:

Southwest corner of carpenter shop -- 2 Black and Decker table saws (Serial #123593, and #123594); Southeast corner of carpenter shop -- 3 Black and Decker table saws (Serial #119736, #123595 and #134672), then the number of instances on the first Cal/OSHA 1B for that standard should be 5, that is, the total number of saw blades to which employees were exposed.

NOTE: Items 12 through 15 are not data-entered individually as that would generate federal penalty calculations.  For those Cal/OSHA compliance personnel who data-enter their own Cal/OSHA 1Bs, Items 12 through 15 may be entered using the Work Sheet Text (Line 7) on the 1B data screen.

12.    Severity

Choose "L" for LOW, "M" for Medium, "H" for HIGH, and "S" for a serious violation.

13.    Extent

Choose "L" for LOW, "M" for Medium, and "H" for HIGH.

14.    Likelihood

Choose "L" for LOW, "M" for Moderate, and "H" for HIGH.

15.    Total Adjustment Factors in Percent

Enter the total percentage of adjustment.

16.    Proposed Penalty

Enter Proposed Penalty from the Cal/OSHA 10. See P&P C-10 for instructions on calculating the civil penalty.

17.    Abatement Period

a. Enter the number of calendar or working days within which the violation must be abated and specify whether they are calendar or working days or enter the final abatement date.

b. If the violation has been abated at the time of the citation, write in the word "abated."

NOTE: When computer-generating the citation, the IMIS system automatically adds three days for mailing and enters this date as the final abatement date.

Track? Not used.

Abatement Completed: Indicate the status of the abatement using one of the following codes:

X= Abatement Completed

I= Abated at the time of inspection (CSE/IH Observed)

E= Not Completed, Employer Out of Business

W= Not Completed, Worksite Changed

A= District Manager Discretion

S= Not Completed, Legal Unit Advised

18.    Action Date/Type

This field is optional and may be used to track the violation by any unofficial date, e.g., follow-up or inspection due date.

Date Date associated with the type of action to be taken.

Type Type of action date being tracked. Valid codes are listed below:

A = Abatement Due

P = Plan Due -- IS 160 Due

R = Report Due -- 1S 161 Due

L = Letter Due -- Five Day Letter on IS-161

F = Follow-up Inspection Due -- See P&P C-15 for follow- up requirements

O = Other Action due -- Optional Use by District Manager

19.    SAVE Notebook -- Optional use in the District. Contact your Regional IMIS Coordinator.

20.    Substance Codes

Enter numerical codes for all substances directly related to the violations cited. Generally, there will be only one numerical code for each violation cited, except in the case of additive substances.

NOTE: Obtain the Substance Codes from Appendix C (Index to Substances by IMIS Code) of the Cal/OSHA IH Technical Manual. If a code for a particular substance is needed, but no code number is available in the Manual, compliance personnel shall check with the Regional Senior Industrial Hygienist.

21.    AVD/Citation Text

Enter a description of the alleged violation and the variable conditions of each instance. Describe the violation in simple, factual terms (not necessarily those of the Safety Order) that can be easily understood by the average employer. Summarize applicable information from Item 22 (Elemental Analysis) to describe the violative conditions and enter them in Item 21. If there is more than one instance of the alleged violation, precede each instance description with a different letter of the alphabet beginning with the letter "a" to identify each instance of the violation.

NOTE: Compliance personnel may choose to use the Internet to access Title 8 regulations and copy them into the Cal/OSHA 1B AVD/Citation Text.

NOTE: For those Cal/OSHA compliance personnel who data-enter their own Cal/OSHA 1B, Items 22 through 27 can be entered using the Work Sheet (Line 7) on the 1B violation data entry screen.

22.    Elemental Analysis

List numerically each descriptive element of the cited Title 8 CCR section in the Elements column. In the Evidence Summary column, specify each item of evidence found during the inspection which substantiates the descriptive element (e.g., hazards, operation, equipment, location and/or measurements). Under Types of Evidence, specify the classification of the evidence described under Evidence Summary (see abbreviations in Section C.3.b.).

23.    Photo

If photographs were taken, circle the "Y" and enter Photo Identification Number (e.g., frame and roll numbers) and photo worksheet number, if applicable. If a photo was not taken, circle "N." Photos taken by compliance personnel may be mounted on the Photo Mounting Worksheet. OSHA 89 can be provided by the Regional IMIS Coordinator.

24.    Employee Exposure and Evidence of Employer-Employee Relationship

NOTE:  For those Cal/OSHA compliance personnel who data-enter their own Cal/OSHA 1B, Item 24 can be entered using the Employee Exposure field (Line 8) on the 1B violation data entry screen.

Employee Exposure

Enter the information on employee exposure using one line for each employee's occupation. On each line, subitems a. through e. must present a complete description of employee exposure for a particular occupation.

EXAMPLE: A radial arm saw has been on a construction site for three months and has never been guarded during that time. All of the employer's fourteen (14) carpenters on the job use the saw. One of the carpenters is John Doe. Total use of the saw on a daily basis is approximately four hours. The information would be entered in Item 24 as follows:

a. Occupation (& Employer) -- Carpenter, ABC, Corp.

b. Number of Employees -- 14 employees

c. Total Duration of Hazard -- 3 months

d. Frequency of Exposure -- 4 hours/day

e. Exposed Employee Name -- Jane Doe
Address & Telephone No. -- 112 Main St., Sacramento, CA 95814 (916) 555-1111

NOTE: Instead of the employee's name, a number may be entered which corresponds to the number of the entry of the exposed employee on page 2 of the Cal/OSHA 1A.

If additional space is needed, use the Items Cont'd Section on page 2 of the Cal/OSHA 1B. When using the Items Cont'd Section, always precede the entry with the appropriate Item and Subitem number as follows:

24a. Welder
24b. 3 employees
24c. 2 years
24d. 2 hours/week
24e. John Roe
522 South Street
Sacramento, CA 95814
(916) 555-1112

Employer-Employee Relationship

If an inspection or investigation is conducted at a multi-employer worksite, or the employer has temporary employees, then compliance personnel shall document the existence of an employer-employee relationship in Item 24. See P&PC-1C and 1D.

NOTE: For those Cal/OSHA compliance personnel who data-enter their own Cal/OSHA 1B, Items 25 and 26(a) through (c) can be entered using the Work Sheet (Line 7) on the 1B violation data entry screen.

25.    Additional Witness Documentation

List the name, address and telephone number of each person having percipient information of the factual elements of the violation. After each name, list the element numbers from Section 22 which the person is able to personally verify.

26.    Citation Classification

a.    Assuming That An Accident or Exposure Occurs, What Are the Likely Consequences?

Document the likely physical consequences of the accident or exposure. See Section D.3.b.(1)(c)i. and ii and D.3.c.

b.    Actual or Constructive Management Knowledge

Check on the Cal/OSHA 1B whether the employer, or employer representative, had actual or constructive knowledge of the violative condition. If constructive knowledge is present, check on the Cal/OSHA 1B all of the following categories which apply:

(1) Violation Common Practice At Jobsite

(2) Proximity of Supervisors To Violation

(3) Violation Readily Visible to Anyone Passing By

(4) Obligation Anticipated: Foreseeable Hazards, i.e., asbestos-containing construction materials in older buildings

(5) Condition Existed Long Enough for Employer Awareness

(6) Accident at Jobsite Previously from same Violation(s)

(7) Special Duty to Inspect -- Competent Person At Excavation

(8) Employer Received Complaints from other employees of violation condition

(9) Other (please state)

c.    Determination as to Whether Violation is Serious, General or Regulatory

Document whether the single element of a serious violation is met: substantial probability of death or serious physical harm (see Attachment F). If the element of a serious violation is not met, document why the element cannot be supported by evidence, and then document whether the violation is a regulatory or general violation.

Use the Documentation Worksheet to document any of the following:

d.    Prior Violations (Repeat)

Document through the Regional Citation History evidence of the prior violation(s) which supports the repeat classification of the violation.

e.    Intentional, Knowing or Reckless Conduct (Willful)

Document the elements of a Willful violation. Attach a completed copy of the Willful Elements Documentation Worksheet to the Cal/OSHA 1B (Attachment D) approved by the District Manager.

f.    Failure to Abate

When a failure to abate has occurred, document which violative condition(s) of the previously issued citation have not been abated by referencing the specific violation item. Attach a copy of the original Cal/OSHA 1B to show the elements and facts associated with the original violative condition. Complete item J.26.b. for all failure-to-abate violations. See P&P C-15, Section C.


1.    Establishment Name

Enter the name if the establishment inspected in the same manner that it appears on the Cal/OSHA 1.

2.    Page

Indicate page number and when all pages are completed total number of pages.

3.    The Company is Engaged in

Explain the main product that the company produces and describe their operations.

4.    Description of Equipment, Processes and Raw Materials Used in the Operation(s)

Fully describe the type of equipment used by the company and the processes and raw materials used in their operations.

5.    Flow Diagram

Circle yes or no.

6.    Production Rates

Indicate the company's production rate and if the employees are paid on a piece work basis.

7.    Work Hours

Enter employees' work hours, indicate if company has more than one shift and the hours of the shifts.

8.    Company's Buildings or Worksite(s) Consists Of

Enter how many buildings or describe worksite.

9.    Ambient Weather Conditions

If pertinent, describe weather and temperature at time of inspection or investigation.

10.    Windows and Doors

If pertinent, circle open or closed.

11.    Heating System

If pertinent, circle open or closed. Indicate type.

12.    Air Conditioning

Circle whether the worksite has any heating, ventilation and air conditioning system. If yes, circle whether the system is on or off.

13.    Hazards Evaluated

Check type of industry, then check all hazards that were evaluated during the inspection or investigation. On the back of the Field Documentation Worksheet, indicate whether there were positive or negative findings for each hazard checked under Item 13.