INFORMATION NECESSARY FOR
EVALUATION OF POTENTIAL VIOLATION-BY-VIOLATION CASES
1. Scope of Inspection
a. Date inspection initiated;
b. Statute of limitations date for citation issuance;
c. Type of inspection (e.g., unprogrammed or programmed,
safety or health);
d. Nature of employer's business, corporate-wide and at
the inspected worksite;
e. Total number of employees overall and at the inspected
worksite; and
f. Names of labor unions representing employees.
2. Inspection History
a. Numbers and dates of previous inspections; and
b. Previous violation history at this establishment and in
the corporation nationwide.
NOTE: National citation history can be obtained by
requesting the information from the Regional IMIS
Coordinator.
3. Inspection Methodology
a. Were warrants, medical access orders or administrative
subpoenas necessary? Why? Were they obtained and
used?
b. What written records or other documents were examined
or obtained?
c. What are the names of compliance personnel who
conducted the inspection?
d. Were experts or other consultants used in the
inspection? If so what are their names and
qualifications?
e. Have depositions been taken? Are any planned? Who
will be deposed?
4. Inspection Findings
a. Summary of Violations
(1) Number and Classification
(2) Types of Title 8 Safety Orders Violated
b. Proposed Citations
(1) How is the violation-by-violation penalty to be
applied?
(2) How many violations are there?
(3) Are there additional violations not subject to the
violation-by-violation penalty?
5. Documentation Relating to Additional Penalty Factors
a. Determination of Willfulness:
(1) What were the firm's guidelines or policies
relating to safety and health in general and, in
particular, to the subject violation, e.g., hazard
communication, machine guarding, use of
respirators, maintenance of pressure vessels?
What was the local facility's safety and health
program?
(2) Do corporate or plant policies or guidelines
differ from Cal/OSHA requirements, or other
relevant standards, regulations or guidelines?
What is management's explanation for differences
between its policies and Cal/OSHA's requirements?
(3) Did responsible persons actually know of the
requirements of the relevant Cal/OSHA standards,
guidelines or instructions? Who were they and how
did such persons come to know Cal/OSHA's
requirements?
(4) Did responsible persons actually know of the
existing hazardous conditions? Did they recognize
the hazardous nature of these conditions? If so,
who were these persons and for how long had they
recognized the hazard?
(5) How did the employer explain the existence of the
violations? Did the employer claim that any steps
to abate had already been taken? Was any
documentation available to support such previous
action?
(6) Had the company done anything toward identifying,
evaluating or correcting the hazardous conditions
prior to the Division's visit? Was an abatement
program in place or had one been proposed? What
progress had been made toward implementing it?
Does it seem adequate? What was the company's
explanation as to why more progress had not been
made?
(7) Are any memoranda, letters, minutes, accident
reports or other documents addressing the hazards,
violations or corrective measures available?
Describe them. Did management admit knowledge of
these documents? Had management responded in any
to them? How?
b. Penalty Factors
(1) How many violations of each standard are involved
and how extensive (pervasive) is the problem?
What is the nature of the violation? (How many
machines? How many different engineering
controls? How many employees exposed?)
(2) What kind of safety and health program exists in
the plant? What is management's attitude toward
safety and health? What do management officials
actually say?
(3) What training was given to employees and
supervisors regarding compliance with the standard
or regulation, or abatement of the hazard? If
none is given, what did management admit or what
explanation did they offer?
(4) Did the company enforce its own policies and
guidelines?
(5) What were the most serious reasonably predictable
injuries or illnesses that could result from
exposure to the hazard? Would these potential
injuries or illnesses be classified as serious?
Did management admit recognition of the potential
for these injuries and illnesses?
(6) What was the company's record (especially relating
to workers' compensation claims) for injuries
and/or illnesses associated with alleged
violations? What kind and how many such injuries
or illnesses?
NOTE: All of the above questions are to be directly
asked of management personnel and their responses
carefully recorded in writing or electronically. A
second compliance person or other reliable witness
shall be present if at all possible. Documentary
evidence shall be sought throughout the investigation,
using administrative subpoenas as appropriate.
C-10A, Attachment (08/01/94)