DIRECTIVE NUMBER : CPL 02 -00-159 EFFECTIVE DATE : …

1 DIRECTIVE NUMBER : CPL 02 -00-159 EFFECTIVE DATE: October 1, 2015 SUBJECT: Field Operations Manual (FOM) ABSTRACT Purpos e : To provide OSHA offices, State P lan programs and federal agencies with policy and procedures concerning the enforcement of occupational safety and health standards. Also, this instruction provides current information and ensures occupational safety and health standards are enforced with uniformit y. Scope : OS HA-w ide. References: Advance Notice of Inspections, 29 Code of ; Policy Regarding Employee Rescue Activities, 29 (f); Abatement Verification, 29 ; Reporting Fatalities and Multiple Hospitalizat ion Incidents, 29 ; Housing for Agricultural Workers, 20 Part 654, Subpart E; CPL 02-00-153, Communicating OSHA Fatality Inspection Procedures to a Victim s F amily, April 17, 2012.

2 Cancellations: OSHA Instruction CPL 02-00-150, Field Operations Manual, issued April 22, 2011; OSHA CPL 02-02-007, CH-1, Removal of Obsolete Sections, June 3, 1985. State Impact: Notice of Intent and Equivalency required. See S ec tion VI . Action Offices: National, Regional, and Area Offices. Originating Office: Directorate of Enforcement Programs (DEP). Contact: Director, Office of General Industry and Agricultural Enforcement U. S. Department of Labor OS HA 200 Constitution Avenue, , Room N-3119 Washington, DC 20210 202-693-1850 By and Under the Authority of David Michaels, PhD, MPH Assistant Secretary * OSHA ARCHIVE DOCUMENT * NOTICE: this is an OSHA ARCHIVE Document, and may no longer represent OSHA policy * OSHA ARCHIVE DOCUMENT * This document is presented here as historical content, for research and review purposes only.

3 Executive Summary T his instruction provides current information and guidance to the Occupational Safety and Health Administration (OSHA) national, regional, and area offices concerning OSHA s policy and procedures for implementing inspections, issuing citations and proposing penalties. Significant Changes for 2015 Updat e Table of Contents section is revised. References section is revised. Revised language in Chapter 1 Section VI., referring to State Plan Impact language. Added language associated with OSHA Strategic Partnerships (OSPs) in Chapter 2 Section VI., Programmed Inspections. Deleted the bullet for OSHA Strategic Partnerships in Chapter 2 under Section VI., Programmed Inspections. Deleted language relating to Site Specific Targeting (SST) Program in Chapter 2. Added language related to Workplace Violence in Chapter 3 Section II.

4 , Inspection Planning. Added language related to the Occupational Injury and Illness Recording and Reporting Requirements NAICS Update and Reporting Revisions in Chapter 3 Section , Chapter 4 Section , Chapter 6 Section , Chapter 11 Section , and Chapter 13 Section Added language related to Safety Incentive Programs in Chapter 3 Section VI., Review of Records. Revised language relating to Walkaround Representatives in Chapter 3 Section VII., Walkaround Inspections. Deleted language relating to OSHA Data Initiative (ODI) Data Review in Chapter 3. Revised language related to Repeated Violations f rom three to f ive years in Chapter 4 Section VII., Obtaining Inspection History. Revised AVD language for Repeated Violations in Chapter 4 Section Restore the Reserved paragraphs in Chapter 4 Section XI.

5 , Health Standards Violations. Revised OSHA Penalty Policy in Chapter 6 Section III., Penalty Adjustment Factors. Revised language to time limitation and final order in Chapter 6 Section III., Penalty Adjustment Factors. Added new Penalty Comparison Chart in Chapter 6 Section III., Penalty Adjustment Factors. Deleted language to OSHA Strategic Partnerships in Chapter 6 Section III., Penalty Adjustment Factors. Revised Debt Collection Section in Chapter 6, Adjustment to Payments. Revised Debt Collection Section in Chapter 6, Depositing Payments. Added Debt Collection Control Flowchart in Chapter 6, Debt Collection. Added language in Chapter 8 Section I., Settlement of Cases by Area Director. * OSHA ARCHIVE DOCUMENT * NOTICE: this is an OSHA ARCHIVE Document, and may no longer represent OSHA policy * OSHA ARCHIVE DOCUMENT * This document is presented here as historical content, for research and review purposes only.

6 Revised Electronic Complaints in Chapter 9, Electronic Complaints Received via the OSHA Public Website. Added language in Chapter 11 Section II., Families of Victims. Deleted language in Chapter 11 Section II., Recording and Tracking f or Fatality/Catastrophe Investigations. Added language in Chapter 11 Section II., Investigation (OSHA-170). Added language to the Severe Violator Enforcement Program in Chapter 11 Section II., Severe Violator Enf orcement Program. Deleted language in Chapter 11 Section II., Recording and Tracking f or Fatality/Catastrophe Investigations. Added language in Chapter 13 Section III., Federal Agency Inspection Scheduling. Added language in Chapter 13 Section III., Other Whistleblower Protections. Added language in Chapter 13 Section VIII., Notice(s) of Unsaf e or Unhealthf ul Working Conditions.

7 Added new Federal Appeals Process Flow Charts in Chapter 13. Added new Appendices A-C in Chapter 13. Added Preemption by Other Agencies in Chapter 17. Added web-link to OSHA Instruction, OSHA Authority Over Vessels and Facilities on or Adjacent to Navigable Waters and the Outer Continental Shelf (OCS) in Chapter 17, Jurisdiction Coverage. Disclaimer This manual is intended to provide instruction regarding some of the internal operations of the Occupational Safety and Health Administration (OSHA), and is solely for the benefit of the Government. No duties, rights, or benefits, substantive or procedural, are created or implied by this manual. The contents of this manual are not enforceable by any person or entity against the Department of Labor or the United States. Statements which reflect current Occupational Safety and Health Review Commission or court precedents do not necessarily indicate acquiescence to those precedents.

8 * OSHA ARCHIVE DOCUMENT * NOTICE: this is an OSHA ARCHIVE Document, and may no longer represent OSHA policy * OSHA ARCHIVE DOCUMENT * This document is presented here as historical content, for research and review purposes only. TABLE OF CONTENTS CHAPTER 1 INTRODUCTION I. PURPOSE.. 1-1 II. SCOPE.. 1-1 III. 1-1 IV. CANCELLATIONS.. 1-5 V. ACTION INFORMATION.. 1-6 A. RESPONSIBLE OFF IC B. ACT ION OFF IC ES ..1-6 C. INFORMAT ION OFF IC ES ..1-6 VI. FEDERAL PROGRAM CHANGE NOTICE OF INTENT AND EQUIVALENCY 1-6 VII. SIGNIFICANT CHANGES.. 1-6 VIII. BACKGROUND.. 1-8 IX. DEFINITIONS AND TERMINOLOGY.. 1-8 A. THE ACT ..1-8 B. COMPLIANCE SAFET Y AND HEALT H OFFICER (CSHO)..1-8 C. HE/SHE AND HIS/HERS ..1-8 D. PROFESSIONAL JUDGMENT ..1-8 E. WORKPLACE AND WORKSIT E ..1-9 CHAPTER 2 PROGRAM PLANNING I. INTRODUCTION.. 2-1 II. AREA OFFICE RESPONSIBILITIES.. 2-1 A. PROVIDING ASSIST ANCE T O SMALL EMPLOYERS.

9 2-1 B. AREA OFFICE OUTREACH PROGRAM..2-1 C. RESPONDING T O REQUEST S FOR ASS IST ANC E..2-1 III. OSHA COOPERATIVE PROGRAMS OVERVIEW.. 2-1 A. VOL UNT ARY PROT ECT ION PROGRAMS (VPP)..2-1 B. ON-S IT E CONSULT AT ION C. SAFET Y AND HEALT H ACHIEVEMENT RECOGNIT ION PROGRAM (SHARP)..2-2 D. STRATEGIC PART NERSHIPS..2-2 E. ALLIANCE PROGRAM..2-2 IV. ENFORCEMENT PROGRAM SCHEDULING.. 2-3 A. GENERAL..2-3 B. INSPECT ION PRIORIT Y CRITERIA..2-3 C. EFFECT OF CONT EST..2-4 D. ENFORCEMENT EXEMPT IONS AND LIMIT AT * OSHA ARCHIVE DOCUMENT * NOTICE: this is an OSHA ARCHIVE Document, and may no longer represent OSHA policy * OSHA ARCHIVE DOCUMENT * This document is presented here as historical content, for research and review purposes only. E. PREEMPT ION BY ANOT HER FEDERAL AGENCY..2-5 F. UNIT ED STATES POST AL G. HOME-BASED WORKSIT ES..2-6 H. INSPECT ION/INVEST IGAT ION TY P ES.

10 2-6 V. UNPROGRAMMED ACTIVITY HAZARD EVALUATION AND INSPECTION SCHEDULING.. 2-7 VI. PROGRAMMED INSPECTIONS.. 2-7 A. SCHEDULING FOR CONST RUCT ION INSPECT B. SCHEDULING FOR MA R IT I M E INSPECT IONS..2-7 C. SPECIAL EMPHASIS PROGRAMS (SEPS)..2-8 D. NAT IONAL EMPHASIS PROGRAMS (NEPS)..2-9 E. LOCAL EMPHASIS PROGRAMS (LEPS) AND REGIONAL EMPHASIS PROGRAMS (REPS)..2-9 F. OT HER SPECIAL PROGRAMS..2-9 G. INSPECT ION SCHEDULING AND INT ERFACE W IT H COOPERAT IVE PROGRAM PART CHAPTER 3 INSPECTION PROCEDURES I. GENERAL INSPECTION PROCEDURES.. 3-1 II. INSPECTION PREPARATION AND PLANNING.. 3-1 A. REVIEW OF INSPECT ION HIST OR Y..3-1 B. REVIEW OF COOPERAT IVE PROGRAM PART ICIP AT ION..3-1 C. SAFET Y AND HEALT H ISSUES RELAT ING T O CSHOS..3-1 D. ADVANCE NOT ICE OF AN INSPECT ION..3-3 E. PRE-INSPECT ION COMPULSORY F. PERSONAL SECURITY G. EXPERT ASSIST III.