OSHA Instruction CPL 2.35 CH-25 August 29, 1994 Office of General Industry Compliance Assistance

Subject: Changes to the Regulatory and General Industry Standard Alleged Violation Elements (SAVEs) Manual

A. Purpose. This instruction transmits revised and new pages for all the Standard Alleged Violation Elements (SAVEs) which are incorporated into a manual that is used in conjunction with automated citation processing procedures. (See OSHA Instructions CPL 2.32A, 2.34, 2.35 and CPL 2.36B)

B. Scope. This instruction applies OSHA-wide.

C. Action. Regional Administrators and Area Directors shall ensure that all compliance personnel:

1. Make the following page changes at the end of the Regulatory and General Industry (SAVEs) Manual:

Insert Paces

A-1 through A-18

2. File a copy of this transmittal sheet behind OSHA Instruction CPL 2.35 CH-24 in the appropriate OSHA Directive System binder.

D. Background. The Appendix instructions for SAVEs and AVDs in CPL 2.45B, Chapter 5 of the Field Operations Manual is being moved to the end of CPL 2.35 Regulatory and General Industry SAVEs Manual.

E. State Plan States. Regional Administrators shall advise State designees of the action required by this instruction and encourage their participation in the SAVEs program.

John B. Miles, Jr., Director Directorate of Compliance Programs

DISTRIBUTION: National, Regional, Area and District Offices Compliance Officers State Designees Areas Office Clericals 11 (c)/405 Programs NIOSH Regional Program Directors

APPENDIX

SAVEs and AVDs

A. General. The proper writing of citations is an essential part of the enforcement process. Specific instructions on how to complete the Citation and Notification of Penalty, OSHA-2 Form, are contained in the "Integrated Management Information System (IMIS) Enforcement Data Processing Manual" and the "Enforcement User Skills Manual."

B. SAVEs Manual. The Standard Alleged Violation Elements (SAVEs) are incorporated into a manual that is used in conjunction with automated citation processing procedures. (See OSHA Instructions CPL 2.32A, 2.34, 2.35 and 2.36B)

1. Purpose. The SAVEs are designed to achieve the following goals:

a. Improve the quality of alleged violation descriptions.

b. Establish uniformity through standardized wording in Alleged Violation Descriptions (AVDs).

c. Promote uniform interpretation and application of standards.

d. Ensure legal adequacy of alleged violation descriptions

e. Decrease lag time between inspection and citation.

f. Reduce CSHO and clerical time on case file preparation.

g. Reduce typographical and grammatical errors in citations.

2. Scope. The term SAVE is used to describe that portion of an alleged violation description which can be stored within an automatic typing system and retrieved as needed. As it appears in the citation, an AVD is a complete description of an alleged violation consisting of a SAVE and other necessary variable elements applicable to a specific violation.

a. The SAVEs Manual does not include variable information. It lists the needed items of variable information in memory-jogger form under the SAVE.

b If the inspection is a fatality/catastrophe investigation or other "after-the-fact" investigation, the AVD must include the date and time of employee exposure.

c. For multistep abatements, the variable information must include a description of each step together with the date by which that step must be completed. These will appear on the OSHA-2.OSHA

NOTE: The SAVEs Manual is not to be used as a substitute for the standards/regulations.

3. General Instructions. CSHOs using the SAVEs Manual shall:

a. Determine from the OSHA Safety and Health Standards/Regulations which specific standard/regulation is to be cited.

b. Search the SAVEs Manual for a corresponding SAVE. If one is listed, ensure that it is appropriate for the apparent violation noted. This is accomplished by comparing the SAVE with the standard/regulation.

c. Enter the SAVE's ID code at the appropriate place in accordance with current instructions. (SAVES are identified by their page and item numbers; e.g., I-351(2)).

d. Record the variable information required to complete the AVD. Include the date that the violation was observed if the inspection took more than one day to complete.

4. SAVEs Options. A SAVE option identifies a different requirement within a single standard/regulation.

a. If more than one requirement is covered by a single standard/regulation, these may be listed as options in the SAVEs Manual. Two or more options for the same standard/regulation shall not be listed on a citation as separate violations.

b. SAVEs have not been drafted for all possible combinations of violations of a standard. The options given may be combined in either of two ways:

(1) One method is to write a new SAVE including all the required information.

(2) The preferred method is to combine the applicable options by listing each such option as an individual subitem of a single alleged violation. The item number is listed as 1a, 1b, etc.

NOTE: The CSHO shall not confuse this combining procedure with the instructions for grouping violations.

5. Violations Without SAVEs. If there is not a SAVE that covers the alleged violation, the CSHO is required to develop the alleged violation description using the following format:

a. Past tense in all wording.

b. Plural wording; e.g., operators.

c. Use (a), (b), (c), etc., for sublocations.

d. Positive factual statements (eliminate "failed to" and "employer failed to).

C. Examples. The following are some examples of how the SAVEs are properly used:

1. SAVE for 1910.213(n)(3). This SAVE is not in the word processing system.

a. As It Appears in the SAVEs Manual.

29 CFR 1910.213(n)(3): Hoods or suitable guards were not provided to prevent the hands of the operators from coming in contact with the in-running rolls of feed rolls on ______________:

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR CONDITION(S)) (DESCRIBE HAZARD(S) WHERE NECESSARY)

NOTE: INDICATE WHETHER PLANING, MOLDING, STICKING, AND/OR MATCHING MACHINES ARE TO BE CITED.

b. What the CSHO Must Specify.

(1) Illustration 1.

o Insert appropriate machine identification in body of SAVE; e.g., "planing machine."

o Enter appropriate variable information: Shop A, Northwest corner; e.g., Apex Planing Machine (serial #363-21).

(2) Illustration 2.

o Insert appropriate machine identification in body of SAVE: "Molding machine"

o Enter appropriate variable information: Shop B, South wall - Baylor Molding Machine (serial #63546)

(3) Illustration 3.

o If a combination of the same types of hazards on different machines covered by the same standard is noted during an inspection, insert appropriate machine identifications in body of SAVE: "planing machine" and "molding machine"

o Enter appropriate variable information:

(a) Shop A, Northwest corner - Apex Planing Machine (serial #363-21)

(b) Shop B, South wall - Baylor Molding Machine (serial #63546)

c. Completed AVD (For Illustration 3) As It Appears on the Citation.

29 CFR 1910.213(n)(3): Hoods or suitable guards were not provided to prevent the hands of the operators from coming in contact with the in- running rolls of feed rolls on planing machine and molding machine:

(a) Shop A, Northwest Corner - Apex Planing Machine (serial #363-21).

(b) Shop B, South wall - Baylor Molding Machine (serial #63546).

2. SAVE for 1910.22(a)(2). There are two options for this SAVE; however, only one of these options is illustrated.

a. As It Appears in the SAVEs Manual.

OPTION I 29 CFR 1910.22(a)(2): Floors of workrooms were not maintained, as far as possible, in a dry condition:

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR CONDITION(S)) (DESCRIBE HAZARD(S) WHERE NECESSARY)

b. What the CSHO Must Specify.

(1) Enter appropriate variable information: Machine shop, east end -- water on floor around the "Dumas" injection machine.

(2) Describe the hazard: A slippery condition subjecting employees to injury from falls.

c. Completed AVD as It Appears on the Citation.

29 CFR 1910.22(a)(2): Floors of workrooms were not maintained, as far as possible, in a dry condition:

(a) Machine shop, east end -- water on floor around the "Dumas" injection machine resulting in a slippery condition.

3. SAVE for a Standard with a General Requirement.

a. As It Appears in the SAVEs Manual.

OPTION 1 29 CFR 1910.132(a): Protective equipment was not used when necessary whenever hazards capable of causing injury and impairment were encountered:

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR CONDITIONS) (DESCRIBE HAZARD(S) WHERE NECESSARY)

b. What the CSHO Must Specify.

(1) Identify type of protective equipment needed; e.g., wire mesh gloves.

(2) Enter appropriate variable information: Deboning Department, main deboning table.

(3) Describe the hazard: Cuts to hands or body or employees cutting themselves.

c. Completed AVD as It Appears on the Citation.

29 CFR 1910.132(a): Protective equipment was not used when necessary whenever hazards capable of causing injury and impairment were encountered:

(a) Deboning Department, main deboning table, wire mesh gloves were not used to protect workers from the hazard of cutting themselves as a result of knives slipping during repeated boning operations.

4. SAVE for a Standard Incorporated by Reference.

a. As It Appears in the SAVEs Manual.

29 CFR 1910.101(b), Section 3.3.8, Compressed Gas Association Pamphlet P-1-1965, as adopted by 29 CFR 1910.101(b): Compressed gas cylinders were stored near elevators, gangways or in locations where heavy moving objects could strike or fall on them:

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR CONDITION(S)) (DESCRIBE HAZARD(S) WHERE NECESSARY)

NOTE: APPLIES TO CYLINDERS ONLY, NOT TO WELDING, CUTTING AND BRAZING AS GIVEN IN 1910.252

b. What the CSHO Must Specify.

(1) Insert the appropriate section number of the adopted standard, and the name of the adopted standard; e.g., 1910.101(b), Section 3.3.8, Compressed Gas Association Pamphlet P.1.1965.

(2) Enter appropriate variable information: Main cylinder filling station, east end, adjacent to rampway used by powered industrial trucks.

c. Completed AVD as It Appears on the Citation.

29 CFR 1910.101(b) Section 3.3.8, Compressed Gas Association pamphlet P-1-1965, as adopted by 29 CFR 1910.101(b): Compressed gas cylinders were stored near elevators, gangways or in locations where heavy moving objects could strike or fall on them:

(a) Main cylinder filling station, east end, adjacent to rampway used by powered industrial trucks and subject to being struck by them.

5. SAVE for Citation of the General Duty Clause.

a. As It Appears in the SAVEs Manual.

Section 5(a)(1) of the Occupational Safety and Health Act of 1970: The employer did not furnish employment and a place of employment which were free from recognized hazards that were causing or likely to cause death or serious physical harm to employees in that employees were exposed to:

(a) IDENTIFY THE HAZARD. DESCRIBE THE CONDITIONS OR PRACTICES WHICH ARE CREATING THE HAZARD. IDENTIFY THE SPECIFIC OPERATION INVOLVED AND LOCATION. PROVIDE ONE FEASIBLE ABATEMENT METHOD WHICH IS ACCEPTABLE TO CORRECT THE HAZARD. THE STATEMENT SHOULD READ:

"ONE FEASIBLE AND ACCEPTABLE ABATEMENT METHOD, AMONG OTHERS, TO CORRECT THIS HAZARD IS. . . ."

NOTE: See Chapter IV for determining the propriety of a (5)(a)(1) citation.

b. (5)(a)(1) Violation.

Employees are entering a baling press box to clear out paper and cardboard that had jammed the baler. The machine is not electrically shut down and locked out and the ram is not blocked. Therefore, the employees are exposed to the hazard of inadvertent activation of the press ram which could cause death or serious injury. OSHA does not have a lockout standard that applies to the hazard. This hazard can be cited as a violation of Section (5)(a)(1) of the Act if it can be established that:

(1) There is not an applicable OSHA standard.

(2) Employees are exposed to a hazard that could cause serious physical harm.

(3) The hazard is recognized by the industry.

(4) There are feasible abatement methods to correct the hazard.

c. What the CSHO Must Specify.

(1) Identify the recognized hazard: Death or serious injuries resulting from inadvertent activation of the baling press ram.

(2) Give a method of correcting the hazard that is feasible and useful: Establish and enforce a plant lockout procedure.

(3) Enter the appropriate variable information: Mill basement, baling press room.

(4) Identify the consensus standard upon which the 5(a)(1) citation is based.

d. Completed AVD as It Appears on the Citation.

Section 5(a)(1) of the Occupational Safety and Health Act of 1970: The employer did not furnish employment and a place of employment which were free from recognized hazards that were causing or likely to cause death or serious physical harm to employees in that employees were exposed to: inadvertent activation of the baling press ram while freeing the box from paper jams. Among other methods, one feasible and acceptable abatement method to correct this hazard is to establish and enforce an adequate plant lockout procedure such as that stipulated by ANSI Z244.1- 1982, Section 4 and 5, American National Standard of Minimum Safety Requirements for Lockout/Tagout of Energy Sources for Personnel Protection. Essential elements of the lockout procedure would include:

1. Open and lock out the main power disconnect for the machine and bleed off any residual energy;

2. Provide each potentially exposed employee working in the area with separate lock and key to be placed on the lockout means;

3. Establish a written lockout policy, including procedures to be followed and training for all affected employees, both maintenance and operational crews;

4. Periodically evaluate the program and strictly enforce all of its provisions.

NOTE: Other elements may be added or revisions made to ones listed in the example as conditions dictate.

6. An Example of Combining SAVEs.

1a 29 CFR 1910.215(a)(4): Grinding machinery was not used with work rests to support off-hand grinding work:

(a) Northwest corner of machine shop - Black & Decker bench grinder, serial #24693.

1b 29 CFR 1910.215(a)(4): Work rests on grinding machine were not adjusted closely to the wheel with a maximum opening of one-eighth inch:

(a) Northwest corner of machine shop - Shopcraft stand grinder serial #10096, work rest 1 inch from wheel (left wheel).

7. An Example of Combining and Grouping SAVEs.

THE FOLLOWING ALLEGED VIOLATIONS HAVE BEEN GROUPED BECAUSE THEY INVOLVE SIMILAR OR RELATED HAZARDS THAT MAY INCREASE THE POTENTIAL FOR (INJURY RESULTING FROM AN ACCIDENT) OR (ILLNESS).

1a 29 CFR 1910.107(b)(1): Spray booths were not substantially constructed of steel, concrete or masonry:

(a) Paint shop, wood constructed paint spray booth.

1b 29 CFR 1910.107(b)(5)(i): The average air velocity over the open face of the paint spray booths was less than 100 linear feet per minute:

(a) Paint shop, paint spray booth, 60 linear feet per minute.

1c 29 CFR 1910.107(b)(5)(i): There were no visible gauges, audible alarms or pressure activated devices installed on paint spray booths to indicate or ensure that the required air velocity was maintained:

(a) Paint Shop, paint spray booth.

1d 29 CFR 1910.107(c)(7): Electric lamps outside of but within 20 feet of spraying areas, and not separated therefrom by a partitions, were not protected from physical damage by suitable guards or by location:

(a) 10 linear feet from the northwest corner of the paint spray booth, large finished 4' x 8' panels were handled and stacked directly beneath lights 9 feet above the floor.

D. Citing Health Violations. In general, health citations are structured in the same manner as illustrated in the examples given in C.1. through 6. Health citations have certain characteristics that need to be highlighted.

1. Citations. Health citations shall have item numbers identifying each standard violated. Within each item cited, instances observed which relate to that item shall be listed.

a. When one or more employees are exposed to different contaminants in 29 CFR 1910.1000, separate items shall describe the violations of the different contaminants. For example, overexposure to iron oxide fume (on a welder) and zinc oxide fume (on a ladle operator) or overexposure (on a pourer) to both iron oxide and zinc oxide fumes would result in two separate items and two separate penalties on one serious citation.

b. When more than one employee is exposed to the same hazard, the operations would be listed as separate instances for the same item. For example, overexposure to silica at different operations (sand slinger, shakeout operator, and muller) would result in one item with three instances and one penalty on a serious citation.

c. When one or more employees are exposed to several contaminants covered by several standards, separate items shall describe the violations of the different contaminants. For example, overexposure to lead, silica and iron oxide on one employee would result in three separate items and three separate penalties on one serious citation.

2. Specific Instructions. When using SAVEs for health citations, the CSHO must include certain additional information in the alleged violation description over and above that required for safety citations in general. The following items must be identified in the variable information portion of the SAVE:

a. The exposure levels found during sampling for hazardous substances or for physical hazards and the dates on which the sampling was performed. For grouped items, when exposure information is identical, it is not necessary to repeat this information for each citation item. It will be sufficient to specify exposure conditions for the first item of the grouped citation and reference that item for the other items. (See B.2.b.(7)(c) 4 and 5.

b. The more significant health effects of hazardous substances. (See the Chemical Information Manual, OSHA Instruction CPL 2-2.43A.)

c. Feasible engineering controls. Engineering controls shall be identified as existing and shall be presented in general outline. They shall be described as being one set of a number of possible methods, unless the facts indicate that these are the only feasible engineering controls.

d. Feasible administrative or work practice controls, if appropriate, using the guidelines given above for engineering controls to describe the controls.

E. Examples of Health SAVEs. The use of health SAVEs is illustrated in the following examples:

1. SAVE for a Standard with a General Requirement.

a. As It Appears in the SAVEs Manual.

OPTION 1 29 CFR 1910.132(a): Protective equipment was not used when necessary whenever hazards capable of causing injury and impairment were encountered:

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATION(S) AND/OR CONDITIONS) (DESCRIBE HAZARD(S) WHERE NECESSARY)

b. What the CSHO Must Specify.

o Identify type of equipment needed; e.g., gloves impervious to hazardous substance.

o Identify health hazard and its effects; e.g., Scotch Brand Resin 5230, a serious skin irritant and sensitizer.

o Identify the part of the body that was unprotected; e.g., the wrists and lower arms.

c. Completed AVD as It Appears on the Citation.

29 CFR 1910.132(a): Protective equipment was not used when necessary whenever hazards capable of causing injury and impairment were encountered:

(a) An employee working in the Fluidizer Room handling Scotch Brand Resin 5230 which is a serious skin irritant and sensitizer was wearing cotton gloves which were not impervious to the resin and did not protect the wrists and lower arms.

2. SAVE for a Respirator Violation.

a. As It Appears in the SAVEs Manual.

29 CFR 1910.134(b)(3): The users of respirators were not instructed and trained in the proper use of respirators and their limitations:

(a) (LOCATION, OPERATION AND/OR SPECIFIC RESPIRATORS)

b. What the CSHO Must Specify.

o Identify the hazardous substance to which employees are exposed; e.g., silica.

o Identify the exposure level; e.g., in a sample containing 20% respirable quartz, a TWA of 1.4 mg/M3, or 3 times the PEL of 0.45 mg/M3 was measured.

o Identify the type of respirator used and any deficiencies noted; e.g., MSA Comfo II respirator with one strap removed and cartridges designed for use with organic vapors.

o Identify the specific hazard under the standard cited; e.g., employee had not been trained in how to wear the respirator and was not familiar with the hazards of silica.

c. Completed AVD as It Appears on the Citation.

29 CFR 1910.134(b)(3): The users of respirators were not instructed and trained in the proper use of respirators and their limitations:

(a) An employee was exposed to silica dust with 20% respirable quartz at a TWA of 1.4 mg/M3, 3 times the permissible exposure level of 0.45 mg/M3, while chipping and grinding castings at the Number 7 Work Station in the Number 4 Grinding Enclosure in the Cleaning Room. The employee was not instructed in the proper use of the respirator and its limitations as evidenced by the fact that he was wearing an MSA Comfo II respirator which had one strap removed. Further the employee was not familiar with the health hazards of silica: February 23, 1988.

3. SAVE for a Ventilation Violation.

a. As It Appears in the SAVEs Manual.

29 CFR 1910.94(d)(9)(i): Employees working in and around open surface tank operations were not instructed as to job hazards and first aid procedures or personal protection applicable to these hazards:

(a) (LOCATION, TANK, CONDITIONS AND/OR CONTAMINANTS)

b. What the CSHO Must Specify.

o Identify tanks involved; e.g., cadmium, nickel and chrome plating tanks.

o Identify the hazards involved and their effects; e.g., mixing cyanide salts with acid producing hydrogen cyanide, an asphyxiant.

c. Completed AVD as It Appears on the Citation.

29 CFR 1910.94(d)(9)(i): Employees working in and around open surface tank operations were not instructed as to job hazards and first aid procedures or personal protection applicable to these hazards:

(a) An employee working in the Plating Room near the cadmium, nickel and chrome plating tanks was exposed to the hazards of hydrogen cyanide inhalation, a chemical asphyxiant which can cause death, and the employee was not familiar with the hazard of mixing cyanide salts with acid nor with established emergency procedures.

4. SAVES for a Noise Violation.

a. As They Appear in the SAVEs Manual.

29 CFR 1910.95(b)(1): Employees were subjected to sound levels exceeding those listed in Table G-16 of Subpart G of 29 CFR 1910 and feasible administrative or engineering controls were not utilized to reduce sound levels:

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATIONS OR DEPARTMENT AND THE NUMBER OF EMPLOYEES EXPOSED) (DESCRIBE CONDITIONS INCLUDING DATE, SHIFT, NOISE LEVELS, SAMPLING PERIOD) (PROVIDE GENERAL METHODS OF CONTROL)

29 CFR 1910.95(i)(2)(i): The wearing of hearing protectors was not ensured for employees exposed to sound levels exceeding those listed in Table G- 16 of 29 CFR 1910.95 as required by 29 CFR 1910.95(b)(1):

(a) (LOCATION) (IDENTIFY SPECIFIC OPERATIONS AND/OR DEPARTMENTS AND THE NUMBER OF EMPLOYEES INVOLVED) (DESCRIBE CONDITIONS INCLUDING NOISE LEVELS, SAMPLING PERIOD AND DATES)

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