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OSHAFINAL

NOTIC

E

SHATOP 10

VIOLATIONS2016for

EVENTS

i

SPECIAL REPORT

Top 10 OSHA Violations for 2016

ii Top 10 OSHA Violations for 2016

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Table of contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1General Duty Clause enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Recent GDC cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Severe injury reporting, enforcement, and RRIs . . . . . . . . . . . . . . . . . . . . 4Types of OSHA citations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Penalty increases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Coming soon: Electronic injury and illness submission . . . . . . . . . . . . . . . . . . . . . . . . . . . 6Most frequently violated standards— General industry 2016 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Most frequently violated standards— Construction 2016 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

1 . 29 CFR 1926 .501 Fall Protection in Construction . . . . . . . . . . . . . . . . . . . 9Total violations—6,877 Total penalties—$26,044,601 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2 . 29 CFR 1910 .1200 Hazard Communication . . . . . . . . . . . . . . . . . . . . . . . 10Total violations—5,646 Total penalties—$3,864,543 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

3 . 29 CFR 1926 .451—Scaffolding in Construction . . . . . . . . . . . . . . . . . . . 12Total violations—3,884 Total penalties—$8,362,429 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

4 . 29 CFR 1910 .134—Respiratory Protection . . . . . . . . . . . . . . . . . . . . . . . . 13Total violations—3,562 Total penalties —$2,949,453 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

5 . 29 CFR 1910 .147—Control of Hazardous Energy (Lockout/Tagout) . . 14Total violations—3,391 Total penalties—$13,288,827 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

6 . 29 CFR 1910 .178—Powered Industrial Trucks . . . . . . . . . . . . . . . . . . . . 16Total violations—2,843 Total penalties—$5,138,924 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

7 . 29 CFR 1926 .1053—Ladders in Construction . . . . . . . . . . . . . . . . . . . . . 17Total violations—2,615 Total penalties—$4,711,849 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

8 . 29 CFR 1910 .212—Machine Guarding—General requirements for all machines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Total violations—2,437 Total penalties—$9,414,885 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

iv Top 10 OSHA Violations for 2016

9 . 29 CFR 1910 .305—Electrical—Wiring methods, components, and equipment—General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Total violations—1,934 Total penalties—$2,289,718 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

10 . 29 CFR 1910 .303—Electrical— General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Total violations—1,703 Total penalties—$2,907,873 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

©BLR®—Business & Legal Resources 10102600 1

Introduction

Because the U.S. Occupational Safety and Health Administration (OSHA) can-not inspect all 7 million workplaces it covers each year, the Agency seeks to focus its inspection resources on the most hazardous workplaces in the follow-ing order of priority:

1 . Imminent danger situations—hazards that could cause death or seri-ous physical harm—receive top priority. Compliance officers will ask employers to correct these hazards immediately or remove endangered employees.

2 . Fatalities, catastrophes, and severe injuries and illnesses—employers are required to report all work-related fatalities within 8 hours and all work-related inpatient hospitalizations, amputations, or eye-loss inci-dents within 24 hours. Based on the severity of the incident and other specified criteria, OSHA will either conduct an on-site investigation or initiate a rapid-response investigation (RRI) that requires the employer to conduct its own root cause analysis and submit evidence of corrective actions.

3 . Complaints—allegations of hazards or violations also receive a high pri-ority. Employees may request anonymity when they file complaints.

4 . Referrals of hazard information from other federal, state, or local agen-cies; individuals; organizations; or the media receive consideration for inspection.

5 . Follow-ups—checks for abatement of violations cited during previous inspections are also conducted by the Agency in certain circumstances.

6 . Planned or programmed investigations—inspections aimed at specific high-hazard industries or individual workplaces that have experienced high rates of injuries and illnesses also receive priority.

As a result of OSHA’s enforcement efforts, many of the same standards make the “most frequently violated” list again and again.

In this year’s report, we have provided individual charts for the top 10 viola-tions for both general industry and construction, with last year’s ranking in the last column. The report covers violations for fiscal year (FY) 2016, which runs from October 1, 2015, through September 30, 2016.

2 Top 10 OSHA Violations for 2016

General Duty Clause enforcementIn this report, we discuss OSHA’s top 10 most frequently violated standards. But many employers do not realize that when there is no specific stan-dard, OSHA will use the General Duty Clause (GDC), Section 5(a)(1), of the Occupational Safety and Health Act (OSH Act) of 1970 to cite employers.

Section 5(a)(1) of the OSH Act requires:

“Each employer shall furnish to each of his employees employment and a place of employment which are free from recognized hazards that are causing or are likely to cause death or serious physical harm to his employees.”

The GDC is the “gap filler” in enforcement actions that addresses recognized hazards where no OSHA standard exists. The Agency often looks to voluntary consensus standards such as those put out by the National Fire Protection Association (NFPA) or the American National Standards Association (ANSI) as a basis for GDC citations, as well as information in manufacturers’ instructions or product warning labels. Over the past several years, OSHA has shown itself to be increasingly willing to cite employers under the GDC for a variety of haz-ards not covered by its safety and health standards.

The courts have interpreted OSHA’s GDC to mean that an employer has a legal obligation to provide a workplace free of conditions or activities that either the employer or industry recognizes as hazardous and that cause, or are likely to cause, death or serious physical harm to employees when there is a feasible method to abate the hazard.

An employer can be found to be in violation of the GDC if it can be shown that:

◆◆ A hazard existed.

◆◆ The hazard was likely to cause death or serious physical harm.

◆◆ The employer had knowledge of the hazard or should have had knowl-edge because the hazard had been recognized by the employer, the industry, or common sense.

◆◆ The hazard was foreseeable.

◆◆ Workers were exposed to the hazard.

Common areas in which OSHA uses the GDC include:

◆◆ Musculoskeletal disorders (MSDs) resulting from hazardous lifting, repetitive tasks, awkward positions;

◆◆ Failure to protect employees from heat stress;

◆◆ Failure to keep employee chemical exposure levels below recommended levels;

◆◆ Cell phone use while driving on the job;

◆◆ Use of a forklift without a seat belt;

◆◆ Risk of workplace violence;

◆◆ Improper storage of highly reactive chemicals; and

◆◆ Combustible dust explosion hazards.


Necessary elements to prove a violation of the GDC include:

◆◆ The employer failed to keep the workplace free of a hazard to which employees of that employer were exposed;

◆◆ The hazard was recognized;

◆◆ The hazard was causing or was likely to cause death or serious physical harm; and

◆◆ There was a feasible and useful method to correct the hazard.

A GDC violation must involve both the presence of a serious hazard and expo-sure of the cited employer’s own employees within the previous 6 months. It is key under the GDC that employers can be cited only for exposure of “his own employees,” as worded in the GDC.

In 2016, more than 1,200 GDC violations were cited, with nearly $6 million in penalties. In any typical year, somewhat more than 1,000 OSHA inspections result in fines for a GDC violation. So, when designing and evaluating your safety program, remember that it’s not enough to stop at compliance with OSHA standards; you also must consider whether additional hazards at your facility might constitute a violation of the GDC and take steps to create a safe working environment for all your employees.

Recent GDC cases

Unloading trailers with forklifts

In FY 2016, OSHA used the GDC several times in cases where forklift drivers were exposed to fall, crush, and struck-by hazards while loading or unload-ing tractor trailers that did not remain stationary while the work was taking place. In one such case, an employee operating a forklift was traveling back and forth from a loading dock to a trailer. The employee was inside the trailer when it started to pull away from the dock, causing the employee and his forklift to roll out of the trailer and land on the ground approximately 4 feet below. In another case, a forklift operator was unloading a tractor trailer when the truck driver pulled away from the dock. The forklift was on its way out of the trailer as the trailer separated from the dock, forcing the forklift opera-tor to jump from the forklift to the ground below, resulting in injuries. OSHA found that the employer did not verify that the forklift operator had exited the trailer before notifying the truck driver that the unloading was complete. The employer was fined $17,000 as a result.

Heat exposure

In FY 2016, OSHA issued over 50 citations for heat exposure under the GDC. Most of the employers cited for heat exposure were in construction, land-scaping, and other outdoor industries, but employers with indoor operations weren’t immune.

For example, Hospital Central Services, a commercial laundry facility, was issued a serious violation and fined over $10,000 under the GDC for exposing


employees to heat stress while they worked around heat sources such as flat iron machines, dryers, and washing machines for 10-hour shifts. According to OSHA, employees were exposed to time-weighted average temperatures that exceeded 90 degrees Fahrenheit (°F) in this environment, and some suffered from heat-related illnesses as a result.

In another significant heat stress case, OSHA cited the U.S. Postal Service after multiple employees were exposed to dangerously high temperatures. According to the agency, while working in weather conditions with tem-peratures exceeding 90°F, a mail carrier who had not become acclimatized to walking and delivering mail in high heat worked from a vehicle without air-conditioning and carried a mail bag weighing up to 15 pounds, causing him to develop a heat-related illness. Another worker was taken to the emergency room for heat exhaustion and dehydration after exposure to extremely high heat levels. Because the U.S. Postal Service had been previously cited for simi-lar hazards, OSHA issued a repeat citation that carried a fine of $69,591.

Regardless of whether your employees work outdoors, in an indoor manufac-turing environment, or in vehicles, you must consider whether they could be exposed to conditions likely to cause heat stress and take appropriate protec-tive measures.

Workplace violence

In FY 2016, OSHA cited over 1 dozen employers under the GDC for hazards related to workplace violence. Many of these cases were in health care or related social services; others affected convenience stores, property manage-ment companies, and security services. In one tragic incident, a security guard was interacting with a visitor in a federal building when the visitor shot the employee with a firearm, killing him. OSHA determined that the employer failed to develop a workplace violence prevention program and take other measures to protect its employees from the known threat, given the nature of working as a security guard, of workplace violence and active shooter situ-ations. The employer was cited with a serious violation and fined $7,000. In another case, OSHA cited a home healthcare company with a willful viola-tion under the GDC for exposing its employees to verbal and serious physi-cal assaults while they provided nursing care services to clients in what the agency referred to as “hostile home environments.” The company was fined $70,000 for the GDC violation, as well as an additional $28,000 for various recordkeeping violations.

Severe injury reporting, enforcement, and RRIsSince January 2015, employers have been required to report to OSHA within 24 hours any work-related inpatient hospitalization, amputation, or loss of an eye, in addition to the existing requirement to report fatalities within 8 hours. The agency says that the new reporting requirement has provided timely information about where and how serious injuries were occurring in work-places across the country and allowed it to focus its efforts more effectively.


To prioritize its enforcement resources, OSHA does not conduct a full investi-gation in every one of these reported incidents. Instead, it uses a triage system to direct enforcement to the most hazardous locations. In over one-half of reported severe injury and fatality cases, OSHA does not send its inspectors to the site but instead uses a rapid response investigation (RRI) protocol, which requires employers to conduct their own root cause analysis of the incident and submit evidence of corrective actions. If an employer does not cooperate with the RRI process, an in-person inspection can result. If you are subject to an RRI following an incident at your facility, it is in your best interest to be thorough in conducting your root cause analysis and implementing and documenting corrective actions.

Types of OSHA citationsWillful . An employer has demonstrated either intentional disregard for the requirements of the OSH Act or plain indifference to employee safety and health. Penalties range from $9,054 to $126,749 per willful violation. If an employer is convicted of a willful violation that has resulted in an employee fatality, the offense is punishable by a court fine, by imprisonment for up to 6 months, or both. Criminal conviction can result in fines of up to $250,000 for an individual or $500,000 for a corporation.

Serious . A serious violation means there is a substantial probability that death or serious physical harm could result from a condition that exists or from practices, operations, or processes. OSHA may propose a penalty of up to $12,675 for each violation.

Other than serious . This type of violation results from a condition that is hazardous and has a direct relationship to employees’ safety and health but would probably not cause death or serious physical harm. OSHA may impose a penalty of up to $12,675 for each violation.

De minimis. These are conditions in which an employer has implemented a measure different from one specified in a standard that has no direct or imme-diate relationship to safety or health. These conditions do not result in cita-tions or penalties.

Failure to abate . In this case, a previously cited hazardous condition has not been brought into compliance since the prior inspection and is discovered at a later inspection. If the violation is corrected but later recurs, the subsequent occurrence is a repeat violation. OSHA may impose a penalty of up to $12,675 per day for each violation.

Repeat . A repeated violation is one that has been cited previously within the past 5 years for the same or a substantially similar condition or hazard, and the citation has become a final order of the Occupational Safety and Health Review Commission (OSHRC). Repeat violations can bring a civil penalty of up to $126,749 for each violation.


Penalty increasesIn August 2016, higher civil penalty levels for OSHA violations—the first increase in over 25 years—took effect. The August 2016 penalty levels, which represented a onetime “catch-up” increase to compensate for a long period without adjustment, were 78 percent higher than the previous levels. Penalties went up by an additional 1 percent in January 2017, the first in what is sup-posed to be a series of regular increases to keep pace with inflation.

Type of Violation Old penalty range Current penalty range

Other than serious Up to $7,000 Up to $12,675

Serious Up to $7,000 Up to $12,675

Willful Minimum of $5,000 up to $70,000

Minimum of $9,054 up to $126,749

Repeat Up to $70,000 Up to $126,749

Failure to abate Up to $7,000 per day Up to $12,675 per day

Given this upward trend in fines, it is more important than ever to make sure your safety programs are on point so you don’t fall into the trap of one of the most frequent violations.

Coming soon: Electronic injury and illness submissionUnder the Final Rule to Improve Tracking of Workplace Injuries and Illnesses, finalized in May 2016, certain employers will soon be required to submit data from their injury and illness records to OSHA electronically on an annual basis. Originally, the first electronic submission deadline was July 1, 2017; however, OSHA has extended that deadline to December 1, 2017.

By December 1, 2017, establishments with 250 or more employees that are required to keep injury and illness records, as well as establishments with 20–249 employees in designated high-hazard industries, must electronically submit data from their 2016 OSHA 300A, Summary of Work-Related Injuries and Illnesses. Additional requirements are scheduled to be phased in through 2019.

As of August 1, 2017, OSHA has launched its online Injury Tracking Application, available at https://www.osha.gov/injuryreporting/ita. There are three options for data submission. Employers can manually enter data into a Web-based form, upload a CSV file, or, for those with automated recordkeeping systems, transmit data electronically via an application programming interface (API).

OSHA claims that receiving this injury and illness data will allow the agency to target its resources more effectively and focus its efforts on the most hazard-ous industries and workplaces. In addition, the agency plans to post the data, stripped of personally identifiable information, on a publicly available website, which OSHA believes will encourage employers to focus on safety. The rule has proved controversial, however, with many claiming that it encourages a focus on lagging indicators and could lead to underreporting.

Going forward, it will be interesting to see how OSHA uses the data it receives from the electronic submission process to prioritize its enforcement resources and whether the items that appear on the Top 10 Violations list will change as a result.

https://www.osha.gov/injuryreporting/ita/


Most frequently violated standards— General industry 2016Penalties shown reflect current rather than initial amounts.

2016 Ranking

Standard #

Cited $ Penalty Description

2015 Ranking

1 1910.1200 5,646 $3,864,543 Hazard Communication 1

2 1910.134 3,562 $2,949,453 Respiratory Protection 2

3 1910.147 3,391 $13,288,827 Control of Hazardous Energy (Lockout/Tagout)

3

4 1910.178 2,843 $5,138,924 Powered Industrial Trucks 4

5 1910.212 2,437 $9,414,885 Machine Guarding—general requirements for all machines

6

6 1910.305 1,934 $2,289,718 Electrical—wiring methods, components, and equipment for general use

5

7 1910.303 1,703 $2,907,873 Electrical—general requirements

7

8 1910.132 1,531 $3,006,077 Personal Protective Equipment (PPE)—general requirements

8

9 1910.37 1,041 $1,961,214

Means of Egress—maintenance, safeguards, and operational features of exit routes

10

10 1910.23 1,009 $2,877,288 Walking-Working Services—guarding floor and wall openings and holes

9

Source: U.S. OSHA OIS [OSHA Information System] FY 2016

Note: Figures change regularly as adjustments are made by OSHA. Frequent violations tend to occur in the same standards or parts of standards year after year.


Most frequently violated standards— Construction 2016Penalties shown reflect current rather than initial amounts.

2015 Ranking

Standard #

Cited $ Penalty Description

2014 Ranking

1 1926.501 6,877 $26,044,601 Duty to Have Fall Protection 1

2 1926.451 3,884 $8,362,429 Scaffolding—general requirements

2

3 1926.1053 2,615 $4,711,849 Ladders 3

4 1926.503 1,585 $1,937,534 Fall Protection—training requirements

4

5 1926.102 1,402 $2,786,341 Eye and Face Protection 5

6 1926.20 925 $1,816,770 General Safety and Health Provisions

7

7 1926.100 918 $1,544,522 Head Protection 6

8 1926.453 913 $1,940,274 Aerial Lifts 8

9 1926.502 812 $1,385,662 Fall Protection Systems Criteria and Practices

10

10 1926.651 748 $2,562,585 Specific Excavation Requirements

9

Source: U.S. OSHA OIS FY 2016

Note: Figures change regularly as adjustments are made by OSHA. Frequent violations tend to occur in the same standards or parts of standards year after year.


1. 29 CFR 1926.501 Fall Protection in Construction

Total violations—6,877 Total penalties—$26,044,601The duty to have fall protection in construction is consistently OSHA’s most frequently cited stan-dard. Falls are among the most common causes of serious work-related injuries and deaths. They are the leading cause of death in construction.

Employers must set up the workplace to prevent employees from falling off overhead platforms, elevated workstations, or into holes in the floor and walls. In the construction industry, OSHA requires that fall protection be provided when-ever employees are working 6 feet (ft) or more

above a lower level, as well as when working over dangerous equipment and machinery, regardless of the fall distance. There are separate fall protection requirements that apply to work done on scaffolds, which are discussed on page 12.

Commonly cited areas include:◆◆ 1926.501(b)(13)—Failure to provide protection—residential construction ◆◆ 1926.501(b)(1)—Failure to use a guardrail, safety net, or personal fall

arrest system ◆◆ 1926.501(b)(10)—Failure to provide protection—low-slope roofs ◆◆ 1926.501(b)(11)—Failure to provide protection—steep roofs ◆◆ 1926.501(b)(4)(i)—Failure to protect employees from falling through

holes and skylights

There are a number of ways employers can protect workers from falls, including through the use of conventional means such as guardrail systems, safety net sys-tems, personal fall protection systems, the adoption of safe work practices, and the provision of appropriate training.

Check your operations for the following safety practices:◆◆ Are employees properly trained in the use of their personal fall arrest

systems?◆◆ Are employees instructed to avoid using hitch knots? ◆◆ Do you ensure that employees don’t attach fall arrest equipment to

guardrails, hoist, suspension points, etc.? ◆◆ Do you ensure that employees use fall arrest systems only for their

intended purpose and not for hoisting materials and equipment? ◆◆ Do employees always inspect their fall arrest systems before each use?

Kali9 / iStock / Getty Images Plus / Getty Images


◆◆ Do you appoint a competent person to be the safety monitor to warn employees if they are getting too close to the edge?

◆◆ Is the monitor trained and competent to recognize all fall hazards? ◆◆ Is the monitor positioned on the work surface with workers close

enough to be heard? ◆◆ Do you instruct the monitor to not work on anything else while watch-

ing the work operations?◆◆ Does the fall arrest system prevent contact with a lower level and more

than 6 ft of free fall? ◆◆ Are connectors made of drop-forged, pressed, or formed steel with a

corrosion-resistant finish? ◆◆ Are D rings and snap hooks proof-tested to a minimum tensile strength

of 3,600 pounds (lb)? ◆◆ Can anchors support at least 5,000 lb per attached employee? ◆◆ Do lanyards and vertical lifelines have a minimum breaking strength of

5,000 lb?◆◆ Are lifelines protected against being cut or abraded?◆◆ Does your guardrail system meet the specifications prescribed by

OSHA?◆◆ Are safety nets installed as close as possible to the working level and

never more than 30 ft below? ◆◆ Is there sufficient clearance underneath to prevent contact with the sur-

face or structure under the net? ◆◆ Are nets inspected at least once a week for wear, damage, and other

signs of deterioration? ◆◆ Are damaged or worn nets immediately removed from service?

2. 29 CFR 1910.1200 Hazard Communication

Total violations—5,646 Total penalties—$3,864,543In 2016, the Hazard Communication Standard (HazCom) again received the highest num-ber of general industry citations and was in second place overall. This standard—which gives workers the right to know and under-stand the chemical hazards in their workplace and employers the responsibility to train their employees on these hazards—affects millions of workers in a very wide range of industrial settings.

Antoine2K / iStock / Getty Images Plus / Getty Images


Commonly cited areas include:

◆◆ 1910.1200(e)(1)—Failure to develop and implement a written hazard communication program that meets the requirements of the standard

◆◆ 1910.1200(h)(1)—Failure to provide adequate employee training

◆◆ 1910.1200(g)(8)—Failure to maintain copies of safety data sheets (SDSs) for each hazard chemical and ensure they are readily accessible to employees

◆◆ 1910.1200(h)(3)(iv)—Failure to train employees on labels and SDSs

◆◆ 1910.1200(g)(1)—Failure to have an SDS for each chemical in use at the facility

◆◆ 1910.1200(e)(1)(i)—Failure to have a written inventory list of the hazard-ous chemicals in use at the worksite

The most basic provisions of the standard require a written HazCom program and a list of the hazardous chemicals in the facility. Employees must be pro-vided with effective information and training on hazardous chemicals in their work area. There must be SDSs for all these chemicals, and the SDSs must be readily available at all times. This means that an employee must be able to obtain the proper SDS without consulting a supervisor. In addition, all hazard-ous chemicals must be clearly labeled according to the Globally Harmonized System of Classification and Labelling of Chemicals (GHS) amendments.

During an OSHA inspection, you will be asked to produce:

◆◆ A written HazCom program;

◆◆ A list/inventory of chemicals used in the workplace;

◆◆ A proper labeling system;

◆◆ SDS documents and employee access; and

◆◆ Employee education and training specifications.

Check your training on HazCom to ensure it includes the following:

◆◆ Train your employees on how to read and interpret chemical labels and SDSs.

◆◆ Do your workers understand the chemical hazards to which they are exposed in their workplace?

◆◆ Do they understand the difference between acute exposure reactions and chronic health problems?

◆◆ Do they understand that exposure can occur by inhaling or ingesting chemicals or by skin or eye contact with chemicals?

◆◆ Do they understand and always use the proper personal protective equipment (PPE) to protect themselves?

◆◆ Do all chemical containers have labels that are complete and legible?

◆◆ Do you keep records of your HazCom training?

◆◆ Will your workers be able to indicate to an OSHA inspector that they understand the 16-section SDSs and the information they contain? An OSHA inspector won’t pay much attention to your training records


unless your workers can show that they have basic knowledge about the chemical hazards in their workplace.

◆◆ Does each worker know how to locate and access an SDS for a particular chemical at all times without asking for assistance?

3. 29 CFR 1926.451—Scaffolding in Construction

Total violations—3,884 Total penalties—$8,362,429OSHA’s scaffolding standards are very precise about everything from the spacing of the poles to the size of the planking.

OSHA’s construction scaffolding standard requires that:

◆◆◆◆◆ Scaffolds must be designed by a qualified person and be constructed and loaded in accordance with that design;

◆◆◆◆◆ A competent person must supervise the erection, movement, alteration, and disas-sembly of the scaffold, as well as inspect it before each work shift or after any occur-rence that could affect its structural integ-rity; and

◆◆◆◆◆ Workers must be provided with fall pro-tection when they are working more than 10 ft above a lower level, as well as pro-tection from falling objects.

Common scaffolding violations cited at jobsites included:

◆◆ 1926.451(g)(1)—Failure to have fall protection for employees more than 10 ft above a lower level

◆◆ 1926.451(e)(1)—Failure to provide safe access to scaffold platforms via ladders, stairways, ramps, walkways, and other similar means

◆◆ 1926.451(b)(1)—Failure to fully plank scaffold platforms

◆◆ 1926.451(g)(1)(vii)—Failure to provide personal fall arrest or guardrail systems as required

◆◆ 1926.451(c)(2)—Failure to ensure that scaffolds are supported by an ade-quate, firm foundation

peuceta / iStock / Getty Images Plus / Getty Images


Common hazards associated with all scaffolds include the following:

◆◆ Falls from elevation due to lack of fall protection

◆◆ Collapse of the scaffold caused by instability or overloading

◆◆ Falling tools, work materials, or debris that injure workers

◆◆ Electrocution, principally due to proximity of the scaffold to overhead power lines

To avoid citations and make sure you are in compliance with the standard, ask the following questions about your own use of scaffolds:

◆◆ Are scaffolds and scaffold components inspected for visible defects by a competent person before each work shift?

◆◆ Do you know the scaffold’s capacity and avoid overloading?

◆◆ Are employees wearing hard hats who are working on, in, and around scaffolds?

◆◆ Are they also wearing sturdy shoes with nonskid soles?

◆◆ Are employees instructed to keep a minimum amount of tools and mate-rials on the platform?

◆◆ Are they told to keep tools and materials away from the platform edge?

◆◆ Is additional protection from falling hand tools, debris, and other small objects provided through the installation of toeboards, screens, a debris net, or other means to contain or deflect the falling objects?

◆◆ If there is a danger of larger items falling from a scaffold, is the area below the scaffold barricaded, and are employees not permitted to enter the hazard area?

◆◆ Are all scaffolds a safe distance from any energized power lines?

4. 29 CFR 1910.134—Respiratory Protection

Total violations—3,562 Total penalties —$2,949,453Occupational diseases can be caused by con-taminated air and must be controlled using accepted engineering controls, which include enclosure or confinement of the operation, general and local ventilation, and substitution of less toxic materials. Where controls are not in place or are not feasible, respirators must be used by employees. Workplaces with res-pirators must establish a written respiratory protection program that includes employee training, medical evaluations, and fit-testing procedures.

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Commonly cited violations include:◆◆ 1910.134(e)(1)—Failure to provide medical evaluations to determine

employees’ ability to use a respirator◆◆ 1910.134(c)(1)—Failure to have a written respiratory protection program◆◆ 1910.134(f)(2)—Failure to fit-test employers using tight-fitting face piece

respirators as required by the standard◆◆ 1910.134(c)(2)(i)—Improper procedures around voluntary respirator use◆◆ 1910.134(d)(1)(iii)—Failure to properly evaluate respiratory hazards in

the workplace

Adequate protection for your employees depends on two equally important factors:

1 . The actual protective equipment supplied, along with its proper fit and maintenance; and

2 . The training your employees receive in the proper use of that equipment.

To evaluate your training, you should look at the following:◆◆ Do all employees receive training before being required to use a

respirator?◆◆ Do your employees understand why the respirator is necessary?◆◆ Do they understand its proper use?◆◆ Do they realize that improper fit or maintenance can affect the effective-

ness of the respirator?◆◆ Do they know the limitations and capabilities of the respirator?◆◆ Do they understand how to use the respirator effectively in emergencies?◆◆ Do they know what to do if the respirator malfunctions?◆◆ Do they know how to inspect the respirator and check the seals?◆◆ Do they know the proper procedures for maintenance and storage?◆◆ Do they know how to recognize medical signs and symptoms that may

limit or prevent effective use of the respirator?

5. 29 CFR 1910.147—Control of Hazardous Energy (Lockout/Tagout)

Total violations—3,391 Total penalties—$13,288,827The lockout/tagout rules are designed to prevent accidents during servicing and/or maintenance operations on machines and equipment in which the unexpected energization or start-up of the machines or equipment or release of stored energy could cause injury to employees. The regulation calls for the control of energy-isolating devices by attaching locks

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(lockout) that prevent the machine from being operated, or tags (tagout) that warn people not to start up the machine.

Because of the severity of the injuries that can result when lockout/tagout procedures are not followed, violations of this standard are associated with the highest average penalty of the top 10 violations, with employers facing an average per-violation fine of nearly $4,000.

To avoid citations and fines, the employer must set up a program that includes:

◆◆ Energy-control procedures;

◆◆ Employee training; and

◆◆ Periodic inspections.

Any machine or equipment that is to be serviced must have its energy source isolated so that the machine is made inoperable.

Common lockout/tagout violations include:

◆◆ 1910.147(c)(4)(i)—Failure to develop, document, and utilize hazardous energy control procedures

◆◆ 1910.147(c)(1)—Failure to establish a lockout/tagout program that includes energy control procedures, employee training, and periodic inspections

◆◆ 1910.147(c)(6)(i)—Failure to inspect energy control procedures at least annually

◆◆ 1910.147(c)(7)(i)—Failure to provide adequate employee training

◆◆ 1910.147(d)(4)(i)—Failure to affix lockout or tagout devices to each energy isolating device

Does your energy control program include the following elements?

◆◆ A list identifying all energy sources that required lockout/tagout?

◆◆ Procedures to ensure that energy is fully drained before powered equip-ment is serviced or maintained?

◆◆ Procedures to prevent machines from being turned on or restarted accidentally?

◆◆ Assignment of lockout responsibilities to specific, authorized employees?

◆◆ A plan to test procedures annually and correct any problems?

Are your employees divided into three different categories, and do they receive appropriate training?

1 . Authorized (qualified) employees receive thorough training and are the only employees permitted to perform lockout procedures or remove locks or tags.

2 . Affected employees are those who work with and around this equipment, are trained to know the purpose and use of the energy control procedure, and must call authorized employees for any maintenance or repair.

3 . All other employees are those who may be in the area and know they must never remove or ignore lockout/tagout devices.


6. 29 CFR 1910.178—Powered Industrial Trucks

Total violations—2,843 Total penalties—$5,138,924Each year, more than 10,000 injuries related to powered industrial trucks (PITs), or forklifts, occur in U.S. work-places. Many employees are injured when lift trucks are inadvertently driven off loading docks, lifts fall between docks and an unsecured trailer, they are struck by a lift truck, or they fall while on elevated pallets and tines. Most incidents also involve property damage, including damage to overhead sprinklers, racking, pipes, walls, and machinery.

According to OSHA, most employee injuries and property damage involving PITs can be attributed to:

◆◆ Lack of safe operating procedures;

◆◆ Lack of safety rule enforcement; and

◆◆ Insufficient or inadequate training.

OSHA rules are designed to prevent such injuries.

Commonly violated parts of the forklift standard include:

◆◆ 1910.178(l)(1)(i)—Failure to ensure the competence of forklift operators

◆◆ 1910.178(l)(4)(iii)—Failure to evaluate forklift operator performance at least every 3 years

◆◆ 1910.178(p)(1)—Failure to remove defective forklifts from service

◆◆ 1910.178(l)(6)—Failure to certify that operators have been trained and evaluated as required

◆◆ 1910.178(q)(7)—Failure to inspect forklifts before use at least daily

Review your operator training program to be sure it covers all the bases.

◆◆ Have all operators received the necessary training and evaluation to ensure they are competent?

◆◆ Does your training program consist of a combination of formal class-room instruction, practical training, and on-the-job experience?

◆◆ Does it cover both truck-related topics and workplace-related safety practices?

◆◆ Do your operators understand the basic differences between driving a car and operating a forklift?

◆◆ Are operators required to take refresher training when:

—Observed operating a vehicle in an unsafe manner?

—Involved in an accident or near-miss incident?

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—An evaluation indicates unsafe operation of a vehicle?

—Assigned to drive a different kind of truck?

—Conditions in the workplace change?

◆◆ Is the performance of each PIT operator evaluated at least once every 3 years?

◆◆ Do you enforce the requirement of wearing seat belts at all times?

◆◆ Are trucks inspected at least daily and before each shift?

◆◆ Are trucks that need repairs promptly removed from service?

◆◆ Are you careful never to exceed the rated capacity of your equipment?

◆◆ Do you have a designated battery-charging area that conforms to OSHA specifications?

◆◆ Do you check with the manufacturer before making any modifications to the equipment?

7. 29 CFR 1926.1053—Ladders in Construction

Total violations—2,615 Total penalties—$4,711,849OSHA has developed detailed regulations related to the proper design and use of ladders and stairways in con-struction because careless construction, use, and mainte-nance of ladders and stairways are frequent causes of falls, injuries and, occasionally, deaths. The regulations describe everything from how far apart rungs should be to safe practices for selecting and working from ladders.

According to the U.S. Bureau of Labor Statistics (BLS), falls are one of the leading causes of traumatic death by workers, accounting for 17 percent of all work-related fatalities in 2015, the most recent year for which data are available. Ladders and their complex requirements are becoming one of the major concerns in the United States

due to their mishandling and the failure to achieve safety.

Frequently cited sections of the construction ladder standard include:

◆◆ 1926.1053(b)(1)—Failure to have ladder side rails extend at least 3 ft beyond the upper landing surface

◆◆ 1926.1053(b)(4)—Using ladders for purposes for which they were not designed

◆◆ 1926.1053(b)(13)—Using the top or top step of a stepladder as a step

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◆◆ 1926.1053(b)(16)—Failure to mark and remove broken or defective lad-ders from service

◆◆ 1926.1053(b)(22)—Allowing employees to carry objects or loads on lad-ders that could cause them to lose their balance and fall

Check your ladder maintenance and inspection:

◆◆ Are all rungs and steps intact and in good condition?

◆◆ Are metal steps covered with nonslip material?

◆◆ Are steps clean and free of grease or oil?

◆◆ Are all fasteners tight and in place?

◆◆ Are metal parts lubricated?

◆◆ Are ropes in good condition?

◆◆ Are ladders free of splinters or sharp edges?

◆◆ Have broken ladders that were exposed to fire or corrosion been removed from service?

◆◆ Are all ladder safety rules followed at all times?

◆◆ Do you set the ladder on a firm, level surface?

◆◆ Do you keep ladder feet parallel to the surface against which the ladder will lean?

◆◆ Do you secure or have someone hold the ladder at the bottom?

◆◆ Do you angle the ladder so one-fourth of its working length equals the distance between the vertical wall and the ladder feet?

◆◆ Does the ladder extend at least 3 ft over the top support?

◆◆ Do you avoid placing ladders on windows or sashes or in front of doors that aren’t blocked, locked, or guarded?

◆◆ Do you make sure a metal ladder is never used near live electrical wires?

◆◆ Do you position an extension ladder before extending it?

◆◆ Do you have only one person on a ladder at a time?

◆◆ Do you face the ladder when climbing up or down?

◆◆ Do you use both hands when climbing?


8. 29 CFR 1910.212—Machine Guarding—General requirements for all machines

Total violations—2,437 Total penalties—$9,414,885OSHA’s machine-guarding standard requires that any machine part, function, or process that may cause injury be guarded.

One or more methods of machine guarding must be pro-vided to protect the operator and other employees in the machine area from hazards such as those created by point of operation, ingoing nip points, rotating parts, and fly-ing chips and sparks. Examples of guarding methods are barrier guards, two-hand tripping devices, and electronic safety devices. Guards must be affixed to the machine

where possible and secured elsewhere if, for any reason, attachment to the machine is not possible. In addition, the guard must not create a hazard itself.

Like the lockout/tagout standard, machine-guarding deficiencies often cause severe injuries and, hence, often lead to high penalties. In FY 2016, machine-guarding violations had an average per-violation penalty of nearly $3,900, the second highest average penalty of any of the top 10 violations.

Commonly cited violations under the machine-guarding standard include:

◆◆ 1910.212(a)(1)—Failure to provide machine guarding

◆◆ 1910.212(a)(3)(ii)—Failure to guard point-of-operation hazards

◆◆ 1910.212(b)—Failure to anchor fixed machinery to prevent movement

◆◆ 1910.212(a)(5)—Failure to guard blades

◆◆ 1910.212(a)(2)—Failure to secure machine guards and ensure that guards do not create additional hazards

Machines that require point-of-operation guarding include:

◆◆ Guillotine cutters

◆◆ Shears

◆◆ Alligator shears

◆◆ Power presses

◆◆ Milling machines

◆◆ Power saws

◆◆ Joiners

◆◆ Portable power tools

◆◆ Forming rolls and calenders


Look around your machine shop.◆◆ Are all machines guarded at:

—Exposed points of entry?—In-going nip points?—Blades?—Rotating parts?—Any operating points that send off flying chips or sparks?

◆◆ Does machine guarding:—Prevent body contact?—Remain secure from tampering?—Protect the equipment from falling objects?—Allow for safe maintenance?—Not create an additional hazard?—Not interfere with routine work tasks?

◆◆ Do all operators:—Read and follow manufacturer’s instructions?—Pay full attention to the job?—Know how to turn power on and off safely?—Inspect machines before use and report problems or missing guards?—Recognize the value of machine guards?—Follow training program instruction?—Use push sticks—not hands—to feed material?—Follow approved lockout/tagout procedures?— Check machines after repair or maintenance to ensure that guards are

in place?

9. 29 CFR 1910.305—Electrical—Wiring methods, components, and equipment—General

Total violations—1,934 Total penalties—$2,289,718OSHA’s electrical safety standards are divided into two major categories: design safety standards and safety-related work practices. The wiring methods, components, and equipment standard falls into the first category. It covers wiring methods for electrical power and equipment, temporary wiring, switches, switchboards, conductors for general wiring, flexible cords and cables, fixture wires, and

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equipment for general use, including lighting fixtures, lamps, attachment plugs, appliances, motors, transformers, and storage batteries.

Common violations under the electrical wiring methods standard include:

◆◆ 1910.305(g)(1)(iv)(A)—Using flexible cords and cables as a substitute for fixed wiring

◆◆ 1910.305(b)(1)(ii)—Failure to close unused openings in electrical cabinets, boxes, and fittings

◆◆ 1910.305(g)(2)(iii)—Failure to provide strain relief for flexible cords and cables

◆◆ 1910.305(b)(2)(i)—Failure to provide covers for pull boxes, junction boxes, and fittings

◆◆ 1910.305(b)(1)(i)—Failure to protect conductors from abrasion and close openings through which conductors enter

If your operations are conducted in a recently constructed building, current electrical and building codes are probably as strict as OSHA’s standards. If, however, your facility was built many years ago, it may well have serious deficiencies and dangerous wiring in place. The same situation may be true if modifications or repairs have been made over the years by less than fully qualified electricians. The least of your worries may be avoiding an OSHA citation. For your own safety and that of your workers, a complete review and inspection could save you from a disastrous accident, fire, or even an explosion.

10. 29 CFR 1910.303—Electrical— General requirements

Total violations—1,703 Total penalties—$2,907,873This standard deals with the general hazards of electrical equipment and requires employers to ensure that equipment is free from recognized hazards that are likely to cause death or serious physical harm to employees. Equipment must be used as intended by the manufacturer. The standard also includes requirements for splicing, arcing parts, marking, and working space around electrical equipment.

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Common violations include:

◆◆ 1910.303(b)(2)—Failure to install and use equipment in accordance with manufacturer instructions

◆◆ 1910.303(g)(1)—Failure to provide and maintain sufficient access and working space around electrical equipment

◆◆ 1910.303(g)(2)(i)—Failure to guard live parts against accidental contact

◆◆ 1910.303(g)(1)(ii)—Using working space around electrical equipment for storage

◆◆ 1910.303(f)(2)—Failure to clearly mark services, feeders, and branch cir-cuits to indicate their purposes

It is important to examine your operations for the following:

◆◆ Is electrical equipment free from recognized hazards that are likely to cause death or serious physical harm to employees?

◆◆ Is equipment used in accordance with manufacturer instructions?

◆◆ Are conductors spliced or joined with splicing devices suitable for the use or by brazing, welding, or soldering with a fusible metal or alloy?

◆◆ Are parts of electrical equipment that produce arcs, sparks, flames, or molten metal enclosed or separated and isolated from combustible material?

◆◆ Does electrical equipment have the manufacturer’s name, trademark, or other descriptive marking so the product may be identified?

◆◆ Are all disconnecting means for motors and appliances legibly marked to indicate their purpose, unless located and arranged so the purpose is evident?

◆◆ Are all services, feeders, and branch circuits legibly marked at their dis-connecting means or overcurrent device?

◆◆ Is there sufficient access and working space around all electrical equip-ment to permit safe operation and maintenance?

◆◆ Are live electrical parts guarded against accidental contact?

◆◆ Is storage of materials and equipment prohibited in the required work-ing space around electrical equipment?

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